Guggenheim/Social Science Research, Undated

APPLICATION for GRANT

Social Science Research Council

12.

13.

14.

15,

16.

19.
20.

GA

Name.

Present
addr

3. Tae hong

Permanent address
if different.

Date of

Place of

birth. 6. birth.

Marital
8. statu

Number and relation-
ships of dependents.

Academic degrees (with names of
institutions, fields, and dates).

Present position (Give title,
institution, and ).

Concise descriptive
title of project.

If grant is requested for travel,
list places to be visited.

Period for which grant
is desired: Duration.

3. beginning.

Give names, positions, and addresses of three persons best acquainted with your project and your ability to execute it. (Please include the

name of at least one person who is recognized as an authority in your field of researc

Estimates of major categories of total expense Income expected from other sources
for the period for which grant is desired: 17. for the same period (Specify):
3 $.
$ t
$ $
$. —t..
+. Total = $—________
Amount requested from Social
Total $—________. |] 18. Science Research Council §
Are you applying elsewhere for
financial ma (Specify).
Applicant's Date of
signature. application.

9.57

eww

Otto Kirchhelmer

616 Fayerweather Hall Columbia Univ. New York 3 Ext .2301
na
HME 2801 Beechbank Rd.Silver Spring,Md. (301-564-5635)
12,11,05 Heilbronn, Germany U.S. married

two ( wife and son)
Dr. jur.Bonn (1928)

Professor of Government,Columbia Uniw rsity, ($ 16,000.~)

The Re®lities of Political Responsibility: Parliament and
Party in Western Europe

England - Germany ~ France «Italy ~ Switzerland~ Austria

16 months January 1, 1965 July 1,1966(

Professor David Truman, Dean, Columbia College,New York 27,N.Y.

Professor Val Lorwin, History Dept. University of Oregon, Bugene, Ore.»

Living exp.spring term 65 5,300.= Additional granta or
liv. exp. spring tern 66 5 4500.6 private funds(see D p.6) 900.+
excess liv.cost sition 700 o=
travel ° : 700 .~
material, typing ete, 200 o=
12,200.< 11,300,~
if grant ean ¥e given for one tern

only % 6,000.-
not at the moment (see D p.6) BGs

SUGGESTED FORM OF ESTIMATED BUDGET

FOR PERIOD OF FELLOWSHIP:
Period for which Fellowship is requested:......«.. months
Contemplated period of Fellowship: From 2... «eevee sree

To. cers voce vee a
Place or places where you plan to carry on your proposed stile Sot

Ce

ESTIMATED EXPENSES:

Expenses of travel incident to Fellowship grant:
Transportation (for yourself). ccssssscssecovctPeeavccces
Meals and lodging while travelling (for yourself)$...+..++.
Allowance for travel of your family, if any.... $eoeeeoeen

Research incident to Fellowship grant,..ore0 ones Becocerees

Clerical help incident to Fellowship grant ... ..0+ Besceeeeoe

Equipment incident to Fellowship grant ... 50 seas Beoserenoe

Told sascasravosaasaawves 8
Estimated other expenses:

Living expenses for your family, if any $
Other expenses .oreenecoeoes ea $

Total ; wens vaws commen ¢ 1B
Total Estimated Expenses $
ESTIMATED RESOURCES:

Sabbatical, or other leave, salary.,.. A $
Othe? INGORO cx ces eawey coos weRK EK OHO $

Sum requested as Guggenheim Fellowship grant $

eerie ee
Total Estimated Resources $

What post-doctoral Fellowships have you held since January 1, 1954?

And for what total number of months?
Have you pending an application for another grant or scholarship or
Fellowship for the same or similar studies and period as your ap-

plication to us? . If so~-or if you have received another award=-~
please write us any facts which seem to you to be relevant,

oci:
Signature society No.

Home Address

Single, Married, Widowed, Divorced
Ages of children, if any
Current annual salary (S) or earnings (E)
Title of present position
Institution

eight

June? 1965 » February 1,196
February 1,1966

Paris - Bonn ~ Washingtonpo

S50 a=
350."

100
100

900. 900,~

900 o=
8,000,=
6,000,-
8,000,~
Rockefeller Foundation Fellowship 18 months
18 months
yes
5'7'7 «48077 64,
2801 Beechbank Road,cilver Spring,Md,
married
18
16,000,~

Profeasor of Government, Columbia University

Social Science Research Council

230 Park Avenue, New York 17, N.Y.
Murray Hill 9-1623

INSTRUCTIONS FOR APPLICANTS FOR GRANTS
AND FOR FACULTY RESEARCH FELLOWSHIPS

Forms for use in filing an application and securing supporting letters of reference are enclosed herewith.
THE APPLICATION

The following items should be mailed to the Council by the applicant on or before the specified closing
date:

1. ‘The form “Application for Grant’. (Please submit only one copy, retaining the other copy for your
own file.)

