Audience

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

Introduction

This session will focus on Ruth L. Kirschstein National Research Service Awards (NRSA).

NRSA Training Grants and Fellowships are designed to develop or enhance research training opportunities in order to ensure that a diverse and highly trained workforce will be available.

Introduction

NIH resourcesGrants policy statement, Kirschstein-NRSA

section: http://grants.nih.gov/grants/policy/nihgps_2010/NIHGPS_ch11.htm#_Toc271265032

Program announcements and other information:

http://grants.nih.gov/training/nrsa.htm

Introduction

Training Grants and Fellowships are known as T and F awards because the activity type assigned by the NIH begins with a ‘T’ or an ‘F’.

Training Grants are awarded to OHSU for a predefined program.

Fellowships are for an individual training experience.

Trainees

Predoctoral:Predoc Trainees working to earn their Ph.D.Other OHSU Predocs not appointed to grant

are considered Graduate Research Assistants (GRA).

Departments should contact Donna Feathers in CFS to inform her of Predoc appointments. She will allocate tuition and health insurance accordingly.

Trainees

OHSU Postdoctoral Policy: http://www.ohsu.edu/research/rda/postdocs/docs/PostdocPresSummary.pdf

Postdoctoral TraineeIndividuals appointed to a Training Grant or

Fellowship who have a PhD/MD

BENEFITS are handled through HR, however check your accounts often to be sure things are posting correctly. Also..contact HR when the trainee ENDS on the training grant!!!!!!!!!

Trainees

Degree Requirements:Predoc: must have a baccalaureate degree and

be enrolled in a doctoral program.Programs include F31 and T32

Postdoc: Ph.D. or M.D. or comparable doctoral degree from an accredited domestic or foreign institution.Programs include F32 and T32

Trainees

Fellow must be a citizen, non-citizen national (for example born in American Samoa), or lawfully admitted for permanent residence.Training grants: must have been admitted for

residency at the time of appointment.Fellowships: must have been admitted for

residency at the time of award.

Trainees

Appointments are intended to be for one year.

Require full time research training (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)

Limited to five years aggregate NRSA support at the predoc level and three years aggregate NRSA at the post doc level

Stipends

The NIH clearly states that fellows appointed to a T and F awards cannot be employees. Stipends are coded to GR-Stipend-1099 Non-Subject.

Stipends must be issued via Accounts Payable rather than Payroll.

Stipends

Departments complete the Scheduled Disbursement form to issue Stipends: http://www.ohsu.edu/xd/about/services/financial-services/forms/forms-policies.cfm

Forward completed forms to SPA.

Stipends

A Stipend is a subsistence allowance to help defray living expenses during the research training experience. This is not a salary!

Levels are predefined. Set annually by NIH.

Stipend Levels

Career Level Stipend (FY 2010) http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-047.html

Predoctoral $21,180Postdoctoral - years of experience:       

0 $37,7401 $39,756 2 $42,6243 $44,304    4 $45,960      5 $47,940      6 $49,836    7 or more $52,068

Prorating Example

Predoc appointed 4/2/10-4/1/11

Prorate 4/2/10-4/30/10: (29/30)*1,765=1,706.36

Prorate 4/1/11: 1,765 – 1,706.36=58.64

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Stipends

Post doc graduation date = degree conferred “Relevant Experience” may include:

Research experience outside OHSUClinical dutiesResidency InternshipTeaching assistantshipTime 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.

Stipend Considerations

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)

Supplementation

Departments are allowed to supplement with non-sponsored funds.Must be at a level consistent with similar

training status.Cannot require additional duties, effort, or

obligation from fellow.

Scheduled Disbursements Form

The department: Initiates the Scheduled Disbursements form

(nee Stipend Memo).Sends to SPA for approval with a copy of the

Statement of Appointment and Residency Status if applicable.

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.

SPA will review/approve the form and send to AP.

