2300-320-3 - THE NIH VISITING PROGRAM
Issuing Office: FIC 496-6166
Release Date: 6/1/87
_________________________________________________________________
Table of Contents
A. Purpose
B. References
C. Definitions
D. Responsibilities
E. Program Provisions
E. Program Provisions
1. Eligibility Criteria
2. Award and Appointment Considerations
a. Requirements and Limitations
b. Travel
c. Benefits and Deductions
d. Publications and Presentations at Meetings
e. Patent Rights
3. Payment Policies and Terms
4. Exceptions
5. Resolution of Complaints
6. Revocation of Awards or Appointments
F. Program Procedures
1. Initiation and Implementation of Awards or Appointments
a. BID Role
b. FSAB Role
c. SPO Role
2. Renewals of Awards or AppointmentsTable of Contents
a. Renewal
b. Stipend Increase
c. Extension
d. "Intent for Tenure"
3. Conclusion of Awards or Appointments
a. Termination
b. Certificate of Participation
G. Program Evaluation
H. Additional Information
I. Additional Copies
Appendices:
1. Visa Types and Requirements
2. Income Tax Provisions
3. Benefits Available to Visiting Associates and Visiting
Scientists
4. Time Frames Involved in Action Initiation and
Implementation of Award or Appointment
5. Processing: Completion of SF-52's, Entries Into TAPS,
and Collection of Minority Data for Personnel Action on
Visiting Associates and Scientists
6. "Intent for Tenure" Procedures
7. Departure
8. Glossary of Terms
A. Purpose The purpose of the NIH Visiting Program is to
provide opportunities for distinguished foreign scientists
at all levels of their careers to work with senior NIH
investigators on problems of mutual interest. By
facilitating exchange of information and promoting
collaborative research, the program advances knowledge in
the health sciences and enhances the NIH environment. In
addition, by fostering close relationships between Visiting
Program participants and intramural staff, the NIH Visiting
Program positively influences the development of biomedical
research and research resources internationally.
The NIH Visiting Program is composed of Visiting Fellowship
awards and Visiting Associate and Visiting Scientist
appointments. This issuance describes both components of
the NIH Visiting Program.
B. References
1. Visiting fellowships are authorized by section 307 of
the Public Health Service Act [42 U.S.C. 242(1)] and
PHS Regulations at 42 CFR, Part 61, Subpart A.
2. Service fellowships are authorized by sections 207(g)
and (h)of the Public Health Service Act [42 U.S.C.
209(g) and (h)] and PHS Regulations at 42 CFR, Part 61,
Subpart B.
3. HHS Personnel Instruction 300-5 Employment of
Noncitizens.
4. HHS Personnel Instruction 771-3 Employee Grievances.
5. NIH Manual 1130, Delegation of Authority, Personnel No.
5, Service Fellows.
C. Definitions*
1. Visiting Fellowship (VF) An award to a foreign
scientist, with 3 years or less of relevant
postdoctoral research experience, offering advanced
research experience and training and not requiring the
performance of services for the NIH.
*A glossary of other terms used in this manual issuance appears
in Appendix 8.2.Service Fellowship An appointment that requires
the
performance of services for the NIH. In the Visiting
Program, there are two levels of service fellowships,
Visiting Associates and Visiting Scientists. The
difference between the two is determined by the number
of years of relevant postdoctoral research experience
of the recipient.
(a) Visiting Associate (VA) A recipient of a service
fellowship with at least 3 years of relevant
postdoctoral research experience.
(b) Visiting Scientist (VS) A recipient of a service
fellowship with at least 6 years of relevant
postdoctoral research experience.
D. Responsibilities The NIH Board of Scientific Directors is
responsible for establishing internal policy and procedures
implementing the NIH Visiting Program.
Direction and management of the NIH Visiting Program is a
joint responsibility of the Deputy Director for Intramural
Research (DDIR), NIH; the Associate Director for Intramural
Affairs (ADIA), NIH; the Division of Personnel Management
(DPM); and the Foreign Scientists Assistance Branch (FSAB),
Fogarty International Center (FIC). The DDIR, ADIA, Board
of Scientific Directors, and DPM establish policy, and the
FSAB administers the program.
Each BID* sponsor of a Visiting Program participant is
responsible for identifying proposed participants, securing
internal BID approvals and the approval of the Associate
Director for Intramural Affairs, and providing needed
requests to FSAB. Sponsors should consult the "Handbook for
Sponsors of Participants in the NIH Visiting Program" for
more detailed instructions (copies available from FSAB,
FIC). Each BID sponsor is also responsible for ensuring
that research conducted by Visiting Program participants is
reviewed under the same procedures as other BID research
projects, and that participants receive appropriate
instructions in safety procedures and the proper use and
care of animals and equipment.
*The acronym "BID" no longer means "Bureau, Institute and
Division."As defined in the NIH Manual 1122, BID is an "NIH
organizational term encompassing all research institutes, the
National Library of Medicine, and Divisions and Centers (DRG,
DRS, DRR, DCRT, CC, FIC, NCNR) that report to the Director,
NIH.
"Each BID Personnel Officer is responsible for advising
program officials on Visiting Program requirements and
necessary documentation, verifying that candidates meet
qualifications and basic eligibility criteria, and reviewing
documents for appropriateness, completeness, and accuracy.
E. Program Provisions
1. Eligibility Criteria
VISITING FELLOW (VF):
Citizenship: non-U.S. citizen, resident or
nonresident alien with a valid working visa (see
Appendix 1).
Degrees: a doctoral or equivalent degree in the
health sciences; and
Experience: 3 years or less of relevant
postdoctoral experience.
VISITING ASSOCIATE (VA):
Citizenship: a U.S. citizen1/ or resident or
nonresident alien with a valid working visa (see
Appendix 1).
Degrees: a doctoral or equivalent degree in the
health sciences or equivalent level experience.
Experience: at least 3 years of relevant
postdoctoral research experience or equivalent
experience or training, and have knowledge needed to
further research studies.
VISITING SCIENTIST (VS):
Citizenship: a U.S. citizen1/ or resident or
nonresident alien with a valid working visa (see
Appendix 1).
1/ VAs and VSs may be U.S. citizens, but appointment of a U.S.
citizen may be requested only on limited occasions, i.e.,
when a Civil Service, Staff, or Senior Staff Fellow, or
Commissioned Corps appointment is not feasible and
subsequent conversion to a permanent appointment is not
anticipated, e.g., U.S. scientists on sabbatical leave from
a university or individuals on brief leaves of absence from
a research institution to which they have a continuing
commitment.
Degrees: a doctoral or equivalent degree in the
health sciences; and
Experience: at least 6 or more years of relevant
postdoctoral research experience.
Candidates are assured equality of opportunity and may
not be excluded from consideration for the NIH Visiting
Program on the basis of race, color, religion, sex,
marital status, handicap, age, or national origin.
The United States Information Agency (USIA) informed
NIH that although some officials believe that their
Exchange Visitor Visa Programs authorize them to assign
Exchange Visitors to other institutions, this is
entirely erroneous--unless the program description
specifically states that the institution has such
authority. Contrary to implying such assignments, the
Exchange Visitor regulations preclude any assignments
to other institutions. Additional research or teaching
outside of the NIH's program is prohibited. The fact
that another institution/university does the same kind
of work does not authorize NIH to assign a nonimmigrant
to another institution. Nonimmigrants enter the U.S.
according to pre-arranged conditions and with
pre-approved objectives.
VFs, VAs and VSs must observe rules on laboratory
operation, misconduct in science, and use of human and
animal subjects.
2. Award and Appointment Considerations
a. Requirements and Limitations
VISITING FELLOWS:
Award: receive an award for a period of research
experience. Initial awards may be made for 1 or 2
years and extended for a total of 3 years.
Employee status: are not NIH employees and,
therefore, neither provide services to NIH nor
receive training in grants, contracts, or any
administrative functions at NIH. Each VF is to be
physically present in NIH research facilities and
not assigned elsewhere.