2. Supplementary Statements (A) —(G), described below.

3. The self-addressed postal card form ‘Acknowledgement of Receipt of Application’’.

The application and supplementary statements will be reproduced by a photographic process for use by
the Committee members. It is therefore essential that they be written on translucent paper, on one side only.
A supply of paper is enclosed herewith. If additional sheets are needed, please be sure that they are equally
translucent. For typing, either use a fresh, well-inked black ribbon, or insert a reversed sheet ofcarbon
paper at the back of the page. For handwriting use black, not blue, ink. As we lack facilities for retyping,
it is sometimes necessary to return insufficiently dark copy to applicants for retyping.

SUPPLEMENTARY STATEMENTS TO BE INCLUDED

Please prepare the following statements in single-spaced typewriting. Please place your name at the
top’ of each’page'and number pages in-sequence; the: printed Application form being page 1. Ssatement (B)
must begin on a new page, but this is not necessary for Statements (C) — (G).
1
(A) A description of the project for which assistance is sought. This should not exceed four pages in
length, and should indicate your objectives, methods, materials, andthe nature of the results which may be
expected. This statement should also indicate your contemplated time-schedule, and itinerary if any.

(if you are applying for a grant under a special program under which collaborative projects ate eligible,
and your plans involve junior colleagues or students who are expected to derive training from participation
in the research project, explain in Statement ‘‘A’’ the proposed nature of their participation, and give names
and positions of those who will have active roles in planning or directing the research.)

(B) A brief summary of progress already made on the project, and mention of any other closely related
work you have done. (Please state here what relation if any the proposed project has to your Ph.D. thesis.)
If travel abroad or the use of foreign-language materials is contemplated, indicate with what degree of
facility you can use the requisite language or languages,

(C) Ifpertinent,astatement as to what assurances you have received from individuals, institutions, or

government agencies, of cooperation or authorization to carry out your project. If foreign travel is to be
undertaken, indicate whether passport, visas, and transportation fiave been secured or promised,

(over)

(D) Further explanation of financial estimates: If not shown in items 16 and 17 on the application
blank, please indicate specifically estimated outlays for own travel, travel of others, equipment and supplies,
clerical or research assistance, and any other major items. Also state what efforts you have made to obtain
support from other sources, including your own institution; and indicate what response has been received.

If your budget includes an allowance for your own living expenses, please make quite clear whether this
represents full or partial maintenance in lieu of salary, or only the excess cost of living away from home.
The period for which a maintenance allowance is requested should be specified here, as it may not neces-
sarily be the same as the period during which the grant may be available to meet other expenses. (If your
budget includes allowances to collaborators, give their names and the amounts requested for each one’s
maintenance and expenses.)

(E) A chronological list of: academic and professional positions you have held (including your present
position); previous residence or travel in any foreign countries to be visited. '

(F) A list of your principal publications, especially those most relevant to the present project. Give
dates and names of publishers of books and complete citations for articles and monographs. Please indicate
whether or not a copy of each item is available for loan to the Committee, but do not send publications
unless requested.

(G) A list of sources and amounts of all previous support received for work related to this project.

(H) If application is for research outside the United States, list your previous visits to countries where
research is to be done including year, duration, and purpose of each visit.

REFERENCES

Item 15 of the application form calls for the names and addresses of three persons who can testify as to
your qualifications. Please send to each of these persons a ‘‘Confidential Report”’ form, a copy of the
covering letter headed ‘‘Request for Confidential Report’’, and one of the return envelopes supplied here-
with. This should be done at the same time that the application is filed, as it is important that the reports
be received without delay. Before distributing these, please enter your name and that of the person who is
to write the report at the top of both pages of the ‘‘Confidential Report” form. Please note that these reports
are to be mailed by the writers directly to the Council in the return envelopes supplied. You may find it
advisable also to send them copies of the pertinent part of your application, unless they are already in-
timately familiar with your plans,

The Council may ask others to appraise your application, but will assume no obligation to send re-
minders to persons named as references by applicants if they fail to respond.

NOTICE OF OTHER APPLICATIONS OR AWARDS

It is to bé understood that you will immediately notify the Council if after filing this application you
make application for supplementary or alternative support from another source, or if you receive notice of
action on any pending application for such support.

RETURN OF UNUSED APPLICATION FORMS

If for any reason you decide not to file an application, please return to this office all of the enclosed
forms. This request is made both in the interest of economy, and to avoid misunderstandings which might
reSult from theit use by others.

LAG 8.63(2M)

JOHN SIMON GUGGENHEIM MEMORIAL FOUNDATION
551 Fifth Avenue New York City 10017

Memorandum Concerning Payment of Fellowship Grants

Our usual procedure is to establish in advance a schedule of payments which
will be convenient for each Fellow, Before you make up your mind about your
schedule of payments, we suggest you consider the income-tax memorandum
we have sent you. This schedule may be changed in the course of your
Fellowship, if you decide you wish to change it..