Scheduled Disbursements Form

Forms should be sent to AP by the 15th of each month

Residency Status Information form for new Trainees can be found at: http://ozone.ohsu.edu/financial/ap/pdf/ResidencyStatusInformation.pdf

Check will be delayed if not received

Compensation

Fellows may seek part-time employmentRequirements:

Limited, part timeOutside normal training activitiesCannot distract from training programMay not be from a research grant that supports

the same research that is part of the training experience.

Taxes

OHSU cannot withhold payroll taxes for non-employees.Federal tax may be withheld based on the

Trainees country of origin.

AP sends recipients a 1099-Misc annually.

Taxes

See Section 117 of the Internal Revenue Code for additional information.

Additional information: http://grants1.nih.gov/training/26cfr401.htm

Effort Reporting

Trainees are not providing a service to OHSU, and are therefore exempt from effort reporting.

Training Grants!

Ah man..I have a training grant to manage..now what????????????????

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 Federal Financial

Report (FFR).

NGA

NGA standard DHHS formatCategorical budget

Number of appointments

Budget Categories

Award is comprised of the following categories:Training Expenses (must include health

insurance)StipendsTrainee Tuition/FeesTrainee TravelF&A

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 $4,50060% up to $16,000 for additional degree

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 SubjectAdministrative Salary:

5% for grants with 5-10 positions10% for grants with over 10 positionsAlso PI support can be included

Budget Categories

Travel: used to attend scientific meetings as determined by the PI.Travel expenses cannot be encumbered for trainee (so

use it during the project year if possible)

F&A: limited to 8% of MTDC (not awarded on tuition and fees).

Forms

Statements of Appointment (2271) must be electronically submitted through xTrain annually during the training term before a stipend payment can be issued.login at https://commons.era.nih.gov/commons/ If required, include documentation for those

legally admitted for permanent residence.

Send a copy to SPA.

Statement of Appointment

Common errors:Watch for NIH eRA Commons emails. Be sure the Trainee has populated their

personal profile in the Commons prior to initiating the appointment.

Appointment Example

Budget period 7/1/10-6/30/11

Appointment 9/1/10-8/31/11

GSPAD0001A GSPAD0001B

Trainee

7/1/10 9/1/10 6/30/11 7/1/11 8/31/11 6/30/12

Outside Project Period

Encumbrance Example

GSPAD0001A GSPAD0001B

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

Payback Agreement

Postdoctoral Fellows in their first 12 months of NRSA support must also submit the Payback Agreement (legal binding document).

grants.nih.gov/grants/funding/416/phs6031-1.pdfAvailable in xTrain

Payback is fulfilled by:Completing a second year of NRSA supportEngaging in an equal period of research or health

related activitiesFinancially

Termination Notice

Termination Notices (TN) are:

Due within 30 days of the end of training experience per award.

Submitted through xTrain:

https://commons.era.nih.gov/commons/Select James Trotter as the xTrain Business

Official to whom to route the TN.

Termination Notice

SPA verifies that the stipend charged to the grant matches the termination notice.

Prorate Stipends if early termination:Initial Appointment: 9/1/10-8/31/11

Early Termination: 9/1/10-4/15/11(15/30)*1765 = 882.60

Match xTrain

Revised Scheduled Disbursements memo

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Termination Notice

NIH verifies: The Trainee was paid the correct amount.

Any service obligation was fulfilled.

Rebudgeting

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.

Example

Award

StipendTuition/Fees

Training Related Expenses

TravelF&A

Rebudget to:

StipendTuition/Fees

Training Related ExpensesTravelF&A

Rebudgeting

Awarded Stipend

7/1/10-6/30/11 21,180

7/1/10-6/30/11 21,180

7/1/10-6/30/11 21,180

63,540

Spent Stipend

7/1/10-6/30/11 21,180

7/1/10-6/30/11 21,180

7/1/10-3/31/11 15,885

58,245

Rebudgeting

Awarded Tuition/Fees

16,000

16,000

16,000

48,000

Spent Tuition/Fees

20,000

18,000

10,000

48,000

Other Training Grant Issues

Carryover: unobligated funds available at the end of the budget period.Note: Carryover must be requested from the

agency, but is generally not allowed.