Functions: may not have patient-care
responsibilities. Patient contact as a part of the
research experience, such as patient observation, in
which VFs do not assume any patient care
responsibilities, is permitted by NIH J-1 Visa
Authority. Such VFs will have the following
statement attached to their J-1 certificates (Form
IAP 66):
"This certifies that the program in which Dr.
is engaged is solely for the purpose of
observation, consultation, teaching or research
and that no element of patient care services is
involved."
Outside activities: may not engage in outside
employment and or teaching.
Position ceiling: do not count against an Institute
or Division (BID) position ceiling. However, the
total number of VF awards given within each BID may
not exceed the total number of senior intramural
staff investigators (GS-13, or equivalent level
Commissioned Officers, and above) within that BID.
Conversion to employee status: who become eligible
for VA positions after arrival at NIH may be
considered for appointment only after having
completed at least the first full award period as
VFs.
VISITING ASSOCIATES AND VISITING SCIENTISTS:
Appointment: are appointed to conduct basic and
applied research studies and investigations related
to health in NIH intramural laboratories. VAs and
VSs ordinarily are appointed for 12- or 13-month
periods, but the period may be shorter. Subject to
visa requirements, a 2 year initial award may be
approved. Appointments may be extended for a total
of 4 years. Permanent resident VAs and VSs may be
temporarily assigned to duty stations outside of NIH
if they are conducting official business. However,
visa restrictions prohibit assigning non-immigrants
to universities or other institutions.
Employee status: perform services for the NIH and
are considered to be employees.
Functions: are not eligible to perform
administrative or extramural functions. If
otherwise qualified, and subject to visa
restrictions, some foreign physicians may be
appointed as VAs under the NIH Visiting Program at
the same salary as NIH Medical Staff Fellows. (It
should be noted that visa restrictions normally
limit foreign physicians to "incidental patient
contact." Because of these normal restrictions, the
Foreign Scientists Assistance Branch, FIC should be
consulted before any foreign physicians are invited
to NIH to engage in patient care activities.) See
Appendix 1.
Outside Activities: Visa restrictions preclude
nonimmigrants from engaging in outside activities.
In addition, as employees, VAs and VSs are bound by
HHS Standards of Conduct on outside employment (45
CFR 73). See NIH Manual 2300-735-4.
Position Ceiling: as employees, VAs and VSs count
against the FTE ceiling of each BID.
Conversion to Permanent or Tenured Status: See
Appendix 6 -Intent for Tenure.
b. Travel
VISITING FELLOWS:
VFs are not reimbursed for expenses associated with
their travel to or from NIH.
BIDs may, at their discretion, and subject to the
availability of funds, authorize the payment of
travel expenses for VFs to scientific meetings or to
present scientific papers during the award period.
VISITING ASSOCIATES AND VISITING SCIENTISTS:
Payment of travel expenses for VAs and VSs is at the
discretion of the sponsoring BID and is subject to
the availability of funds. If authorized on the Form
NIH 829-1, VAs and VSs will be reimbursed only for
direct economy airfare to and from NIH. BIDs
prepare the travel orders and vouchers in accordance
with Federal travel regulations. The original of the
arrival travel order is to be sent to FSAB for
inclusion in the appointment package.
Travel must be made on U.S. flag carriers. NIH does
not pay any other travel expenses, such as
dependents' travel, excess baggage, or the cost of
transporting household goods.
BIDs may, at their discretion, and subject to the
availability of funds, authorize the payment of
travel expenses for VAs and VSs to scientific
meetings or to present scientific papers during the
appointment period.
Exceptions
(1) BIDs may, at the discretion of the Scientific
Director, authorize reimbursement for transportation of
household effects for VAs from the point of entry into
the United States to NIH if they are appointed to
positions similar to Medical Staff Fellows.
(2) On rare occasions a BID may request full travel
expenses and transportation of household effects from
the home country of a VA or VS. Such requests must be
justified in writing and approved by the Deputy
Director for Intramural Research or the Associate
Director for Intramural Affairs.
(3) After a travel exception under (1) or (2) is
granted, the travel orders and vouchers are prepared by
the BID.
c. Benefits and Deductions
VISITING FELLOWS:
Health Insurance: Visiting Fellows are ineligible
for Federal Employees Health Benefits; however, they
must be covered by adequate health insurance in
order to use NIH facilities. An approved plan of
health insurance is available through the Foundation
for Advanced Education in the Sciences, Inc.
(FAES). Funds for health insurance are provided
from intramural funds of the sponsoring BID for
low-option coverage only. VFs may arrange with FAES
for the difference between low- and high-option
coverage to be withheld from their stipend. See NIH
Manual 2300-320-2.
Occupational Medical Service: VFs may use the
Occupational Medical Service for injuries occurring
in the laboratory and for emergency dental care.
VFs are not covered by worker's compensation because
they are not employees.
Leave: Since VFs are not employees, they do not
earn leave.They are, however, excused on Federal
holidays; and sponsors shall excuse VFs for
reasonable cause, such as ill health, maternity
reasons,etc. Sponsors should make their views on
excused absences known to each program participant
before he/she is awarded a visiting fellowship.
Sponsors should grant excused absence for a
reasonable period of time annually, e.g., two weeks
to allow for cultural exchange and relaxation. Such
excused absence, however, cannot be permitted during
the last two weeks of the award period. Neither the
duration of the award period nor the original
termination date of the fellowship can be extended
because of lost time. Stipends and health insurance
will continue only through excused leaves of
absence.
Social Security: Since a visiting fellowship is an
award for research experience and training, Social
Security (FICA) is not deducted from stipends.
Taxes: Each VF is subject to some form of taxation
on his/her stipend. Visiting fellowship stipends
generally have certain Federal income tax
advantages. (Further details on income tax
provisions are provided in Appendix 2.)
VISITING ASSOCIATES AND VISITING SCIENTISTS
Health insurance, leave, and other benefits: VAs
and VSs are eligible for the same benefits and
subject to the same deductions as Civil Service
employees, except for group life insurance,
retirement, and health benefits. The benefits and
deductions for which VAs and VSs are eligible vary
depending upon the length of their appointment.
Individuals initially appointed for 12 months or
less are not eligible for retirement, life
insurance, or health benefits. Those initially
appointed for 13 months, or subsequently extended
for 13 months, are eligible for all three programs.
For a comparison of benefits under 12-or 13-month
appointments, see Appendix 3.
Taxes: Federal and State taxes are withheld. See
Appendix 2.
d. Publications and Presentations at Meetings:
The publication and presentation of scientific
discoveries by all Visiting Program participants are
governed by the same policies as for other scientists
involved in research at the NIH. See NIH Manual 1183.
e. Patent Rights:
Rights of the Government in and to inventions
conceived or actually reduced to practice are
governed by all provisions of Executive Order 10096,
dated 23 January 1950, and any orders, rules,
regulations, or the like issued thereunder. See NIH
Manual 1190.
3. Payment Policies and Terms
VISITING FELLOWS:
Stipends: Stipends are paid from BID intramural funds
in accordance with the following schedule:
PER ANNUM STIPEND SCALE FOR VISITING FELLOWS (EFFECTIVE 01/01/87)
Years of Relevant
Postdoctoral
Experience Upon Entrance
Entrance on Duty Stipend
0-1 $20,000
1-2 21,500
2-3 23,000
The initial stipend check will be issued within 10
days following the VF's arrival at NIH.
Subsequent stipend checks are mailed by the
Treasury Department and are usually received by
the tenth working day of each month. Checks are
mailed either to the VF's residence or directly to
the bank for deposit.
The Director, Division of Personnel Management,
NIH, will periodically review VF stipend levels
for comparability with awards for other training
fellowship programs, such as those granted under
the National Research Service Award Act (42 U.S.C.
2891-1) and recommend adjustments when necessary
to the Board of Scientific Directors. The
Director,NIH, with the advice of the Board of
Scientific Directors, may authorize
across-the-board adjustments in VF stipend levels.
