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How to manage your NRSA award without it managing you
Presenters: Kjersten Reich, Senior Grant Administrator, Massachusetts General Hospital Meaghan Nolette, Research Finance Manager, Partners HealthCare Glenda A. Bullock, Manager of Business Operations, Division of Hematology, Washington University
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What is a Training Grant?
2 What is a Training Grant? A training grant is an assistance grant awarded to “eligible institutions to develop or enhance research training opportunities for individuals, selected by the institution, who are training for careers in specified areas of biomedical, behavioral and clinical research”
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Who was Ruth L. Kirschstein?
3 Who was Ruth L. Kirschstein? First woman appointed director of an NIH Institute Later appointed deputy director and acting director of the NIH Her work on polio led to a vaccine that virtually eliminated the disease Strong advocate for research training, especially inclusion of underrepresented individuals in science
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Objectives Offer a solid overview of concepts and terminology involved in NRSA awards Provide a foundation of information to assist you in managing NRSA awards Provide resources that will help you find answers as new situations arise
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KEY TERMS Stipends Period of Support
5 Stipends Period of Support Appointments Postdoc Payback Agreement X-Train Termination Leave Tuition & Fees Training Related Expenses Trainee Travel Re-budgeting Restrictions Indirect Costs Unliquidated Obligations Closeout vs. Unobligated Balance
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Roles on Training Grants
6 Roles on Training Grants PI/PD Responsible for the scientific and programmatic oversight of the training grant Departmental / Central Admin Appointed by PI and/or departmental leadership to assist with managing funds, salary distributions, forms, and reports associated with the training grant Mentors / Preceptors Selected by PI and/or steering committee for mentoring track record and area of research Each Trainee will be matched with at least one mentor to complete a training program Trainees Pre or Postdoctoral fellows selected by established process to complete a defined training program Must be U.S. citizens or permanent residents
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Training Grant Life Cycle
7 Training Grant Life Cycle NIH issues NOA FFR Re-Appointment Process Start Process Appts. And subcontract T32 Progress Report Training Starts Early Terminations Other actions
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8 Challenges Keeping track of trainee appointments: overlapping periods and accounting for individual expenditures Determining stipend levels Payback Agreement Termination Notices Leave Rebudgeting restrictions Unliquidated obligations & unobligated balance Closeout Renewal
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Do Training Grants have pre-award cost authority?
9 Quiz Question # 1 Do Training Grants have pre-award cost authority? Expense policies are those permitted in the NIH Grants Policy Statement This would apply to both pre and post award expenditures of all costs However, stipends and tuition costs may not be charged to the grant before the appointment is actually made
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Direct Costs: Indirect Costs: Budget Categories Stipends
10 Direct Costs: Stipends Tuition & Fees Trainee Travel Trainee Related Expense (TRE) including Health Insurance Indirect Costs: 8% x MTDC Base
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Stipends 11 A Stipend is a subsistence allowance to help defray living expenses during the period of training Stipend levels are predefined and are set annually by NIH Based on month appointment Less than 9 months not allowed unless completing a planned training program Stipend payment cannot be changed mid-appointment Tip: When possible, begin appointments on the first day of the month. Mid-month appointments are prorated based on the number of days in the month
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Career Level Stipends (for FY 2012)
Predoctoral $22,032 Postdoctoral – Years of experience $39,264 $41,364 $44,340 $46,092 $47,820 $49,884 $51,582 7 or more $54,180
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Determining Stipends 13 Postdoc graduation date is the equivalent to the date the degree was conferred “Relevant Experience” may include: Research experience outside the Institution 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
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Determining Stipends 14 Step 1 – Determine how many years of experience the trainee will have completed before the appointment date A trainee with a degree date of 06/01/2013 would have zero years of experience for an appointment date of 07/01/2013 Step 2: Determine the Fiscal Year stipend level Stipends will correspond with levels established by NIH for the fiscal year of the grant’s current budget year The stipend levels established for FY2012 will be employed for all budget years starting 10/01/11 or later, until new stipend levels are established
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Quiz Question # 2 A Postdoc earned her Ph.D. on 12/15/2012
She will be appointed to a T32 grant on 06/01/2013 She will be appointed to the budget period 07/01/12-06/30/13 What is the appropriate stipend level? Stipend Level = 0 What is the appropriate Fiscal Year? FY 2012
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Appointments: Other Considerations
16 Aggregate NRSA support limitations: Predoc: 5 year limitation Postdoc: 3 year limitation Effort Reporting: Trainees are not providing a service to the institution, and are therefore exempt Must be 100% effort and 1.0 FTE Written requests for part-time training will be considered on a case by case basis (usually due to health or family concerns)
