1. Introduction to Training Grants Sponsored Projects Administration (SPA)

2. Audience This course is intended for “department administrative staff”—including department administrators, division managers, department fiscal managers, department effort coordinators, etc.

3. Introduction This session will focus on Federal Kirschstein-NRSA awards, however, the principles learned should be applied to all training grants Training Grants are known as T awards because the activity type assigned by the NIH begins with a T

4. Introduction Appointments are intended to be for one year Requires full time research training (must be 100% effort and 1.0 FTE) Limited to five years at the predoc level and three years at the post doc level

5. Introduction NIH resources Grants Policy Statement, Kirschstein-NRSA Section: http://grants.nih.gov/grants/policy/nihgps_2003/ NIHGPS_Part10.htm#_Toc54600187 http://grants.nih.gov/grants/policy/nihgps_2003/ NIHGPS_Part10.htm#_Toc54600187 Program Announcements and Other Information: http://grants.nih.gov/training/nrsa.htm http://grants.nih.gov/training/nrsa.htm

6. Training Grants Institutional Training Grants are awarded to an institution to support a training program OHSU chooses who is appointed to the grant Appointment periods may overlap the budget period indicated in the NGA Expenses must be allowable under A-21 OHSU must file an annual Financial Status Report (FSR)

7. NGA NGA standard DHHS format Categorical budget Number of appointments Sample NGA

8. Budget Categories Award is comprised of the following categories: Training Expenses Stipends Trainee Tuition/Fees Trainee Travel F&A

9. Budget Categories Stipends A subsistence allowance to help defray living expenses during the research training experience. This is not a salary. Stipend levels are predefined Stipends must be issued by Accounts Payable Link to Scheduled Disbursements Form: http://www.ohsu.edu/xd/about/services/financial- services/forms/forms-policies.cfm#CP_JUMP_121215 http://www.ohsu.edu/xd/about/services/financial- services/forms/forms-policies.cfm#CP_JUMP_121215 Stipend levels: http://www.ohsu.edu/research/rda/rgc/budgetdev.shtml#stip end http://www.ohsu.edu/research/rda/rgc/budgetdev.shtml#stip end

10. Stipend Levels Career Level Stipend (FY 2009) Undergraduates in the MARC and COR programs: Freshmen/Sophomores$7,896 Juniors/Seniors$11,064 Predoctoral$20,976 Postdoctoral - years of experience: 0$37,368 1$39,360 2$42,204 3$43,860 4$45,504 5$47,460 6$49,344 7 or more$51,552

11. Stipends Post doc graduation date = degree conferred “Relevant Experience” may include: Research experience outside OHSU Clinical duties Residency Internship Teaching assistantship Time spent in a health related field beyond that of qualifying for a doctoral degree The PI determines if experience is relevant, and may have to justify assessment to the NIH

12. Budget Categories Trainee Tuition/Fees: generally limited to predocs and are awarded at: Predoc: 60% up to $16,000 60% up to $21,000 for dual degree Postdoc: 60% up to $4,500 60% up to $16,000 for additional degree

13. Budget Categories Training Related Expenses: used to defray costs directly related to the training program Awarded at a flat rate: $4,200 for predocs $7,850 for postdocs Now includes health insurance A-21 Subject Administrative Salary 5% for grants with 5-10 positions 10% for grants with over 10 positions

14. Budget Categories Travel: used to attend scientific meetings as determined by the PI Should not be used for commuting costs F&A: limited to 8% of MTDC

15. Forms Statements of Appointments must be submitted annually during the training term before a stipend payment can be issued If required, includes documentation for those legally admitted for permanent residence Send copies to SPA Link to Form: http://grants.nih.gov/training/phs2271.pdf http://grants.nih.gov/training/phs2271.pdf

16. Statement of Appointment Common errors: Stipend level Do not include supplementation Incorrect term Not 9/29/07-9/29/08 or 9/29/07- 9/30/08

17. Scheduled Disbursements Form The department initiates the Scheduled Disbursements form and sends to SPA for approval with a copy of the Statement of Appointment If possible, begin appointments on the first day of the month Mid-month appointments are prorated based on the number of days in the month SPA will review/approve the form and route the original to AP

18. Prorating Example Predoc appointed 4/2/09-4/1/10 Prorate 4/2/09-4/30/09: (29/30)*1,748=1,689.73 Prorate 4/1/10: 1,748 – 1,689.73=58.27 APRIL SMTWTFS 1234 567891011 12131415161718 19202122232425 2627282930

19. Scheduled Disbursements Form Stipends should be to AP by the 15 th of each month New Trainee must submit a Residency Status Information Form: http://ozone.ohsu.edu/financial/ap/pdf/Resi dencyStatusInformation.pdf http://ozone.ohsu.edu/financial/ap/pdf/Resi dencyStatusInformation.pdf