VISITING ASSOCIATES AND VISITING SCIENTISTS:
Stipends: Visiting Program personnel on service
fellowship appointments will be paid for
professional scientific duties similar to those
performed by professional NIH staff members in the
Civil Service assigned to health research and
investigation. The following factors should be
considered in determining the amount of the
stipend to be awarded to a VA or VS:
(1) the qualifications of the candidate;
(2) the compensation a candidate might be
expected to receive outside the Federal
system for work similar to the fellowship
assignment.
Initial stipends for VAs and VSs are proposed by the
sponsoring BID and approved by the Deputy Director
for Intramural Research, NIH, or the Associate
Director for Intramural Affairs, NIH. Proposed
stipends should fall within the equivalency ranges
provided below:
(1) VA stipends are rounded from the nearest thousand
dollars and range from the first step of the GS-9
to the tenth step of the GS-12. Special care
should be taken when setting stipends for
individuals converting from Visiting Fellowships
to VA appointments to take into account the loss
of training fellowship tax deferments upon
conversion and the increased costs of having to
pay for health benefits.
(2) VS stipends should range from the first step of
the GS-12 level to the maximum allowable salary of
the General Schedule. Pay rates above the maximum
payable limit may not be established. When the
statutory limit is raised, VSs receiving the
maximum stipend may be recommended for an increase
on an individual basis. Such increase is not
granted across the board to all VSs at the pay
cap. See Section F-2-b, "Stipend Increases."
Stipends are paid from BID intramural funds on a
biweekly basis.
4. Exceptions
In individual cases, the sponsor may believe that an
exception to the provisions in this chapter is
warranted. Exception requests may concern: travel
benefits, stipend levels, extensions of VAs and VSs
beyond 4 years, and total number of Visiting Program
awards or appointments permissible within a BID.
Exception requests must be justified by the sponsor in
writing and include the nature of and basis for the
exception. Requests must be routed through the BID
Scientific Director; the BID Personnel Officer; the
Assistant Director for Operations, DPM; to the
Associate Director for Intramural Affairs, NIH, or the
Deputy Director for Intramural Research, NIH; and then
to the Foreign Scientists Assistance Branch, FIC.
Either the Deputy Director for Intramural Research,
NIH, or the Associate Director for Intramural Affairs,
NIH, is authorized to grant exceptions to the program
provisions. The approved request for an exception must
be attached to the personnel action when the action is
forwarded to the FSAB, FIC. The approved original
request must be included in the Official Personnel
Folder of the VA or VS.
5. Resolution of Complaints
a. Visiting Fellows are not employees, therefore,
they are not covered by standard HHS grievance
procedures for resolving any problems or
complaints that may develop associated with their
training assignments. Should VFs encounter any
problems or have any complaints, they should
attempt to seek mutually satisfactory solutions
with their sponsor. If problems cannot be
resolved at this level, VFs should seek informal
resolution of problems by consulting their
Intramural Administrative Officer, the BID
Personnel Officer, or their Scientific Director.
When differences occur between BID sponsors and
Service Fellow program participants that cannot be
resolved through informal discussions, VAs and VSs
may avail themselves of standard HHS grievance
procedures. These procedures are detailed in HHS
Personnel Instruction 771-3.
6. Revocation of Awards or Appointments
a. Service Fellows appointments may be terminated
prior to the expiration date of their current
appointments for major breach of personal or
scientific conduct, as defined in the HHS
Standards of Conduct or for such other cause as
may compromise the efficiency of the Service.
Decisions on whether to terminate appointments
must be based on a careful review of the specific
circumstances of each case.
b. Visiting Program awards or appointments may be
revoked in whole or in part by the Deputy Director
for Intramural Research, acting upon specific
requests by BID Directors, provided that the
revocation may not include repayment of funds that
participants have already received.
F. Program Procedures The procedures listed below have the
following deadlines, i.e., dates by which approved papers on
Visiting Program participants must be received in the
Foreign Scientists Assistance Branch.
Awards and Appointments: Minimum of 90 days before
proposed effective date.
Extensions for 90 Days or Less: Minimum of 60 calendar
days before current award or appointment ends.
Renewals and Stipend Increase: Minimum of 60 calendar
days before current award or appointment ends.
Conversions to Other Service Fellowships, Expert or Civil
Service Status: At earliest possible date, but no later
than 30 days before current appointment ends. Conversions
must have the concurrence of FSAB, FIC.
Terminations: Minimum of 60 days before current award or
appointment ends.
Entrance-on-Duty (EOD) Dates: These dates will be set by
the Foreign Scientists Assistance Branch, FIC. The BID
proposed effective date will be observed as closely as
possible. However, requests that arrive in FSAB, FIC,
after the deadlines will have the proposed EOD date
adjusted. (VAs and VSs are expected to EOD on the first
working day of a pay period, unless that Monday is an
official holiday.)
1. Initiation and Implementation of Awards of Appointments
a. BID Role: Before Arrival
There is no formal application process. NIH
sponsors identify and invite Visiting Program
participants. Offers of service fellows
appointment are extended following recommendations
based on an evaluation of the qualifications of
candidates.
This evaluation may be conducted either: by a BID
review board established for the purpose of
evaluating the qualifications of candidates for
service fellowships; or, by having the prospective
supervisor and his/her Laboratory or Branch Chief
and the Scientific Director review the information
presented in the application and supporting papers
to determine whether the candidate's education,
experience, and qualifications are suitable for a
service fellowship assignment.
The sponsor of a VF completes Form NIH 829-2,
Request for Visiting Fellowship Award. This
form must include specific research training
plans and must be reviewed by the BID
Scientific Director, the BID Director, and
either the Associate Director for Intramural
Affairs or the Deputy Director for Intramural
Research.
The sponsor of a VA or VS completes NIH Form
829-1, Request for Appointment to the NIH
Visiting Program. A concise, but
informative, description of the proposed
research plan should be provided.*
*Visiting Program participants who plan to bring biological
materials or live animals to the United States must be advised by
the sponsor that importation permits may be required (see NIH
Manual 1340-1). The prospective participant's sponsor should
offer assistance in obtaining necessary permits through the
Occupational Safety and Health Branch, Division of Safety, NIH
(Bldg. 13/3K04, 496-2960) and the Veterinary Resources Branch,
Division of Research Services (Bldg. 28/111, 496-4463). The
United States Department of Agriculture issues permits to
authorize the importation of animal materials and the United
States Public Health Service issues permits to authorize the
importation of human biological materials. (Note that especially
in the case of importation of animal materials, several weeks may
be required for both issuing of the permit, and for safety
testing or quarantine if required. Consequently, the
participants in the Visiting Program are advised to make
application for importation permits at least 60 days in advance.
This advice is intended to avoid disappointment, frustration, and
delay on the part of participants who need to bring biological
materials to the United States for use in their work.)The
following documents are also required for all
program participants:
(1) curriculum vitae
(2) bibliography
(3) SF 171, Personal Qualifications Statement
(4) letters of reference (three for VFs; two
for VAs and VSs**
**No pledge of confidentiality may be made to individuals
providing references on candidates for the Visiting Program who
are either U.S. citizens or aliens admitted to the United States
as permanent residents.
(5) copy of doctoral degree*
(6) SF 52, Request for Personnel Actions (not
required for VFs)
(7) Information on each family member who will
accompany the participant. Include the
following: full name of each family member;
maiden name of wife; date, city, and country
of birth; and citizenship(s). Passport
numbers and expiration dates must be provided
for individuals already in the United States.
(8) Cover memorandum form sponsor to associate
Director for Intramural Affairs.
Lab/Branch Chief approves Form NIH 829-1.
The BID Scientific Director reviews the request and,
if he/she concurs, sends the original documents and
two copies of the package to the BID Personnel Office
(sends the original documents and three copies, if
the individual is an M.D.).
*If the copy of the candidate's doctoral diploma is written in a
foreign language, it must be accompanied by a certified
translation from the foreign language into English. (If the
candidate has fulfilled the requirements for the degree, but the
degree has not yet been awarded, a letter from the chancellor,
academic registrar, or dean of the university must be submitted,
stating the facts and giving the date the degree will be
conferred. Letters from professors or advisors are unacceptable.
A copy of the actual degree, however, (and translation if not in
English or Latin) must be submitted to FSAB as soon as possible
and before any renewal or extension of an award may become
final.)