Quarterly Payments

Payments are generally made in quarterly installments, It is not feasible for
us to arrange monthly payments of grants,

Most Fellows in the United States or abroad prefer us to deposit installments
directly to their U.S. checking accounts. We make such payments about a week
before the first of the month that begins any quarter of a Fellowship.

In case of foreign travel, a Fellow may prefer to receive installments of his
grant in the form of American Express travelers cheques. It is easy for us to
arrange delivery of travelers cheques abroad,

If a Fellow opens an "external account" in England or a dollar account elsewhere
(where dollar accounts are permitted) we can arrange for deposit of payments
to that account,

Expenses Incident to Fellowship

Fellows may draw against their grants in advance for payment of traveling
expenses, or other expenses, if they wish todo so. A request for such an
advance should not be made until a reasonable time before funds are actually
to be expended for such purpose.

The balance remaining in a Fellowship grant may then be paid in quarterly
installments, as outlined above,

Date of Beginning

Will you please send us a note a couple of weeks in advance confirming the
exact date you plan to begin your Fellowship studies? Also, then, please
instruct us when and how you wish your grant paid.

Addresses

It is requested of Fellows that they keep the office of the Foundation informed
of changes of address as they occur -~ or, preferably, before they occur --
during the course of their. Fellowship studies.

SOCIAL SCIENCE RESEARCH COUNCIL
230 Park Avenue, New York 17, N.Y.

INSTRUCTIONS FOR GRANTEES AND FACULTY RESEARCH FELLOWS

In awarding fellowships and grants the Council indicates its confidence in the ability and integrity of its
appointees, and has no desire to burden them with detailed rules and regulations. The following paragraphs set
forth some policies which have been found mutually advantageous to the appointees and to the Council, and which
ate to be applied with discretion in differing situations,

1. Committee Action Subject to Review - All actions of committees on fellowships and grants are subject to
review by the Board of Directors of the Council at its discretion.

2. Adherence to Stated Program - The fellowship or grant is offered in support of the program set forth in the
application or agreed upon in subsequent correspondence. If execution of this program is to be abandoned, radi-
cally changed, interrupted, or postponed beyond the time proposed in the application, the Council’s approval must
be secured in advance or the award will automatically lapse. The Council reserves the right to withhold or to re-
cover all or a pro rata part of the stipend in such cases.

Permission to postpone or interrupt the tenure of an award for more than one year will not normally be granted;
postponement or interruption for a shorter time may be authorized at the Council’s discretion.

3. Other Employment - It is understood that during the tenure of an award, the recipient will not undertake
any other employment except that which has been specified in his application or stipulated in the terms of award.

4. Concurrent Financial Support from Other Sources - In awarding stipends account is taken of estimated
total support from all sources. Therefore it is to be understood that the recipient will notify the Council of any.
other assistance received for the same program, and that the Council reserves the right to readjust its own grant
accordingly.

5. Use of the Council’s Name - The holder of a fellowship or grant should carefully avoid giving the impres-
sion that he is an employee of, or that he is carrying on investigation on behalfof,the Council. It is not improper,
however, to refer to the fact that the project has been aided by the Council’s award. In publications based on re-
search aided by a fellowship or grant, acknowledgement of the Council’s assistance may properly be made ina
footnote or prefatory note, but not otherwise.

6. Copies of Publications - The Council will be grateful for the gift of one copy of any book and one reprint
of any article based on work aided by the fellowship or grant.

7. Report - At the end of the term of the fellowship or grant, the recipient is expected to submit to the Coun-
cil a report on the work accomplished. This report, which need not be more than five or ten pages in length, should
include a statement of the present status of the research and any plans for its continuation, and if appropriate,
brief mention of salient findings or conclusions. As a guide in determining policies with respect to future grants,
the Council will also appreciate an approximate statement of expenditures, together with any pertinent comment;
this request does not imply intent to audit the disbursement of funds.

8. Payment - Payment will be made directly to the fellow or grantee, Small grants are ordinarily paid in a

lump sum; larger grants are ordinarily paid in quarter-yearly installments, except that allowances for maintenance

t A lieu of salary are ordinarily paid in monthly installments, Other schedules of payment can be ratranged if
‘ f

‘oreign travel is involved or large expenses must be met at particular times,
At least two weeks’ notice should be given when any change of payment schedule is desired,
LS

9, Communications - Fellows and grantees are expected to keep the Council currently informed of their
mailing addresses while traveling, .

In order that the Council may keep its general mailing lists up to date, fellows and grantees are invited to
continue to notify the Council of subsequent changes of permanent address.

Elbridge Sibley

IG 8,61 (1M) Aj F
Executive Associate

TO:

SUBJECT:

Social Science Research Council

230 Park Avenue, New York 17, N.Y.
Murray Hill 9-1623

August, 1962

MEMORANDUM

Recipients of the Council's Fellowships and Grants

Taxability or Exemption under Federal Law

This memorandum has been reviewed by legal counsel,

in whose opinion it is a correct summary of the pertinent provisions

of the I
It mast

nternal Revenue Code of 195 and regulations thereunder.*
be noted, however, that the Council is not qualified to

offer legal advice in particular cases.

