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Continuous Learning for Administrators of Sponsored Programs (CLASP) Elective

NIH TRAINING GRANTSJuly 09, 2014

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Training Grant Close Out

Close out is an on-going activityInvolves the department and ORACSThink about close out from the first day the award comes in the doorKnow your training grant financial terms (see Appendix L, Glossary of Terms for NIH Training Grants)

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Trainee Costs

Stipends-a subsistence allowance to defray living expenses during the period of training At the approved levels for awards made

during the Federal government’s fiscal year (October – September)

Graduate Student – Subcode 1690 Postdoc – Subcode 1560

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Trainee Costs

Tuition and Fees, – itemize and request full needs. NIH will apply the formula at the time of award

Subcodes 4XXXTuition at the postdoc level is limited to that required for specific courses in support of approved training program, requires prior approval from NIH

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Trainee Travel

Scientific Meetings/Conferences Allowable Does not require prior approval

by NIH

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Training-Related Expenses

Institutional Funds Used to defray costs of other research

training related expenses Examples include:

Staff salaries Health Fees Consultant costs Equipment Research supplies Staff travel

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Training-Related Expenses (Continued)

Health Insurance/Fees

Health Insurance/Fees can be for single or family coverage

Subcodes: 2970 UHS charges 1900 Pooled benefit rate

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Facilities and Administrative Costs

8% of Total Allowable Direct Costs

Calculation excludes: Tuition/Fees Equipment

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Rebudgeting

No prior approval required*:

Stipends Tuition & Fees only Tuition Stipends only Trainee Travel any category Training Related Expenses any category

Prior approval is required to rebudget Stipends and/or Tuition into Travel or TRE.

*Unless otherwise restricted

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Unallowable Benefits It is inappropriate and unallowable for

organizations to seek funds or to charge institutional research training grants for costs that normally are associated with employee benefits. This will come up again in closeout.

This includes: FICA Worker’s Compensation Unemployment Insurance

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Position Codes and Benefits

Position Code 0095 – Postdocs Not employees, therefore no benefits Can have UHS Health Fees If any benefits are charged for this position, charges get moved

back to benefit pool account

Position Code 0999 – Graduate Students Not employees, therefore no benefits Can have UHS Health Fees If any benefits are charged for this position, charges get moved

back to benefit pool account

All other position codes that have benefits charged, the unallowable portion will be adjusted to your department account

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Allowable Components of Pooled Rates for Trainees

FY13 FY14 FY15

Rate 4 14.43 14.14 14.39

Rate 1 8.30 8.53 8.51

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Report of Expenditures (ROE)

Timing of the ROE

Importance of proper preparation

Step by step through the ROE (Appendix N)

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Financial Status Report (FFR)

Required annually no later than 90 days after the close of each budget period

Trainee stipends, tuition and health fees are obligated for a full 12-month appointment from the budget period in which the appointment was initiated

Portions of stipends, tuition and health fees that extend beyond the budget period are reported as “unliquidated obligations” (Included in Section 4A on ROE and 10F on FFR)

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Financial Status Report (FFR)

Carry over – The amount remaining

after outlays and unliquidated obligations have been accounted for

In most cases, prior approval for carry over is required

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Tips for a Smooth Close OutReview monthly ledgersMonitor and track individual trainee expenses

Including monitoring annually trainee’s pay (Cum Sal) to match the NIH appointment form 2271, Appendix E

Update appointment forms Close out will be easier if appointment forms

coincide with university pay periods Example: if semi-monthly, 1st or 16th; if monthly,

1st

Timely completion of Termination Forms (PHS 416-7, Appendix H)

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X Train Termination NoticeTraining and related appointments and terminations (TN) must be submitted via xTrain after 1/1/11 for the following awards:

T34, T32, T35, T90, TL1, TU2, T15, F30, F31- F32 and F33

All PI’s and Trainees must be registered in Commons. PI can delegate privileges to Administrator (ASST)

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Termination Notice due 30 days after trainee terminates

Late TN forms can hold up issuance of future year awards

X Train Termination Notice

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XTrain Important Websites

ORPA’s website for access form:http://www.rochester.edu/orpa/_assets/pdf/form_NIHCommonsReqForm.pdf

NIH Commons Xtrain Training Resources: Appendix Jhttp://era.nih.gov/era_training/xtrain.cfm

xTrain User’s Guide: Appendix Khttp://era.nih.gov/files/xtrain_external_user_guide. pdf

FAQ’s: Appendix P http://grants.nih.gov/training/faq_training.htm

Creation of Termination Form PI/ASST/BO(Business Official) can

create and enter data in TN PI logs into Commons to view list of

grants and trainee rosters PI pulls up & completes required

info Chooses a BO from window-Sr Acct PI routes to Trainee

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Termination Notice cont Trainee has 14 days to complete

and route back to PI PI reviews data and routes to BO.

Clicks continue and certify, creating electronic signature

BO receives email TN ready to process

ORACS will need same info as for paper TN

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Termination Notice cont Admin should email explanation if TN

doesn’t match Cum Sal and 2271 form Send appropriate memos/payroll forms 2271 form, Cum Sal and TN should all

match in total New certification for ORACS is number

of months. Will need dept verification Under xTrain once a 2271 form

submitted all can view

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Termination Notice cont BO will save & submit TN to agency

when info is verified PI/ASST/BO can view status of TN at any

time Please refer to User’s Guide with

question and also Quick Reference Guide Contact ORACS if any questions about

form & what information we need to submit TN

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QUESTIONS?

Refer to Appendix M, “Training Grant Administration Helpful Tools”Refer to Appendix P or check out NIH Research Training Opportunities,Frequently Asked Questions – NRSA Training Grants at: http://grants.nih.gov/training/faq_training.htm

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Closeout Appendices 2014 Appendix E Statement of Appointment- PHS 2271 Appendix H Termination Notice Appendix I Xtrain Overview & Functions Quick Reference Guide Appendix J ERA Xtrain Resources Appendix K Xtrain External/Institution User Guide

Appendix J ERA Xtrain Resources Appendix I Termination Notice

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Closeout Appendices 2014 Appendix L Glossary of Terms for NIH

Training Grants. Appendix M Training Grant

Administration Helpful Tools Appendix N ROE - New Rules Appendix O Xtrain Termination Notices

Quick Reference Appendix P Frequently Asked Questions

– NRSA Training Grants