The BID Personnel Office enters on the SF 52 the data
prescribed in Appendix 5, retains one package, and
forwards the original and one copy (two if M.D.) to
the Deputy Director for Intramural Research,NIH, or
the Associate Director for Intramural Affairs, NIH,
over the signature of the BID Director (or the
Division Director within an Institute). BID
Directors may delegate approval authority to their
Scientific Directors.
If the Deputy Director for Intramural Research, NIH,
or the Associate Director for Intramural Affairs,
NIH, approves the proposed award or appointment,
he/she signs either the original Form NIH 829-2 or
829-1, retains one package, and forwards the original
(and one copy if an M.D.) to the Foreign Scientists
Assistance Branch, FIC.
After arrival of the VF, VA, or VS, the BID sponsor:
meets them, helps find housing for the VF, VA, or VS
and his/her family, and introduces them to the
scientific community.
telephones the Foreign Scientists Assistance Branch,
FIC, to schedule an appointment for the VF, VA, or VS
to sign activation papers and to receive orientation.
(It is a courtesy for the BID sponsor to accompany
the foreign scientist to the Foreign Scientists
Assistance Branch.)
assures that intramural funds are provided for the
stipend and VF's low-option health insurance.
initiates action to assure payment for (subject to
availability of funds) the VF's supplies and other
appropriate expenses, e.g, meeting travel.
submits time cards for VAs and VSs.
b. FSAB Role: Before arrival
helps to obtain the necessary clearances from the
Immigration and Naturalization Service (INS),
Department of Justice, and Department of State, so
that the Visiting Program participant may enter the
United States if he/she is a foreign national.
Awards and appointments are contingent upon approval
of the participant's entry or continuation of stay in
the United States under all existing Immigration and
Naturalization Service regulations.
prepares a letter, to be signed by the Director, FIC,
notifying the Visiting Program participant of his/her
award or appointment and the date of entrance on
duty. The Award or Appointment Letter sets forth the
conditions of the award or appointment as well as a
brief description of the research training plan or
research assignment. If applicable, this letter also
discusses the prospects of and conditions for a
possible renewal of the award or appointment. FSAB
includes Form IAP 66, (when necessary for the
participant to obtain a J-1 visa),with the Award or
Appointment Letter, along with other documents of
specific need or interest to the participant, e.g.,
travel orders, information on benefits, taxes, and
immigration.
serves as the contact point for any questions a
Visiting Program participant may have concerning the
conditions of his/her award or appointment, travel,
stipend, benefits, etc. (Program participants will
also notify, in writing, the FSAB, FIC, of their
acceptance of the terms and conditions of the
fellowship award or appointment).
sends a copy of the award letter to the Personnel
Officer of the gaining BID, so that they will be
prepared for the arrival of the Visiting Program
participant in their organization.
prepares an NIH ID and a Social Security card
application.
requests an NIH library card from the Division of
Research Services.
completes Form PHS 1485, Approval List, to encumber
funds for stipend and health insurance for VFs.
After the participant's arrival, the FSAB:
For all participants:
receives participants and conducts special
orientations (e.g. immigration and income tax
matters) (also includes spouses as necessary).
completes Form NIH 356, Acceptance Notice - The
Visiting Program.
prepares Forms W4 and MW-507, or other appropriate
forms for tax withholding. publishes monthly reports
of program activity for
DDIR, NIH, and ADIA, NIH, and the BIDs.
sends monthly listing of new arrivals to the NIH
Safety Operations Section, OSHB, DS, OD for these
individuals to be included in the laboratory safety
programs.
notifies embassies of the arrival of their nationals.
For Visiting Fellows:
prepares Form PHS 416-5, Fellowship Activation
Notice, and forwards it to the NIH Fellowship Payroll
Unit, Division of Financial Management, for VFs.
completes either Form NIH-2542-1, Election of Health
Insurance Plan through FAES, or Form NIH-2542-2,
Election of Health Insurance Plan through Private
Company.
makes an appointment for a medical examination (See
NIH Personnel Instructions 339-2 "Medical Evaluation
for Assignment to NIH Positions").
telephones the NIH Servicing Personnel Office (SPO)
or the Agents of the NIH SPO to notify them of the
arrival of VAs and VSs.
completes SF 52, Request for Personnel Action for VAs
and VSs, as prescribed in Appendix 5.
sends the foreign scientist to the SPO with the
completed SF 52, W4, MW-507, I-9 (or other forms as
appropriate) and a covering memo from FSAB. The
foreign scientist will finalize the entrance on duty
process in the SPO.
c. After the Arrival of VAs and VSs only, the BID SPO:
obtains completed SF 61, Appointment Affidavit, and
SF 61B, Declaration of Appointee. (Nonresident
aliens need not complete Section A, Oath of Office,
of SF 61.)
obtains completed SF 85, Data for Nonsensitive or
Noncritical - Sensitive Position. makes an
appointment for a medical examination when
necessary (see NIH Personnel Instruction 339-2,
"Medical Evaluation for Assignment to NIH
Positions").
fingerprints participants.
completes TAPS code sheet on personnel data and is
responsible for the collection of minority data in
accordance with Appendix 5, Part B.
notifies timekeeper to submit time cards for VAs and
VSs.
explains retirement benefits and health and life
insurance programs, if applicable.
2. Renewal of Awards or Appointments
VISITING FELLOWS:
The BID requests the original award for either 1 or 2
years.
VISITING ASSOCIATES AND VISITING SCIENTISTS:
VAs and VSs are ordinarily appointed for 12- or
13-month periods, but the period may be shorter. It
is the option of the BID to elect the period that is
most advantageous to it and to the Visiting Program
participant.
a. Renewal of Awards and Appointments
(1) Visiting Fellowship awards may be renewed, in 1
to 2 year increments, up to a maximum duration of 3
years in the program.Renewal of VF awards is subject
to the approval of the Deputy Director for Intramural
Research or the Associate Director for Intramural
Affairs, and the Immigration and Naturalization
Service.
(2) BIDs may renew and extend Visiting Associate and
Visiting Scientist appointments, in 1 to 2 year
increments, up to a maximum duration of 4 years
unless a specific exception is granted by the Deputy
Director for Intramural Research or the Associate
Director for Intramural Affairs.
(3) The maximum duration of service in the Visiting
Program is 7 years (including any time served as a
Visiting Fellow or Guest Researcher or Expert or any
other time spent on any J-1 visa in the U.S.) unless
an "intent for tenure" has been presented to the NIH
Board of Scientific Directors and approved by the
Deputy Director for Intramural Research or Associate
Director for Intramural Affairs (see Appendix 6).
All renewals are subject to approval by the Deputy
Director for Intramural Research or Associate
Director for Intramural Affairs, NIH, and are
contingent on compliance with Immigration and
Naturalization Service (INS) regulations. (See
Appendix 1.)
If the sponsor decides renewal of the award or
appointment in the Visiting Program is warranted,
he/she requests approval by:
submitting through the same channels used for the
initial award or appointment: Form NIH 829-2 or
829-1, an updated curriculum vitae, bibliography, and
SF 171, and (for VAs and VSs) an SF 52; and
writing a memorandum of recommendation to accompany
each request for renewal. The memorandum of
recommendation should contain an explanation of the
reason for renewing the award or appointment and
justification for any VA/VS stipend increase. The
memorandum may provide additional information, not
included on the Form NIH 829-1 or 2, such as
justification for prolongation of the
award/appointment and visa status of the individual
beyond the normal limits.
The Foreign Scientists Assistance Branch, FIC,
processes renewals in the same manner as the initial
award or appointment. (See Appendix 4.)
b. Stipend Increase
A VF stipend is increased for an individual whose award
is renewed. As shown below, the renewal stipend is
increased at the rate of $1,500 per annum over the
preceding year's stipend. (These levels were effective
01/01/87.)