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Supplementation 17 Grantees are allowed to supplement stipends with non-federal funds Supplementation is additional income to the fellow without additional duties Must be at a level consistent with similar training status Cannot require additional duties, effort, or obligation from the fellow If trainee is moved into a specific job code, the supplementation income is considered “salary” *Please refer to your institution's HR department for specific job code inquiries
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Other Compensation 18 Fellows may receive compensation for services associated with part-time employment Requirements: Limited, part time Outside normal training activities Cannot distract from training program May not be the same research that is part of the training experience *In the case of additional compensation the fellow receives a salary that is not considered stipend supplementation
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Can a trainee be supported on an NIH research
19 Quiz Question # 3 Can a trainee be supported on an NIH research grant at the same time they are receiving a stipend from a NRSA grant? PHS funds cannot supplement stipends Trainees must devote full time effort to NRSA grant Separate compensation from NIH must be limited part-time employment (i.e. – lab assistant)
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What is xTrain? xTrain is part of eRA Commons
20 xTrain is part of eRA Commons A Web-based program that allows PIs, administrators and trainees to complete required training grant forms electronically Create, route and submit the 2271 (Statement of Appointment) Re-Appointments Amendments 416-7 Termination Notices Track the status and timing of training actions as well as available slots and the training grant roster
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PHS 2271: Statement of Appointment
21 Submit PHS 2271 through xTrain for each trainee Due on or before start of each appointment period, which is typically one year Stipend or other allowances may not be paid until submitted to the NIH Delinquent forms (> 30 days) may result in NIH not accepting the appointment
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X-Train :: Appointment Form Route
22 X-Train :: Appointment Form Route DA com-pletes 2271, routes to trainee PI reviews 2271 and routes to NIH Trainee reviews 2271 and routes to PI DA seeks eRA Commons user name for Trainee Trainee fills out personal profile
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PHS 2271: Be a Smooth Operator
23 Verify there is not an existing era Commons user name for Trainee. Double check that trainee completes all pertinent information in personal profile Triple check PGY level. Inform Trainee and PI of routing process Follow up regularly to assure on time submission
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PHS 2271 : Other Considerations
24 Read award notice for special guidelines Change the trainee’s title / job code within Institution Trainees may be appointed at any time during the budget period up until the last day of the budget period
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PHS 6031: Payback Agreements
25 Required of all new postdoctoral appointees Original signature on document; submit by mail grants.nih.gov/grants/funding/416/phs pdf Scan of Payback Agreements available in xTrain Trainees incur payback obligation during their 1st year of NRSA support 2nd year of training pays back the 1st year (Inform Trainees)
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Quiz Question # 4 Can I appoint a 1st year Postdoc fellow on the last
26 Can I appoint a 1st year Postdoc fellow on the last year of a training grant that is not going to continue? Yes, Payback will still be fulfilled if one of following conditions are met By completing a second year of NRSA support on another training grant or fellowship Engaging in an equal period of research or health related activities Financially
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PHS 416-7:Termination Notices (TN)
27 Due within 30 days of the end of training experience per award Reflects total period of support including total stipends paid to trainee Submitted through xTrain: Prorate stipend for early terminations NIH verifies: The trainee was paid appropriately per the stipend amounts in the Statement of Appointment form(s) Any service obligation was fulfilled
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xTrain:: Termination Notice Route
28 xTrain:: Termination Notice Route Check with PI for guidelines on summary Trainee writes summary, fills out new job info, routes to PI PI reviews. If accept able, routes to Business Official (BO) BO reviews. If accept –able, routes to NIH DA Initiates Termination Notice, routes to Trainee DA confirms form is complete For early terminations, begin with revised 2271
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Leaves of Absence 29 Vacations and Holidays: Trainees may receive the same vacations and holidays available to individuals in comparable training positions at the grantee or sponsoring institution. Trainee’s will continue to receive stipends. Sick Leave: Trainees may receive stipends for up to 15 calendar sick days per year. Parental Leave: NRSA fellows may receive stipends for up to 60 calendar days (equivalent to 8 work weeks) of parental leave per year for the adoption or the birth of a child when individuals in comparable training positions at the sponsoring institution have access to this level of paid leave for this purpose. The use of parental leave requires approval by the sponsor. Leave of Absence: Approval for leave of absence must be obtained in advance from the awarding institution. Trainees will need to be terminated and reappointed upon return from leave. Stipends are not paid during leave of absence.