The provisions here summarized apply to amounts received

after December 31, 1953.

1. Fellowships held by candidates for academic degrees.

In the case of a scholarship or fellowship received by a
candidate for an academic degree, the basic grant generally
may be excluded from gross income, and thus need not be
reported on the recipient's Federal tax return. Supple-
mentary allowances specifically designated for research
expenses, clerical help, equipment and travel (including
the recipient's meals and lodging while traveling and an
allowance for family travel) incidental to the purpose of
the grant may also be excluded from gross income. The
exclusion of supplementary allowances is limited, however,
to the amounts actually expended for these purposes during
the term of the grant or within a reasonable time before
and after such term. Any unexpended balance should be
included in the recipient's gross income for the year in
which the grant terminates, unless the balance is returned
to the Council. The regulations state explicitly that the
study or research leading to a degree need not necessarily
be performed at the degree-granting institution.

* Internal Revenue Code of 195, section 117 (68A Stat 38);
Regulations, sec. 1,117 to 1.117- (21 Federal Register 1869) ,
as amended by T.D, 656 (25 Federal Register 220).

~2-

2. Fellowships held by persons who are not candidates

for academic degrees.

The Code excludes from gross income limited amounts received
as fellowship grants by fellows who are not candidates for
degrees. The amount excludable in any year cannot exceed
$300 times the number of months for which amounts are
received under the grant during such year, A given indi-
vidual is entitled to this exclusion for an aggregate
period, continuous or intermittent, of not more than 36
months at any time subsequent to December 31, 1953. The
36-month period includes every month for which exclusion

is claimed, even though the grant for that month may be
less than $300, If in any month fellowships are received
concurrently from more than one donor, the amounts received
are aggregated for purposes of applying the above exclusion
rule, but that month is counted only once in determining
the number of months for which amounts have been received.

If the basic grant does not exceed the rate of $300 per
month for the specified term of the fellowship or grant,
it is immaterial whether the money is received in a lump
sum or in installments. If however this rate is exceeded,
the time and manner of payment are important because any
amount received in excess of the rate of $300 per month
must be reported as taxable income in the year in which
it is received,

Any amount granted over and above the basic grant and
specifically designated as an allowance for research ex-~
penses, clerical help, equipment and travel (including

meals and lodging while traveling and an allowance for
travel of the recipient's family) incidental to the purpose
of the fellowship may be excluded from gross income without
regard to the $300 per month limit. Amounts so received

may be excluded only to the extent that the allowance is
actually expended for such purposes during, or within a
reasonable time before and after, the term of the fellowship.
Any unexpended balance retained by the recipient is includ-
able in his gross income in the year of termination of the
fellowship. (See paragraph 3A, below.) An expense allowance
may not be excluded from gross income if incident to a grant
received by a fellow who has’ exhausted his 36-month exclusion
period.

3. Grants for research to persons who are not candidates

for academic degrees.

The status of a grant for research or travel appears to
depend on whether the grant is incidental to a scholarship
or fellowship grant or is an independent grant made solely
to cover expenses.

-~3-

A. A grant for research which provides for maintenance
of the recipient for a stated period of time as well
as an allowance for research expenses might be regarded
as being in effect a postdoctoral fellowship, and there-
fore subject to the special provisions summarized in
paragraph 2 above.

B. A grant for research expenses only may be regarded as an
allowance incidental to a fellowship under paragraph 2
above, if the recipient is released from other duties
and uses the grant to aid him in the pursuit of his own
study or research.

Cc. A grant for research expenses only, if it does not come
within subparagraph A or B above, constitutes gross in-
come. The recipient should report the full amount of
the grant but may claim deductions from gross income of
amounts actually expended for travel, supplies, research
assistance, and other research costs.

kh. International Conference Travel Grants.

If the recipient can maintain that he is traveling "in
pursuit of a trade or business," the full amount of the grant
should be reported as gross income, and deductions claimed
for amounts actually expended for transportation. Alterna-
tively, under Revenue Ruling 59-81, 1959-1 Cum. Bull. 37,

it appears that a travel grant might be excluded from gross
income under provisions summarized in paragraph 2 above;

put this would involve using up part of the permissible
36-month exclusion period.

5. Auxiliary Research Awards.

These grants, which are expendable at the recipients! discre-
tion, may come under one or more of the provisions summarized
in paragraphs 2 and 3 above, depending on the actual use made
of the grants.

6. Grants to Participants in Training Institutes or Seminars.

Study grants and expense allowances may be regarded as equiva-
lent to payments received by predoctoral or postdoctoral
fellowship holders as the case may be. (See paragraphs 1 and
2 above.) Salaries or honoraria of the directors and members
of teaching staffs of institutes are payments for services
rendered and therefore are taxable income.