20. Termination Notice Due within 30 days of the end of training experience per award Link to Form: http://grants.nih.gov/grants/funding/416/ph s416-7.pdf http://grants.nih.gov/grants/funding/416/ph s416-7.pdf

21. Termination Notice SPA verifies the stipend charged to the grant matches the termination notice Prorate Stipends if early termination Initial Appointment: 9/1/09-8/31/10 Early Termination: 9/1/09-4/15/10 (15/30)*1748 = 874.00 APRIL SMTWTFS 123 45678910 11121314151617 18192021222324 252627282930

22. Termination Notice NIH verifies: The Trainee was paid the correct amount Any service obligation was fulfilled The link to the Annual Payback Activities Certification: http://grants.nih.gov/grants/funding/416/ph s6031-1.pdf http://grants.nih.gov/grants/funding/416/ph s6031-1.pdf

23. Case Study I have a fellow starting who earned his postdoctoral degree in June two years ago, but spent his first year after graduation doing patient intake for his father’s practice. What stipend level should he be appointed at? Does he have relevant experience between graduation and today? Has a full year passed since graduation? (cannot be appointed at a higher level until the anniversary of graduation has passed and cannot be changed midyear) Which stipend schedule do I use? (use the schedule in effect when the project period started)

24. Rebudgeting The Stipend and Tuition/Fees categories can be rebudgeted among trainees and between categories May not rebudget to any other category Training Related Expenses and Travel may be rebudgeted among trainees and into any other category F&A may be rebudgeted to equal the earned amount

25. Example Award Stipend Tuition/Fees Training Related Expenses Travel F&A Rebudget to Stipend Tuition/Fees Training Related Expenses Travel F&A

26. Rebudgeting Awarded-Stipend 7/1/09-6/30/10 20,976 62,928 Spent-Stipend 7/1/09-6/30/10 20,976 7/1/09-3/31/10 15,732 57,684

27. Rebudgeting Awarded-Tuition/Fees 16,000 48,000 Spent-Tuition/Fees 20,000 18,000 10,000 48,000

28. Rebudgeting Awarded 7/1/09-6/30/10 20,976 16,000 4,200 1,000 2,094 7/1/09-6/30/10 20,976 16,000 4,200 1,000 2,094 7/1/09-6/30/10 20,976 16,000 4,200 1,000 2,094 132,810 Spent 7/1/09-6/30/10 20,976.00 25,000.00 6,000.00 500.00 2,198.08 7/1/09-6/30/10 20,976.00 22,335.28 4,000.00 500.00 2,038.08 7/1/09-3/31/10 15,732.00 10,000.00 1,200.00 0.00 1,354.56 132,810.00

29. Rebudgeting Awarded 7/1/09-6/30/10 20,976 16,000 4,200 1,000 2,094 7/1/09-6/30/10 20,976 16,000 4,200 1,000 2,094 7/1/09-6/30/10 20,976 16,000 4,200 1,000 2,094 132,810 Spent 7/1/09-6/30/10 20,976.00 25,000.00 6,000.00 500.00 2,198.08 7/1/09-6/30/10 20,976.00 22,335.28 4,000.00 500.00 2,038.08 7/1/09-3/31/10 15,732.00 10,000.00 1,200.00 0.00 1,354.56 132,810.00

30. Reporting SPA must file an financial report annually SF-269A

31. Reporting Carryover: unobligated funds available at the end of the budget period Note: Carryover must be requested from the agency, but is generally not allowed Line i on FSR

32. Reporting Unliquidated Obligations: used to account for any stipends and tuition/fees charges for appointments that overlap the grant year Encumbrances are reported as unliquidated obligations on the FSR Line f on FSR

33. Appointment Example Budget period 7/1/09-6/30/10 Appointment 9/1/09-8/31/10 GSPAD0001AGSPAD0001B Trainee 7/1/09 9/1/09 6/30/10 7/1/10 8/31/10 6/30/11 Outside Project Period

34. Encumbrance Example GSPAD0001AGSPAD0001B Trainee 7/1/09 9/1/09 6/30/10 7/1/10 8/31/10 6/30/11 7/1/010-8/31/10 SPA will encumber funds from GSPAD0001A to GSPAD0001B

35. Reporting Training grants are under FDP GSPAD0001E Trainee 7/1/09 9/1/09 6/30/10 8/31/10 No Cost Extension

36. Case Study One of the fellows on my T award had terminated early. We had encumbered funds for his stipend from last year. Am I able to use these funds? Did the fellow incur tuition and fees in this period that have not posted to the grant? Is there another fellow whose stipend was also encumbered from the prior year who incurred tuition and fees that have not posted to the grant?

37. Summary This course has given an overview of NRSA T awards Understanding will help ensure proper stewardship of federal funds

38. Questions?