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Tuition & Fees 30 Allowable if costs are required for specific courses as part of the training program and are applied consistently Predoctoral calculation: 60% up to $16,000 60% up to $21,000 for dual degree Postdoctoral calculation: 60% up to $4,500 60% up to $16,000 for additional degree Refer course related questions to your Grants Management Specialist or course Director
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Trainee Travel 31 To attend scientific meetings & workshops deemed necessary for training experience Domestic and International travel are allowable, as long as travel fits within trainee’s training program Allowability not uniform across all funding institutes within the NIH
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Training Related Expense (TRE)
32 To defray other training expenses such as staff salaries, consultants, equipment, supplies, faculty/staff travel directly related to training Standard NRSA TRE for FY 2012 $4,200 per Predoc $7,850 per Postdoc Includes Health Insurance NIH provides funds to offset a portion of the costs associated with health insurance (either self-only or family as appropriate) Trainee Fringe Benefit costs are unallowable on T32s
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Quiz Question # 5 33 Can the salary and benefits of the program director be charged to the training grant? Training Related Expenses (TRE) can be used to defray the cost of staff salaries Such charges must meet the test of allowability and reasonableness
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Quiz Question # 6 34 Can the cost of pizza and soda served at a seminar or meeting be charged to the training grant? Cost of meals may be allowable if they are provided in conjunction with a meeting where the primary purpose includes the dissemination of technical information A portion of such a cost could be charged as Training-related expenses See Cost Considerations-The Cost Principles in IIA for specific guidance on the need for institutional policies on consistent treatment and reasonableness Training-Related Expenses in the NIH GPS governs allowability of these expenses
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Indirect Costs Allocation
35 8% of MTDC MTDC includes: Stipend Trainee Travel Training Related Expenses, including Health Insurance MTDC excludes: Tuition & Fees Equipment *Equipment should be requested and identified under the Training Related Expenses category
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Rebudgeting Restrictions
36 Prior approval is required to rebudget stipends and/or tuition & fees into travel or Training Related Expenses (TRE) No prior approval required (unless otherwise restricted) to rebudget travel and TRE into all other budget categories. Stipends Travel Tuition & Fees TRE
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Unliquidated Obligations
37 What is an unliquidated obligation? An obligation incurred which has not yet been paid for For example an account payable for items ordered or received but not yet paid for Stipend unliquidated obligation example: Budget Period – 7/1/12-6/30/13 Trainee Appointed – $44,340 ($3,695/month) Trainee Stipend Expense through 6/30/13 = $40,645 Trainee Stipend Unliquidated Obligation = $3,695
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Unliquidated Obligations
38 Expenses considered obligations and are allowed to be unliquidated: Stipend Tuition & Fees Expenses which are considered not obligations and are not allowed to be unliquidated: Training Related Expenses (TRE) Trainee Travel
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Y1 Unliquidated Obligations
39 - Unliquidated obligation : $9,369 + $750 IDC = $10,119 - Unspent Travel and TRE cannot be unliquidated and therefore make up the unobligated balance (carry forward requires approval)
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Year 2 Budget + Year 1 UO 40 YR 1 unobligated balance can only be spent as such
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Non-Competing Progress Reports
41 In addition to traditional NIH progress report components, the following components may be required: Description of training received by each appointed trainee with resulting publications Updated list of IACUC approvals Updated list of IRB approvals Biosketches for new selected preceptors, or mentors Budget may be required Summary of trainees form Inclusion enrollment report (minorities)
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Closeout Requirements
42 If project period is ending (no competitive renewal) request NCE through the last trainee appointment end date Submit all termination notices Process final closeout adjustments prior to end of adjustment period Projected expenditures must have been incurred prior to the end of the budget period (cannot have any unliquidated obligations on Final Federal Financial Report) Final progress report only due at end of grant
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Closeout Review 43 Review prior period FFR for total unliquidated obligations reported Review GL Expense Stipends should be expended according to appointed NIH stipend levels Ensure any rebudgeting is within the restrictions Reconcile F&A to correctly account for exclusions FFR submitted annually Work closely with your Research Finance specialist, submitting a T32 FFR is a complex process
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Sustaining a Productive Training Environment
44 Sustaining a Productive Training Environment What are some of the factors the NIH considers when evaluating competing renewals of training grants? Measures to recruit high quality trainees, including Under Represented Minorities Success of Trainees in completing their training programs Productivity of trainees, in terms of accomplishments and publications Ability of trainees to attract research funding Ability of a program to document all of the above in table format
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Sustaining a Productive Training Environment
45 Sustaining a Productive Training Environment How can administrators support a Productive Training Environment? Work with faculty to assure a robust program of supporting activities, such as scientific seminars, retreats, and journal clubs, responsible conduct of research programs Provide ample training to trainees in the basics of applying for other fellowships and career development awards Work with faculty to institute common practices to collect data on recruitment, publications, and performance of all trainees in the training program, even those that are not appointed to the Training Grant
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We are grateful to the following:
46 We are grateful to the following: Glenda Bullock, Washington University Hernan Santana, Children’s Hospital Wendy Virgadamo, Brown University Cora Cheng-Chong, Partners Health Care The Unfortunate Trials of The Tyrant Lizard King, By Hugh Murphy at
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Resources 47 Ruth L. Kirschstein National Research Service Award policy information, stipend levels, FAQ’s NIH Forms & Applications xTrain Site eRA Commons
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Contact us with any other questions!
48 Contact us with any other questions! Kjersten Reich Senior Grant Administrator Massachusetts General Hospital Tel: (617) Meaghan Nolette Manager, Research Finance Partners HealthCare Tel: (617)
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