Years of Postdoctoral Entry Stipend Renewal
Stipends
Experience Upon EOD 1st year 2nd year
0-1 $20,000 $21,500 $23,000
1-2 21,500 23,000 24,500
2-3 23,000 24,500 26,000
BIDs may recommend stipend increases on the basis of
merit, if deemed appropriate, for those VAs and VSs
whose appointments they wish to extend/renew. The
recommendation for a merit increase should coincide
with the request to extend/renew an appointment.
The amount of each stipend increase must be justified
in the memorandum of recommendation that accompanies
each request. Upon approval, the stipend increase will
be made effective at the beginning of the pay period
during which the anniversary date falls. The
justification for a stipend increase* will reflect the
VA's or VS's research achievements based on the
following criteria:
$1,000: The VA or VS must be achieving the research
goals and objectives established at the time
of the appointment.
$1,500: The VA or VS must be significantly exceeding
the research goals established at the time of
appointment.
Stipend increases will be processed on an SF 52,
Request for Personnel Action, as a "Pay Adjustment"
through the FSAB, FIC. Stipend increases for VAs and
VSs will be made effective at the beginning of the pay
period following completion of 52 weeks of
*Stipend increases in excess of $1,500 must be approved by the
Deputy Director for Intramural Research, NIH, or the Associate
Director for Intramural Affairs, NIH. Any stipend increases
regarded as being equivalent to a "promotion" should not exceed
the amount that would be received by an employee at an equivalent
level in the General Schedule system.service since the date of
appointment or the last
stipend increase, except that stipend increases for VAs
and VSs initially appointed for 13 months will be made
effective at the beginning of the pay period during
which the renewal date falls.
When comparability pay increases are authorized for
General Schedule employees, individual VAs and VSs are
eligible for equivalent percentage increases in their
stipends upon recommendation by their supervisors. BID
personnel offices will process these stipend increases
as "Pay Adjustments". The approval of the BID
Scientific Director is required to authorize a stipend
increase for a VA or VS. After the Scientific Director
authorizes the comparability pay increase, the SF 52 is
completed by the BID Personnel Officer and processed by
the appointing authority, who sends a copy to FSAB,
FIC. Approved stipend increases will be effective upon
the same date as those authorized for General Schedule
employees.
The Board of Scientific Directors periodically reviews
the pattern of service fellowship stipend increases, as
well as the range of levels, and--with advice from the
Director, Division of Personnel Management--recommends
to the Director, NIH, adjustments when needed to
approximate more closely the salaries of comparable
Classification Act and PHS Commissioned Corps
positions. When the Director, NIH, authorizes
extensions of VA or VS stipend level ranges, pay
adjustments are requested on SF 52s by the BIDs and
sent to FSAB, FIC.
c. Extension
The sponsor may request extension of an award or
appointment for 90 days or less by memorandum to the
BID Scientific Director (original and three copies)
provided no salary increase is involved. The
memorandum should clearly state the reason or necessity
for a short-term extension.
An SF 52 must accompany the memorandum for VAs and VSs.
These renewal actions require the same approvals as
appointment requests. The FSAB, FIC, will process
extensions in the same manner as appointments are
processed.
Except for compelling reasons, no more than one
short-term extension should be requested for a Visiting
Program participant. Prolonging awards to allow a
participant to seek a job elsewhere in the U.S. is
insufficient reason, as participants should be
encouraged to return to their home country.
d. "Intent for Tenure"
Occasionally a BID may want to retain the services of a
VS indefinitely. Such scientists must be designated
for "intent for tenure." All such requests are
submitted in writing to the Deputy Director for
Intramural Research, NIH, or Associate Director for
Intramural Affairs, NIH, and must be reviewed and
recommended by the NIH Board of Scientific Directors.
(See Appendix 6 for discussion of policy and procedures
for "intent for tenure.")
3. Conclusion of Awards or Appointments
a. Termination This procedure occurs when the time period
for the award or appointment is completed. The sponsor
requests termination by memorandum Form NIH 829-5,
Notification of Termination of Visiting Program
Participation. Included in the memorandum should be
the Visiting Program participant's forwarding address,
the last day in pay status, the date and port of
departure from the United States, the address to which
the final paycheck should be sent, and the name and
address of the new employer. (See Appendix 4 for
sequence of actions.) Departing foreign participant
must also obtain a certificate of compliance (see
Appendix 7).
For VAs and VSs, an SF 52 with the nature of the
action, either "Resignation" or "Termination of
Excepted Appointment," should accompany the memorandum.
The official personnel file (OPF) on VAs and VSs is
handled in the same manner as the OPF for Civil Service
personnel (see NIH Manual 2300-293-1).
VAs and VSs who wish to claim a refund of Civil Service
retirement deductions are to complete Form OPM-1475,
Application for Refund of Retirement Deductions, and
file it with their BID Personnel Officer.
b. Certificate of Participation After termination, the
FSAB, FIC, prepares a formal certificate of
participation for the signature of the: Director, NIH;
Deputy Director for Intramural Research, NIH; BID
Scientific Director; and Laboratory Chief or sponsor.
The certificate is mailed to the participant by the
sponsor.
H. Program Evaluation The Division of Personnel Management
will periodically evaluate the service fellowship segment
of the NIH Visiting Program to determine whether it is
functioning effectively and accomplishing the purposes for
which was designed. The results of these evaluations, plus
any recommendations for changes in the Program, will be
coordinated with FIC and will then be presented to the Board
of Scientific Directors for consideration. The Board of
Scientific Directors will make recommendations for changes
or modification to the Deputy Director for Intramural
Research, NIH and the Director, NIH will be forwarded to the
Assistant Secretary for Health, DHHS, as outlined in PHS
Personnel Instruction 302-5.
I. Additional Information For additional information on this
manual chapter, contact the FSAB, FIC on 496-6166.
J. Additional Copies For extra copies of this manual chapter,
send a Form NIH 414-5 to the P&RB, DTS, in Building 31, Room
B3BE07.
Appendix 1 - Visa Types and Requirements
Visiting Program participants who are foreign nationals must have
valid working visas, which include the following:
J-1 exchange visitor, research scholar or specialist
(usually limited to 36 months). The other categories
of J-1 visas are:
(a) student--at universities only. J-1 student category
visa may not be changed to J-1 research scholar or
specialist;
(b) trainee--practical training following receipt of
degree from U.S. university limited to 18 months, no
change of status after 18 months. No transfer to
another category of J-1 is permitted;
(c) teacher--secondary schools only;
(d) professor--university/college only;
(e) international visitor--observation of educational and
research institutions only;
(f) professional trainee--residency programs.
Educational Commission for Foreign Medical Graduates
(ECFMG) sponsored only.
The maximum eligibility for a J-1 research scholar or
specialist visa holder is 36 months. However, USIA has
granted an exception for NIH, and our eligibility limit is
5 years for research scholars. On a case-by-case basis
INS may extend the J-1 coverage for an additional 2 years
to correspond with NIH's stated objective of a total
maximum (lifetime) participation in the Visiting Program
of 7 years (includes former years of participation). NIH,
however, may not agree to any request to transfer to a
different J-1 program once an individual has completed 3
consecutive years in the United States under a J-1 visa.
NIH cannot transfer to our J-1 visa program individuals
who have completed 3 years at another institution.
F-1 student (for practical training after award of
doctoral degree; limited to a maximum of 12 months with
no exceptions).
H-1 temporary worker (for distinguished merit and ability
in the arts and sciences to perform services for an
employer). Visiting Fellows are ineligible for H-1
visas.
A-1 diplomatic - ambassador, public minister, career
diplomat or consular officer and members of their
immediate families.
A-2 diplomatic - other foreign government officials or
employees and members of their immediate family.
G-4 international organization (dependents with
employment authorization).
permanent resident (status adjusted after lawful admittance
as a nonimmigrant).
Visa Types and Requirements
immigrant - essentially same as permanent resident, but
alien entered the U.S. in this status rather than being
adjusted after arrival.
The BIDs are obligated to provide guidance to participants to
enable them to complete the objective for which they sought entry
into the United States and to encourage their return abroad.
All nonresident alien participants are required to have a
passport valid for at least 6 months beyond the expiration date
of their authorized stay in the United States.