Note: In the case of any award under which funds are deposited with
the grantee's university or other institution rather than being paid
directly to him by the Council, the grantee should consult the appro-
priate. official concerning reports made by the institution of its
payments to him, as it may be necessary to establish the fact that the
funds constitute a grant from the Council to the individual, the

university or other institution being in this respect a fiscal agent
of the Council.

IT-3(Revised, Aug. 1962)

Social Science Research Council
230 Park Avenue, New York 17, N. Y.
COMMITTEE ON FACULTY RESEARCH FELLOWSHIPS

Date of Committee action: December 17, 1963

To: professor Otto Kirchheimer
516 Fayerweather Hall
Columbia University
New York, N. Y¥,. 10027

The committee named above has recommended that the Council offer you a

fellowship
in the amount of $6,000.00

for a period of 12 months
for the purpose set forth in your application dated October 18, 1963.

Of the above amount, $5,300.00 is for maintenance in lieu of salary
(for12 months).

This appointment is subject to the conditions stated in the attached
"Instructions for Grantees and Faculty Research Fellows (IG 8.61)."

A memorandum on pertinent provisions of the Internal Revenue Code
is enclosed for your information.

Will you kindly complete and return the attached form indicating
your acceptance or declination of this offer at your earliest convenience.
If your acceptance is not received within three weeks after this notice,
the offer may be rescinded without further notice. Immediate notice of
inability to accept an appointment will be appreciated both by the Council
and by any other applicant named as alternate who may thus be enabled to
receive a grant.

Rowland L, Mitchell, Jr.
Staff Associate

AG
8.62
(400)

5. Copy for Social Science Research Council
Appointee

COMMITTER {8 2 AGL?

wea ES

Name and Address of Appointee Date voted ingembor 17y 1963
Profesor Obba flrehhelner
erveather Ushi

fellovenig

Amount = #4g{}0600

Period 42 monte eon

Date of application Grimiar 1b, 1963.

Of the above amount, 254 3/¥}_ik) is for maintenance in lieu of salary
(for %g months).

This appointment is subject to the conditions stated in the attached
"Instructions for Grantees and Faculty Research Fellows (IG 8.61)."

Method of Payments

Hold for inetructions.,

Fd Gi fefgy

A CAL MLE
Certified for 3 .
payment =

Date:__danuary 29, 196k

THIS COPY IS FOR THE APPOINTEE'S INFORMATION ONLY

TELEPHONE * MURRAY HILL 7-4470 - AREA CODE 212 CABLE ADDRESS + GUGMEMORA

JOHN SIMON GUGGENHEIM MEMORIAL FOUNDATION
551 FIFTH AVENUE-NEW YORK-N-Y-

8 February 1964

The Committee of Selection has asked us to secure for them estimates
of the budgetary requirements of your proposed Fellowship studies,
Please complete and return one copy of the form enclosed and retain
the other for your files.

The budget form is designed to meet provisions in the IRC and Treasury
regulations concerning fellowship grants.

In effect, Section 117 of the IRC says that gross income does not include
fellowship grants to recipients who are not studyjng for degrees (if
granted by an organization such as this one) up to a limit of $300, a
month for a maximum of 36 months, and that any amounts received and
used to cover expenses which are incident to the fellowship grant "for
travel, research, clerical help, or equipment" shall not be taxable as
income,

The Treasury regulations (copy enclosed) provide for the exclusion
from taxable income of such sums as are "specifically designated" by
a foundation "to cover expenses for travel (including meals and lodging
while traveling and an allowance for travel of the individual's family),
research, clerical help, or equipment" and are actually expended for
such items during the period of tne fellowship, in order to effectuate
the purpose for which the fellowship grant was awarded,

Sabbatical leave salaries, Fulbright research grants and grants-in-aid
may be held concurrently with Guggenheim Fellowship grants. Other
fellowships or scholarships, as distinct from grants-in-aid, wwiay not be
held concurrently, Hence, if you are awarded a Guggenheim Fellowship
and also are awarded another fellowship or scholarship for the same
period, the situation will be so far as we are concerned, that you may
take your choice but you may not have both for the same period.

Will you please send me your response as soon as Plone yh can do so?

Pareto N. dk y

President
Dr. Otto Kirchheimer

2801 Beechbank Road
Silver Spring, Maryland

We intend to release the story of the Fellowship
appointments for publication in newspapers of
Monday morning, 30 March 1964, Please hold
confidential the notification of your appointment,
in the sense that you do not permit it to be pub-
lished, until that date.
John Simon Guggenheim
Memorial Foundation

’ .
Maroh 20,19646 4. |. ;
‘

i Gordon naRay ,Presiaent s
Bola Simon Guggenhe Ln wemori gl Fellowsh

i

March 20,1964.

Mr, Gordon N.Ray, Prea.

a Simoni Guggenho lia Nemdrial Foundation
SL Pigfth Avenue ;

New York Nal.
/

bear Mry Ray?