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 FFR.

Fellowships!

And Now..onto Fellowships!

Introduction

Fellowships are designed to develop or enhance research training opportunities in order to ensure a diverse and highly trained workforce will be available.

Introduction

Fellowships are known as “F” awards because the activity type assigned by the National Institutes of Health (NIH) begins with an F.

Individual Fellowships are awarded to support a specific individual.

The Fellow is listed as the PI on the Notice of Grant Award (NGA) and in Oracle Grants Accounting (OGA).

NGA for Fellowships

NGA standard DHHS formatLatest Activation Date

Initial NGA is issued without a budget or project period listed

Activation Notice

Used to activate an F award:Submitted by the pre-award Research Grants &

Contracts (RGC) office.Fellows have six months to activate their award,

but stipend level will not change based on submission date.

The NIH then adjusts their system so the project period matches the appointment.

Link to Form: http://grants.nih.gov/grants/funding/416/phs416-5.pdf

Payback Agreement

Postdoctoral Fellows in their first 12 months of NRSA support must also submit the Payback Agreement.

xTrain will populate the basic information prior to printing for affected Trainees.

Payback is fulfilled by:Completing a second year of NRSA supportEngaging in an equal period of research or

health related activitiesFinancially

Budget Categories

Award is composed of the following categories:StipendsTuition/FeesInstitutional Allowance

Rebudgeting is not allowed.

Tuition and Fees

Trainee Tuition/Fees: generally awarded:Predoc:

60% up to $16,000 60% up to $21,000 for dual degree

Postdoc:60% up to $4,50060% up to $16,000 for additional degree

Awards may vary depending on the awarding IC for Predocs.Review your Notice Of Grant Award (NGA).

Institutional Allowance

The institutional allowance includes funds for health insurance.

The institutional allowance does not need to be accounted for on an actual cost basis.

Travel is allowable and must occur within the period of support.

Institutional Allowance

What can be allocated to the Institutional Allowance:

Health Insurance.Equipment, Travel, Supplies, etc.If the fellow does not need the entire

amount, were there some supplies used in the mentor’s lab that the fellow could reimburse them for?

Termination Notice

NIH now requires Fellowships to be terminated through xTrain: http://era.nih.gov/files/termination_fellowship.pdf

Must be submitted by individual who has SPONSOR role. http://nexus.od.nih.gov/all/2011/03/31/sponsors-must-approve-fellowship-terminations/

Due at the end of training experience per award.

Prorate Stipends if early termination.

SPA verifies that the stipend charged to the grant matches the termination notice.

NIH uses this to verify the fellow was issued the correct stipend amount and if any service obligation was fulfilled.

Case Study

A fellow has expressed a need for a lap top computer with the mentor. Is the allowable on a fellowship?

Case Study

What stipend level will I receive?

PhD obtained 3/15/08

Applied 4/17/09

Scientific review 9/6/09

Awarded 9/27/09

Activated 3/17/10

Comparison

Training GrantAwarded F&AOHSU appoints TraineesA-21 SubjectFile annual FFRCannot transfer institutions

FellowshipNo F&ANIH appoints TraineeNot A-21 SubjectReport cash expendituresCan transfer institutions

Awarded Budgets

Training Grant

Stipend

Tuition/Fees

Training Related Expenses

Trainee Travel

F&A

Fellowship

Stipend

Tuition/Fees (if applicable)

Institutional Allowance

Appointments

Training GrantPI appoints traineePI chooses appointmentTrainees work with multiple mentorsPI defines training programPI submits 2271 and TN in xTrain

Fellowship Trainee is the PI Trainee chooses appointment Trainee works primarily with one named

mentor Mentor defines research experience Sponsor submits TN in xTrain

Appointments

Training GrantBudget period defined by NIHAppointments may overlap grant yearsAppointed with a Statement of

AppointmentPI determines stipend level

FellowshipBudget period defined by TraineeAppointment will match budget periodAppointed with an Activation NoticeNIH determines stipend level

Questions?