Foreign Medical Graduates in Research
FSAB is authorized to sponsor J-1 visa status for foreign
physicians to enable them to come to the U.S. and NIH for the
primary purpose of observation, consultation, teaching or
research under the following two situations.
All FMGs will have one of the following certifications attached
to the Form IAP 66 which is submitted to a U.S. consul to apply
for a J-1 visa. Since foreign physicians are at most authorized
to have only incidental patient contact, they need not have
passed the Visa Qualifying Exam (VQE) or the new Foreign Medical
Graduate Examination in the Medical Sciences (FMGEMS), which
replaced the VQE in July 1984.
1. Solely for the purpose of observation, consultation,
teaching, or research in which there is no element of
patient care services involved certified by Responsible
Officer of NIH's J-1 program; or
2. Primarily for research that also involves incidental
patient contact. The Associate Director for Medical
Education (ADME), CC, must certify to the following
four points. (FSAB staff prepares this certificate and
obtains signature of the Associate Director for Medical
Education, CC.1/) (Participants involved in incidental
patient contact must be approved by the credentials
committee of the Medical Board of the Clinical Center.)
1/ The need for this type of certificate must be clearly stated
in the Form NIH 829-1 Request for Appointment to the NIH Visiting
Program.A detailed statement of the proposed "incidental patient
contact" must also be submitted by the sponsor which will be
reviewed by the Associate Director for Medical Education, CC,
before he/she will sign the certification.
(a) The program in which the foreign physician will
participate is predominantly involved with observation,
consultation, teaching,or research.
Visa Types and Requirements
(b) Any incidental patient contact involving the foreign
physician will be under the direct supervision of a
physician who is a U.S. citizen or permanent resident
who meets the applicable PHS requirements for patient
care.
(c) The foreign physician will not be given final
responsibility for the diagnosis and treatment of
patients.
(d) Any experience gained in this program will not be
creditable toward any clinical requirements for medical
specialty board certifications.
Appendix 2 - Income Tax Provisions
Income tax provisions vary according to the type of visa issued,
the tax treaty existing between the United States and the
participant's country, and the Internal Revenue Service (IRS)
interpretation of the participant's individual status. (Treaty
exemption of Federal taxes does not exempt the participant from
the State taxes, which VFs must pay on a quarterly, estimated
basis and VAs and VSs may have withheld.)
1. All resident aliens (individuals who have been lawfully
admitted as immigrants or who have had their status adjusted
to permanent resident) must:
(a) file quarterly estimated Federal income tax returns
(IRS Form 1040 ES);
(b) file quarterly estimated State and local income tax
returns to the State of residence;
(c) obtain IRS Form 1099 from the Fellowship Payroll Unit,
DFM; and
(d) file an annual IRS Form 1040.
2. All nonresident aliens (individuals who hold J-1, F-1, A-2,
or G-4 visas) must:
(a) have Division of Financial Management (DFM) withhold
Federal(alien) income tax from all stipends paid to
him/her;
(b) file quarterly estimated State and local income tax
with his/her State of residence; and
(c) obtain IRS Form 1042S from DFM;
(d) receive Form 1099 from DFM (for those who are
nonresident aliens claiming residence for income tax
purposes by having filed IRS Form 1098 or who are
exempt from Federal taxes by treaty).
All participants are urged to obtain IRS Publications 518 and 519
from the local IRS office.`
Appendix 3 - Benefits Available to Visiting Associates and
Visiting Scientists
Length of Appointment
Benefits 12 Months 13 months 1/
Retirement No Yes 2/
Retirement & Social Security Tax No Yes 3/
Social Security Tax Yes-if Yes 4/
resident alien,
U.S. citizen,
or non-
resident on H visa
Medicare Tax No-if non- No-if non-
alien on J-1 resident
visa alien on J-1
visa
Overtime, Night, & Holiday Pay Does not Does not
apply apply
Compensation for Injury in the Yes Yes
Performance of Duties
Conduct (Requirements and Yes Yes
Restrictions on Political
Activity, Outside Work,
Honoraria, etc.)
Federal Employees No Yes
Group Life Insurance (FEGLI)
1/When VAs and VSs have been initially appointed for 13 months or
longer, they retain their benefits regardless of the length of
subsequent appointment extension.
2/If reappointed after January 1, 1984, with less than a 365-day
break in service from an appointment that conferred retirement.
3/If first employed by the Federal Government after January 1,
1984, in a 13-month appointment. The basic tax laws prohibit
Social Security deductions for individuals who are nonresident
aliens on J-1 visas.
4/See Retirement and Social Security above. (Deductions for
Social Security tax are not refundable.)Benefits Available to
Visiting Associates and Visiting Scientists
Length of Appointment
Benefits (continued) 12 Months 13 months
Federal Employees No 5/ Yes 6/
Health Benefits Program
Leave (Annual and Sick Yes Yes
Occupational Medical Service Yes Yes
Withholding Taxes Yes Yes
(Federal & State)
Training at Government Yes Yes
Expense
Training is not a benefit like the others mentioned in this
section; however, it is available when the training is
necessary for performing assigned work, and can be approved
under the NIH Manual 2300-410-1 Training Policy. (Visa
restrictions still apply for nonimmigrants. See Section E.
Program Provisions.) The pertinent training requirements
are:
1. The training period cannot exceed the period of
appointment.
2. For non-Government training, a waiver of the
minimum service is required.
3. Training that requires a service obligation may
not be authorized when the appointment date
expires before the service can be completed.
5/Through the Foundation for Advanced Education in the Sciences
(FAES), a special comprehensive program of group health benefits
(Blue Cross-Blue Shield) is offered to VAs and VSs who are
ineligible for FEHBP group health plans. It is the personal
responsibility of the scientist to apply for this coverage within
30 days after entry on duty and to pay the monthly premiums at
the FAES Office.
6/The BID personnel office is responsible for processing the
application for Federal Employees Health Benefits Program
insurance for VAs and VSs on 13-month appointments.
4. Employees may be liable for reimbursement to the
Government, if training is not satisfactorily
completed.
Appendix 4 -Time Frames Involved in Action Initiation and
Implementation of Award or Appointment
Deadlines for receipt of materials in FSAB are:
1. For initiation of award: Minimum of 90 days before proposed
effective date
2. For terminations: Minimum of 60 days before proposed
termination date
3. For renewals: Minimum of 60 days before expiration of
current award/appointment, or participant's stay in the
United States.
4. For stipend increase other than at renewal or extension of
award or appointment: 60 days minimum before proposed
effective date for VFs; 30 days, minimum for VAs and VSs.
Appendix 5 - Processing: Completion of SF-52's, Entries Into
TAPS, and Collection of Minority Data for
Personnel Actions on Visiting Associates and
Scientists
A. Entries on the SF 52, Request for Personnel Action
1. Entries made by the BID Personnel Offices
a. Personnel Offices must complete all parts of the
SF-52 appropriate for the type of action being
requested except for the parts listed in item 2
below.
b. Part I, block H, Approved by, must be signed by
the BID Director or his/her designee.
c. In Part II, blocks 22 and 29, Pay Plan and
Occupational Code, enter "AD" followed by the
classification series number that would apply if
the position were under the General Schedule.
d. In Part II, block 39, items F through H, enter the
highest educational level. Information pertaining
to all degrees must be provided on a TAPS
(TDCS-ARMS Personnel System) Supplemental
Worksheet (see the NIH Personnel Handbook 292-1).
e. Part III, Clearances, block A-5, must be signed by
the Deputy Director for Intramural Research, NIH,
or the Associate Director for Intramural Affairs,
NIH.
f. Part IV, Employee Resignation/Retirement, blocks A
through E, should be completed by the employee.
When a resignation is made orally, the employee
should be asked to confirm the resignation in
writing. If this is not possible, the person to
whom the resignation request was made should
document the request on the SF-52 or write a memo
for the record and attach the memo to the SF-52.
At a minimum, the person must state the date on
which the employee made the oral request, the
effective date of the resignation, and the reason
given by the employee. When the statement is not
written by the person who received the oral
resignation, it must include the name of the
person who received the request.