é Thank you very mich for your

Aatiter of March 17, I gratefully

/aecept the Fellowship awarded me

f vy the John Simon Guggenheim Foundation.
Thanking you again, I am,

sincerely youra,

(Otto Kirchhelmer)

JOHN SIMON GUGGENHEIM MEMORIAL FOUNDATION
S51 FIFTH AVENUE

New YoRK

GORDON N. RAY
PRESIDENT

17 March 1964

Mr, Otto Kirchheimer
2801 Beechbank Road
Silver Spring, Maryland

Dear Mr, Kirchheimer:

Iam specially pleased to send you the enclosed letter
of notification of the award to you of a Guggenheim
Fellowship.

Your Fellowship from us is, as you wish, for the
period from June 1965, Thus there will be no conflict
in the periods of your SSRC faculty research fellowship
and your Guggenheim,

Yours sincerely,

Aorettn lt her

Gordon N, Ray

JOHN SIMON GUGGENHEIM MEMORIAL FOUNDATION
55) FIFTH AVENUE

New YoRK

GORDON N. RAY
PRESIDENT

17 March 196)

Mr. Otto Kirchheimer
2801 Beechbank Road
Silver Spring, Maryland

Dear Mr. Kirchheimers

I have the honor to inform you that the Foundation has
awarded you the Fellowship you requested. Your grant
is recorded in the Minutes of the Board of Trustees,
as follows:

Proposed studies: Studies of parliament and
party in Western Europe.

Periods: Bight months from June 1965.
Grant: Six thousand dollars ($6,000.).

Will you please, at your earliest convenience, send
us a note of acknowledgement? Attached hereto is a
memorandum designed to answer questions concerning the
Guggenheim Fellowships.

With all good wishes.

Yours sincerely,

forsen Ihe

Gordon N. Ray

JOHN SIMON GUGGENHEIM MEMORIAL FOUNDATION

551 Fifth Avenue New York, N.Y, 10017

MEMORANDUM FOR FELLOWS + 1964

This memorandum is written to anticipate some of the questions which may arise
during the period of your Fellowship:

You are notified that the Foundation has granted your request for assistance to car-
ry on the studies which you proposed in your application. The funds granted to Fel-
lows are gifts by the Foundation to assist them to pursue their own plans for self-

improvement, to help them to do what they want to do to advance their own training,

education and development.

Hence, it is expected that Fellows, during the periods of their Fellowships, will oc-
cupy themselves, under the freest possible conditions, with the studies, research or
creative activities to further which they requested the Foundation’s assistance and
for which their Fellowships were granted,

In the event that a Fellow desires to resign or withdraw from his Fellowship during
its term, equitable arrangements will be made to fit the particular circumstances,

Shortly before Fellows take up their Fellowships, they are given Letters of Appoint-
ment, bearing the seal of the Foundation, indicating the periods for which they are

appointed, stating the fields of study in which they intend to occupy themselves, and

recommending them as distinguished students to the esteem, confidence, and friend-
ly consideration of all persons to whom they may present their letters.

It is requested of Fellows that they keep the office of the Foundation informed of
their addresses.

Shortly before Fellows enter upon their Fellowships, it is suggested that they should,
for their own protection, be examined by a responsible physician and that copies of
their physicians’ reports on physical fitness should be sent to the Foundation.

The grant stated in the attached letter is your total grant from us, It is a gift that
you may use as you wish to assist your studies: we want no accounting whatever of
its use.

However, as with all payments of money nowadays, income tax questions may arise;
and within the next few days we shall send you a memorandum on that subject, as
related to Guggenheim Fellowship grants.

Gordon N, Ray
President

TELEPHONE * MURRAY HILL 7-4470 - AREA CODE 212 CABLE ADDRESS * GUGMEMORA

JOHN SIMON GUGGENHEIM MEMORIAL FOUNDATION
651 FIFTH AVENUE-NEWYORK-N-Y-

March 2h, 1964

Mr. Otto Kirchheimer

Department of Public Law and Government
Columbia University

New York 27, New York

Dear Mr. Kirchheimer:

Thanks for your letter of March 20 acknowledging the
award to you of a Guggenheim Fellowship. For our part we
are glad to add your name to the Foundation's roll, a
distinguished one, as we think.

A memorandum on the relation of your Fellowship grant
to Federal income tax provisions will be sent you shortly,
together with information concerning our procedures for
paynent.

With all good wishes,

Yours sincerely,

Bescon!) Kar

Gordon N. Ra,
President
GNR: 1b

”

we a ey pl
TELEPHONE si URRAY HILL 7-4470 - AREA CODE 212 CABLE ADDRESS * GUGMEMORA

JOHN’ SIMON GUGGENHEIM MEMORIAL FOUNDATION
551 FIFTH AVENUE-NEW YORK-:-N-Y-

March 25, 196)

Mr. Otto Kirchheimer

Department of Public Law and Government
Columbia University

New York 27, New York

Dear Mr. Kirchheimer:

The Foundation is required to send the Treasury Department
each tax year an information return on all payments of
Fellowship grants. When you prepare your Federal income tax
you will need to refer to your estimated budget and the
Trustees! Resolution, a copy of which I now enclose.

As to payments, a separate enclosure outlines our procedures.
We shall be pleased to arrange a achedule of payments that
suits your convenience.
Our payments are made by the first of the month that beging
any quarter of a Fellowship year. To arrange these payments,
we rely on Fellows to confirm or alter addresses and instructions
no later than the fifteenth of the month preceding the due date.
Please send us your instructions in course.
With all good wishes.

Sincerely yours,

STi FB 12,

Canty
es F. Mathias
jecretary

jém/imb

JOHN SIMON GUGGENHEIM MEMORIAL FOUNDATION
MEMORANDUM ON UNITED STATES FEDERAL INCOME TAX

The Foundation holds that Guggenheim Fellowship grants are tax-exempt gifts, and
therefore not includable in gross income, However, in its regulations, the United
States Treasury Department has taken the position that, irrespective of the
provision in the Internal Revenue Code exempting gifts from income tax, the
question whether a fellowship grant is taxable is controlled solely by Section 117
of the United States Internal Revenue Code of 1954,

Section 117 provides that fellowship grants, such as this Foundation's, are
excludable from gross income up to $300, a month for 36 months. The Treasury
Department's Regulations further provide for the exclusion of any amount "which
is specifically designated to cover expenses for travel (including meals and lodging
while traveling and an allowance for travel of the individual's family), research,
clerical help, or equipment," . . , "provided that such expenses are incident to"
the Foundation's fellowship grants. ‘

When the Trustees met on March 16, 1964 and voted Fellowship appointments, the
officers stated that budgets had been requested--and received--from all persons
being appointed to Fellowships, and that these budgets stated--in terms of the
language of Section 117--what sums would be needed for transportation for the
Fellow (and his family, if any) for his meals and lodging while traveling, for
research, clerical help and equipment--all incident to the purposes for which it
was contemplated that the Fellowship would be granted. The Trustees then
enacted the following resolution,

"RESOLVED, That the sums requested by the candidates, who are now
appointed to Fellowships, to cover expenses for travel (including meals and lodging
while traveling and an allowance for travel of the individual's family), research,
clerical help, or equipment, be, and hereby are, specifically designated to be
appropriated for such purposes incident to the Fellowship grant. u

The officers were authorized and directed to inform each Fellow accordingly, and
to inform him also of the Treasury Department's Regulation as follows:

"The requirement that these expenses be incident to the scholarship or the fellow-
ship grant means that the expenses of travel, research, clerical help, or equip-
ment must be incurred by the individual in order to effectuate the purpose for
which the scholarship or the fellowship grant was awarded," and that "the exclusion
provided" as above stated "is applicable only to the extent that the amount received
for travel, research, clerical help, or equipment, is actually expended for such
expenses by the recipient during the term of the. . . fellowship grant and within

a reasonable time before and after such term,"

You ought, for Federal income tax purposes, not only to keep careful accounts of
your expenses, but also get vouchers, whenever possible, for those expenses
incurred "for travel, research, clerical help, or equipment which are incident to
such . . . fellowship grant.'' We do not want to see these accounts and vouchers;
we are simply suggesting that you will find such accounts and vouchers useful in
your dealings with the United States Federal income tax aushoriies.
ase, V BIA 1 Ga
ries F. Mathias, Secretary

May 14,1964,

My. Rowland L.Mitcheld, Jr.
Social Selenes “esearch Council
250 Paryk Avenue

New York 17,N.¥.

Dear “y, Mitehetls

I thought I let you know that definite
arrangements have been completed by Columbia
University to grant me leave for the second term
of the 196465 academic year,

T shall start full-time work on my project
at the end of this term, I would therefore
appreciate If arrangements could be made to
start monthly payments on my 12 months grant
as of July 1,1964,

If no inconvenience 1s invblved, 16
might be best to forward the monthly payments
divestly to my bank: American National, Bank
8701 Georgia Avenue, Silver Spring,Md. 20910
account numbers $73«952,

With many thanks,
sincerely yours,

JOHN SIMON GUGGENHEIM MEMORIAL FOUNDATION

90 PARK AVENUE, NEW YORK, N.Y. 10016
TRLEPHONE: MURRAY HILL 7-4470

CABLE ADDRESS: GUGMEMORA

June 17, 1965

Mr. Otto Kirchheimer
2801 Beechbank Road
Silver Spring, Maryland
Dear Mr. Kirchheimer:

With your Letter of Appointment, enclosed,
go the best wishes of all of us for a happy and

fruitful Fellowship.