2. Entries made by the Foreign Scientists Assistance
Branch (FSAB), Fogarty International Center (FIC)
a. The FSAB, FIC, will complete the following parts
of the SF-52 appropriate for the type of action
being requested:
- Part II, block 2, Social Security Number, in cases
where the employee is not a citizen of the United
States or a resident alien.
Processing: Completion of SF-52's, Entries Into Taps, and
Collection of Minority Data for Personnel Actions on
Visiting Associates and Scientists
- Part II, block 8, Retirement
- Part II, block 9, FEGLI
- Part II, block 14, Effective Date
- Part II, blocks 18 A/B and 19 A/B, NOAC,
Nature of Action and NTE date
- Part II, blocks 18 E/F and 19 E/F, Authority
Code or Other Legal Authority
3. Entries made by the Systems and Actions Branch, DPM or
Agents of the NIH Servicing Personnel Office
- Part II, block 6, Service Computation Date
B. Entries Into the NIH Official Personnel Data System,
TDCS-ARMS Personnel System (TAPS)
1. Visiting Scientists and Visiting Associates under the
"AD" pay plan are identified in the NIH personnel data
system (TAPS) by the use of a "grade" code known as the
Scientific Program Identifier (see data element 054 in
the NIH Personnel Handbook 292-1). BID personnel
offices are to prepare a TAPS Supplemental Worksheet,
filling in any other appropriate items, attach it to
the SF-52, and send it to the Systems and Actions
Branch, DPM, where the data will be entered into TAPS.
For Agents of the NIH Servicing Personnel Office (NCI,
NHLBI, NIEHS,and NLM), the procedure is the same as
above, except the TAPS worksheet should be attached to
an SF-50B. Visiting Fellows are not entered into TAPS
since they are not considered to be NIH employees.
C. Distribution of SF-50B, Notification of Personnel Action
1. BID Personnel Offices must send to the FSAB, FIC, a
copy of all SF-50Bs pertaining to Visiting Program
participants.
D. Collection of Minority Data
1. The BID Servicing Personnel Office is responsible for
the collection of minority data (VAs and VSs).
2. Voluntary self-identification will be the primary mode
of data collection. The BID/SPO must provide each
employee the opportunity to voluntarily provide his/her
race and national origin data using the
Processing: Completion of SF-52's, Entries Into Taps, and
Collection of Minority Data for Personnel Actions on
Visiting Associates and Scientists
SF-181, Race and National Origin Identification. The
race and national origin data submitted by employees
must be accepted as being correct. In those unusual
cases where it is believed the code provided by the
employee is manifestly inaccurate, the employee should
be counselled as to the purpose for which the data are
being collected, the need for accuracy, the agency's
recognition of the sensitivity of the data,and the
existence of the procedures to prevent unauthorized
access to the data. If, after counseling, the employee
still declines to change the categorization that was
selected, the categorization provided by the employee
must be accepted.
If an employee chooses not to complete the SF-181, a
visual identification should be made based on a
perceived classification. The employee should be
informed of this procedure.
Appendix 6 - "Intent for Tenure" Procedures
The Visiting Program is intended to be an exchange program, and
VAs and VSs are expected to return to their home countries after
their term of appointment. BIDs are responsible for encouraging
their return. In rare instances, the NIH may wish to retain a
scientist as a VA or VS beyond 7 years participation in the
Visiting Program. Such scientists must be proposed and approved
for "intent for tenure" status. All request for such cases of
"intent for tenure" must be submitted in writing to the Deputy
Director for Intramural Research, NIH, or Associate Director for
Intramural Affairs, NIH, and must be reviewed and recommended by
the NIH Board of Scientific Directors.
The NIH sponsor of a VA or VS requests approval to grant "intent
for tenure" to a VA or VS by submitting a memorandum of
recommendation, and a current curriculum vitae and bibliography,
through the same channels as described in Part F. 1. a. of this
chapter. The memorandum of recommendation should include the
following:
(1) a statement identifying the nature of the request;
(2) a summary of the VA's or VS's scientific
contributions and achievements;
(3) an explanation of why the VA or VS would be a
valuable addition to the permanent research staff
of the NIH;
(4) a discussion of the VA's or VS's plans for
acquiring eligibility for a permanent Civil
Service appointment; and
(5) an analysis of citations to their published papers
from the Science Citation Index.
Since citizenship is a prerequisite for a permanent Civil Service
position, VAs and VSs proposed for tenure who are nor presently
permanent residents of the United States will require NIH
sponsorship for permanent residency status and subsequent
acquisition of U.S. citizenship. There will be no official NIH
support for permanent residency status for a VA or VS until a
decision for "intent for tenure" has been reached through open
discussion by the NIH Board of Scientific Directors and approved
by the Deputy Director for Intramural Research, NIH, or Associate
Director for Intramural Affairs, NIH. Therefore, all proposals
for "intent for tenure" for VAs or VSs who do not have permanent
residency status should also include a request for NIH support
for permanent residency status."Intent for Tenure" Procedures
Permanent resident visa numbers are not always available and may
require a waiting period of several months. These requests
should be made by memorandum and address the following factors:
Why a vacancy is not being filled by a U.S. citizen and what
attempts were made to recruit a U.S. citizen.
A clear statement that, in addition to requesting approval
for "intent for tenure," a request is also being made for
NIH support to petition for permanent residency status for
the VA or VS.
A summary of the outstanding scientific achievements and
international reputation and stature of the VA or VS.
An indication of why the VA or VS would be of value to the
NIH and the United States were he/she to be admitted into
the country on a permanent basis.
A statement that the BID intends to seek appointment to a
permanent Civil Service position when the VA or VS obtains
his/her U.S. citizenship.
When NIH files for permanent residency, it is on the basis of
what is called "Third Preference" for an alien of distinguished
world renown in the research discipline or field being proposed.
There must be proof that the individual's work in that field
during the past year did, and will continue to require
exceptional ability. Documentation of widespread acclaim
includes:
receipt of internationally recognized prizes or awards for
excellence in the proposed field;
membership in associations in the field for which the
individual is being proposed, which requires outstanding
achievement of their members as judged by international
experts in the field;
published material in professional publications about the
individual's work in the proposed field;
evidence of the individual's participation on a panel, or
individually, as a judge of the work of others in the same
or allied field for which he/she is being proposed;
evidence of original scientific or scholarly research
contributions of major significance in the propose field;
"Intent for Tenure" Procedures
evidence of the individual's authorship of published
scientific or scholarly articles in the proposed field in
international professional journals or professional journals
with an international circulation.
In exceptional cases, NIH may wish to recruit a senior scientist
as a Visiting Scientist with "intent for tenure" immediately upon
entry into NIH. Such requests must be approved in advance by the
Deputy Director for Intramural Research, NIH, or the Associate
Director for Intramural Affairs, NIH. Request for this type of
Visiting Program exception should be documented and cleared
through the same administrative channels indicated in Part F. 1.
a of this issuance. In addition, a Form NIH 829-1 and an SF 52
should accompany all such requests. Documentation of worldwide
acclaim mentioned above must also be supplied.
VAs and VSs approved for " intent for tenure" are expected to
establish their eligibility for appointment to a permanent
position at the earliest possible date. Extensions for program
participants approved for "intent for tenure" should be processed
in the same manner as appointment extensions and renewals (see
Part F. 2.); however, their memorandum of recommendation should
be brief, indicating that the VA or VS has been approved for
tenure and summarizing his/her progress toward establishing
eligibility for permanent appointment.
Once eligibility for tenure is established, appointment to a
permanent position in the Civil Service or Commissioned Corps
should proceed as quickly as possible and in accordance with
established procedures. Implicit in the approval for "intent for
tenure" is the approval to convert the scientist to a permanent
GS-GM or higher grade level position proposed by the BID, unless
the NIH Board of Scientific Directors specifically requests the
resubmission. If at the time of conversion, the BID wishes to
appoint the person at a higher grade level than that approved at
"intent for tenure" it must submit the request through BID review
procedures to the Deputy Director for Intramural Research, NIH.
The BID Personnel Officer notifies the FSAB, FIC, immediately of
all conversions of VAs and VSs to competitive Civil Service
positions.
Appendix 7 - Departure
Certificate of Compliance Foreign participants leaving the
United States are required to obtain a certificate of compliance
(also called a "sailing permit" or "exit permit") from the
Internal Revenue Service (IRS) before they leave the United
States either permanently or fora short stay. The certificate
shows that all income taxes to the U.S. Government have been
paid. To obtain a certificate of compliance, the Visiting
Program participant must fill out Form 1040C, U.S. Departing
Alien Income Tax Return. The completed form and the following
documents are then presented by the alien to the local IRS
office:
(1) passport and INS Form I-94 for nonimmigrant aliens; (2)
travel ticket or confirmation of the reservation;
(3) proof of status in the United States (including letter of
appointment to NIH);
(4) statement from NIH showing wages paid and taxes withheld
from January 1 of the current year to the date of departure;
(5) proof of U.S. income tax withheld or paid for any previous
years in the United States (copies of IRS Form 1040 NR or
Standard Form 1040).
NOTE: A certificate of compliance ("sailing permit") is only
for departure from the United States and covers the
calendar year in which departure occurs. An annual
income tax return still must be filed by April 15.
Appendix 8 - Glossary of Terms
1. Consular Officer....Any consular, diplomatic, or other
officer of the United States designated
under regulations prescribed under
authority contained in the Immigration
and Nationality Act, as amended, for the
purpose of issuing immigrant or
nonimmigrant visas.
2. Dependents or immediate family..Spouse and unmarried
children under age 21 who accompany the
principal alien to the United States and
who will reside with the principal
alien.
3. ECFMG...............Educational Commission for Foreign
Medical Graduates (Philadelphia).
4. ECFMG Certification..Certification given to an FMG who has
successfully completed the full medical
curriculum prescribed by the medical
school and by the country in which it is
located; fulfilled all the medical
requirements to practice medicine in the
country in which the medical education
was received; has obtained an
unrestricted license or certificate of
registration to practice medicine in
that country; has obtained a sealed
score of 75 or higher on the medical
portion of the ECFMG examination and
passed the ECFMG English test or a
regularly scheduled international or
special administration of the Test of
English as a Foreign Language (TOEFL).
5. ECFMG Examination...An examination to evaluate the medical
credentials of foreign medical
graduates.
6. Extension of stay...A request for INS to extend the approved
stay in the United States. Requests for
extension of stay in the United States
are to be filed with the INS 30 days
prior to the current termination date.
FSAB, FIC, must prepare the necessary
documentation.Glossary of Terms
7. FNG.................Foreign medical graduate. A physician
whose basic medical degree was received
from a medical school outside the United
States, Puerto Rico, and Canada that is
listed in the World Directory of Medical
Schools, published by the World Health
Organization. U. S. citizens who have
completed their medical education in
schools outside the United States,
Puerto Rico, and Canada are considered
to be "foreign medical graduates," while
foreign nationals who have graduated
from medical schools in the United
States, Puerto Rico, and Canada are not.
8. FMGEMS..............Foreign Medical Graduate Examination in
the Medical Sciences. A new examination
that replaces both the present ECFMG
examination and the VQE Examination and
was administered for the first time in
July 1984. This is a two-day
examination designed to assess the
knowledge of all graduates of foreign
medical schools in the basic and
clinical sciences. Passing the FMGEMS
examination will enable all graduates of
foreign medical schools to meet the
medical science examination requirement
for ECFMG certification. Such
certification is required of both alien
and U.S. citizen graduates to enter
residency or fellowship programs
accredited by the Accreditation Council
for Graduate Medical Education (ACGME).
Passing the FMGEMS examination also
satisfies the requirements of the 1976
and 1977 amendments to the Immigration
and Nationality Act (P.L. 94-484).
Glossary of Terms
9. Form I-94...........Arrival and departure record. An
Immigration and Naturalization Service
form which shows the alien's United
States admission number and INS stamp
showing the alien's port of entry into
the United States, the date entered, the
visa classification issued (i.e., J-1,
B-1, etc.) and the date the alien's stay
in the United States expires.
10. Form IAP 66.........Certificate of eligibility for (J-1)
exchange visitor visa. A controlled
form that is prepared by FSAB, FIC, and
sent to an individual to be used to
apply for a J-1 visa or for extension of
stay in the United States.
11. Immigrant visa......Alien is admitted into the United States
for "permanent residence," i.e., there
is no restriction on how long the alien
may remain in the United States and
he/she may engage in virtually every
legitimate activity in which a United
States citizen may engage. Voting and
eligibility for regular civil service
appointments are two notable exceptions.
12. INA.................Immigration and Nationality Act.
13. INS.................Immigration and Naturalization Service,
Department of Justice.
14. NBME................National Board of Medical Examiners.
15. Nonimmigrant visa...Temporary, time-limited authorization to
apply for admission at a port of entry
into the United States. The validity of
a nonimmigrant visa relates only to
Glossary of Terms
the period during which the alien to whom it was
issued may use it to apply for admission to the
United States. The alien may only engage in
activities compatible with the particular
non-immigrant classification that has been
accorded to him/her.
An applicant for a nonimmigrant visa is presumed
to be an immigrant until he/she establishes to the
satisfaction of the consular officer that he/she
is going to return to his/her country. The burden
of proof is upon the applicant, not NIH, to
establish that he/she is eligible for nonimmigrant
classification and for the type of nonimmigrant
visa being sought, and that he/she is not
excludable under some provision of the Immigration
and Nationality Act, as amended. One such
provision is that the alien must have a residence
in the home country which he/she has no intention
of abandoning. Another is that the purpose of
coming to the United States must be consistent
with the individual's activities in the home
country. Still another factor is whether the
skills the alien expects to acquire in the United
States can be effectively utilized in the country
to which he/she will be returning. This is
particularly true in areas where certain
professional skills are in oversupply or where the
application of such skills is limited by the
absence of technical equipment.
The decision to issue any visa is delegated to the
consular officer who must be completely satisfied
that the alien is eligible for nonimmigrant
classification. NIH is not in a position to
certify the intentions of any individual. Contact
with a consular officer must be made through the
Chief, FSAB, FIC.Glossary of Terms
The period of validity of a nonimmigrant visa has
no relationship to the time the alien may be
authorized by the INS authorities to stay in the
United States. The period of validity and the
number of admissions are prescribed in schedules
made available to the consular officers of the
Department of State and reflect, as nearly as
practicable, the reciprocal treatment accorded
U.S. Nationals by the Government of the country of
which the alien is a National or stateless
resident.
16. Passport............Any travel document issued by competent
authority showing the bearer's origin
and identity, which is valid for the
entry of the bearer into a foreign
country. For coming to the United
States, a passport must be valid for 6
months beyond the expected date of
departure from the United States.
17. Port of entry.......A port or place designated by the
Commissioner of Immigration and
Naturalization, Department of Justice,
at which an alien may apply for
admission into the United States.
18. Principal Alien.....An alien from whom another alien derives
a privilege or status under the law or
regulations.
19. Responsible Officer..The person designated by the United
States Information Agency and Department
of State who is responsible for NIH's
J-1 visa program. The Chief, FSAB, FIC,
is NIH's Responsible Officer.
20. Termination of stay..The date beyond which an alien may not
legally remain in the United States.
21. USIA................United States Information Agency
Glossary of Terms
22. VQE.................Visa Qualifying Examination.
Examination program of the National
Board of Medical Examiners (NBME)
administered by ECFMG. The 1967 and
1977 amendments to the Immigration and
Nationality Act established new
requirements for the admission of
foreign medical graduates to the United
States to perform medical services, or
to receive graduate medical education or
training. These amendments require FMGs
to pass the NBME examinations parts 1
and 2 or an examination determined to be
equivalent by the Secretary of HEW, now
the Secretary of HHS, and to be
competent in written and oral English.
In 1977 the Secretary of HEW determined
that a special two-day examination,
which was developed by NBME is
equivalent to the NBME examinations
parts 1 and 2 for the purpose of the
law.