Sincerely yours,

Tari PD tig

( es F. Mathias
“Secretary

jfm: £t

enclosure

JOHN SIMON GUGGENHEIM MEMORIAL FOUNDATION
90 PARK AVENUE

New YORK

JAMES F. MATHIAS
SECRETARY

18 dune 1965

I HEREBY CERTIFY, That Dr. Otto Kirchheimer,
Professor of Government, Columbia University,
New York City, has been appointed by the
Trustees of the John Simon Guggenheim Memorial
Foundation to a Fellowship for the period from
July 1, 1965 to February 28, 1966.

During this period Dr. Kirchheimer will devote
himself to studies of parliament and party in
Western Europe.

Dr. Kirchheimer is respectfully recommended by the
John Simon Guggenheim Memorial Foundation to the
esteem, confidence and friendly consideration of
all persons to whom he may present this letter.

a
(gahes F. Mathias

A - 6 - otto Kirchheimer

Objectives and Nature of Results:

In the last analysis my interest in the subject derives from
curiosity # out the fate of both parliament and political party as
connecting links between the population and the political establishment
in the age of mass democracy. Are they just proceduralcogs used to
police and channel political energies? If they have a more substantive
role to play how should it be defined? The respective national material.
on 6isfunetional aspects of various parliaments abound but they have
rarely been treated on & comparative basis. There 1s abundant descriptive
and statistical material and some - mostly French = hypothesis on the
European political parties. I would want to dig a little deeper and
arrive at a less sketchy critical evaluation on the status of both.

Materials:

Avaliable materials consist of European research studies,
governmental and parliamentary reports and the respective parliamentary
records. A Bertain number of interviews with parliamentary leaders and
administrators are an indispensible part of the projects they serve as
a control of the meaning of the published material which at times ia
apt to hide rather than emphasize the dimensions of a problem.

Time and Travel Schedule:

My present estimate as to the time table runs as follows:
16 months fll time and another half year part-time work. I would be
able to devote two academic terms as well as the summer months of
1965 and 1966 to the atudy . Part of the summer 1964 would also be used.
I would atm for autumn 1966 as completion date. The 16 months would
include a two months European interview schedule and an additional
two months Lurbpean research period,

~ Bw obte Kirchhetmer

Progreds Reports

Since I left the State Department research organization in
1955 I have worked at various fasetspf the problem. I have dealt with
parliamentary opposition in general ( see list of publications) and
have finished a fifty page chapter on Parliamentary Opposition in Germany
for a forthcoming collective work on parliamentary opposition. I have
also done work on the new French Constitution which has partly been
published. In recent months I have been concerned with parliamentary
institutions of Europe in general as preparation for a paper to be given
at the forthcoming Chicage UNESCO Conference on Europe. fT am now working
on a paper on European parties for the forthcoming SSRC Conference in
Rome. A special segnent of the problem, the interrelations between the
political and the judicial apparatus is treated in my 1961 book on Politi
cal Justice. Special aspects of this interrelation as they recently came
to light in the Spiegel affair will be treated in a chapter of the forth«
coming Harcourt Brace volume on I,ternational Cases.

I am bilingual (English ~ German) my French reading knowledge
is at level with the other two languages, I write French fluently, while
speaking needs a few weeks refresher in France. I have satisfactory
reading knowledge of Italian.

(°]

I shall have the full coosvation of my academic colleagues
in France, England and Italy and through them I will be able to approach
the respective administrators and ke members of parliament. I am widely
acquainted with the German members of my profession and judges, admini-
stvators and members of parliament. No passport difficulties are
anticipated.

D Financial Estimates

Travel costs: $ '700.~
Additional living cost abroad $ '700.-
Equipment, supplies and typing } 200.-

Done a

My budget schedule for the academic year 1964 +65 will run
as follows:

L term salary at Colurbia University before deductions
§ 8,000.— (after deductions § 6,000,- Support sought from the SSRC
in liew of salary $ 6,300,- excess living cost abroad § 700.-
A similar arrangement would apply for 1965-66 with the exception of
the § '700.= item for exeess living cost abroad, since only one four
wonths satay abroad is contemplated.
No attempt has so far been made to secure financial support from other
sources, However, I will approach the European Institute at Columbia
if funds should become available for such purposes in the future, in ord
to hire research assistants and to cover additional axpenditure.
Te no funds are available from Columbia I would approach the Council
of Learned Societies for travel support. In the absence of any further
support IT would carry these expenses myself.

Aune #.Kirchheimer
2801 Beeohbank Road
Silver Spring,Md. 20910

January 13,1966

Mx. James F.Mathias

John Simon Guggenheim Memorial Foundation
SSkxReLEh

90 Park Avenue

New York, NeX. 10016

Dear “r. Mathiase

I received notice from my bank
that $1,500 were credited on January 10
to the account jointly hela by my husband
and myself. I wonder whether you and the
John Simon Guggenheim Memorial Foundation
are aware of the fact that my husband,
Professor Otto Kirchheimer died of an acute
coronary thrombosis on November 22 1964,

Sincerely yours,