NIH Extramural Research Training Programs

Document Sample
NIH Extramural Research Training Programs Powered By Docstoc
					      NIH Extramural
Research Training Programs
          (http://grants.nih.gov/training/index.htm)


   James Hyde, Ph.D.                      Marcia Hahn
  Division of Diabetes,            Director, Division of Grants
Endocrinology & Metabolic             Policy, OPERA, OER
  Diseases, NIDDK/NIH              Email: hahnm@od.nih.gov
Email: james.hyde@nih.gov


                                                             OPERA
        Research Training Programs
    Ruth L. Kirschstein
     National Research Service Awards
     (NRSA)
      Individual Fellowships (“F” Awards)
      Institutional Training Grants (“T” Awards)

    Extramural Loan Repayment Programs



2                                                   2
                      Overview

    Purpose of NIH Research Training
     Programs:
    To help ensure that a diverse pool of highly
     trained scientists are available in adequate
     numbers in the appropriate research areas to
     address the Nation’s biomedical, behavioral,
     and clinical research needs.



3                                                   3
            Training and Career Timetable
                      Approx. Stage of Research
                      Training and Development                Mechanism of Support

                                                  Predoctoral Institutional Training Grant (T32)
                               GRADUATE/          Predoctoral Individual NRSA (F31)
                                MEDICAL           Predoctoral Individual MD/PhD NRSA (F30)
                                STUDENT
                                                  Postdoctoral Institutional Training Grant (T32)
                                                  Postdoctoral Individual NRSA (F32)
                                   POST
                                 DOCTORAL

                                                  NIH Pathway to Independence (PI) Award (K99/R00)
                                                  Mentored Research Scientist Development Award (K01)
                                                  Mentored Clinical Scientist Development Award (K08)
                                      EARLY       Mentored Patient-Oriented RCDA (K23)
                                                  Mentored Quantitative RCDA (K25)
Small Grant (R03)
                            CAREER




Research Project                                  Independent Scientist Award (K02)
Grant (R01)                          MIDDLE
                                                  Midcareer Investigator Award in
Exploratory/Develop                                Patient-Oriented Research (K24)
ment Grant (R21)

                                     SENIOR       Senior Scientist Award (K05)
    NIH Institutes & Centers




5                              5
                                   FY 2008 Budget
                                   $29.457 Billion
             FY 2008 Enacted Appropriation
       Total NIH Budget Authority: $29.457 Billion
                                    Training 3%
                Research Mgmt
                 & Support 4%
                             Training: 3%              Research
                        5%
      ResearchAll OtherSupport: 5%
              Mgmt &                               Research Project
                   All Other: 2%
                                                       oject
                                                     Grants: 53%
       Other Research: 6%
        Other Research
                                                       Grants 52%
                                                    $15.54 Billion
              6%                                       $15.165 B
    Research Centers: 10%

             Research
           Centers 10% 11%
           R&D Contracts:


                      Intramural Research: 10%
               R&D Contracts
                    10%
                                      Intramural
                                        Slice 1
                                    Research 10%



6                                                                     6
                    Kirschstein-NRSA

     Established by the NRSA Act of 1974
       Section 487 of PHS Act; Regulations at 42-CFR-66
     Replaced all previous NIH training authority
     Name change legislation passed August 2002
     Supported by 22 of the 24 awarding NIH Institutes
      and Centers
     Supported by the Agency for Health Care
      Research and Quality (AHRQ) and the Health
      Resources Services Administration (HRSA)
     2 types of awards: Institutional (T32, T34, T35,
      T90) and Individual (F30, F31, F32, and F33)
7                                                          7
                 NRSA Policy Overview

    Policies that apply to both Fellowships and
     Training Grants
    Guidelines:
     NIH Grants Policy Statement, Kirschstein—NRSA
      Section:
     http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_P
     art10.htm#_Toc54600187
     Program Announcements & Other Information:
     http://grants.nih.gov/training/nrsa.htm


8                                                               8
           Citizenship Requirements

    Must be Citizen, non-citizen national, or
     lawfully admitted for permanent residence
    Permanent Residents:
      Fellowships: Must have been admitted as a
       Permanent Resident by the time of award
      Training Grants: Must have been admitted as a
       Permanent Resident at time of appointment



9                                                      9
             Degree Requirements

      Pre-Baccalaureate: Currently enrolled as an
       honors undergraduate at a minority serving
       university (MARC and COR trainees)
      Predoctoral: Must have a baccalaureate degree
       & be enrolled in doctoral program leading to
       Ph.D., comparable research doctoral degree or
       dual research/clinical doctorate like the
       M.D./Ph.D.
      Postdoctoral: Must have a Ph.D. or M.D. or
       comparable doctoral degree from an accredited
       domestic or foreign institution

10                                                     10
                NRSA Limitations

      Duration of Support:
        Predoc: 5 years*
        Postdoc: 3 Years
        Aggregate limits, including any combination from
         individual and/or institutional awards
      Exceptions/Waiver:
        Physicians/Clinicians (*combined-degree F30 allows
         6 years)
        Interruptions (break in service)
        Other
        Waiver request requires IC prior approval
11                                                            11
                   Individual Predoctoral
                        Fellowships
      F30: Individual Predoctoral Kirschstein-NRSA for
       MD/Ph.D. fellowships
       (NIA/NIAAA/NIDA/NIDCD/NIDDK/NIMH/NIEHS/NINDS
       joint announcement; other ICs {NIDCR, NHLBI} have own
       programs)
      F31: Generic Individual Predoctoral Fellowship
       (NIA, NIAAA, NIDA, NINDS, NIMH, and NIDCD joint
       announcement; other ICs {NCCAM, NINR} have own
       programs)
      F31: Individual Predoctoral Fellowship to promote
       diversity in Health-Related Research.
        Includes requirement for certifying eligibility. See Guide
         Notice OD-08-039: http://grants.nih.gov/grants/guide/notice-
         files/NOT-OD-08-039.html

12                                                                      12
                Individual Postdoctoral
                      Fellowships

     F32: Postdoctoral individual Ruth L.
      Kirschstein National Research Service
      Award
     F33: Ruth L. Kirschstein National Research
      Service Award for Senior Fellows

     All active fellowship programs found at:
      http://grants.nih.gov/training/F_files_nrsa.htm

13                                                      13
              Standard Receipt Dates

      F32, F33 (Postdoc): April 8, August 8,
       December 8
      F30, F31 (Generic Predoc): April 8, August 8,
       December 8
      F31 (Diversity Predoc): April 13, August 13,
       December 13
      Two-level review
      Generally 5 - 6 month period from receipt to
       earliest possible award
      Check Program Announcements for variations
14                                                     14
             Helpful Hints for Fellowships
      Read the Program Announcement, and Contact
       program staff!
      Read the Instructions in the application kit!
      Observe Page limitations
      Give yourself and your sponsor enough time
      Give references enough time
      Same training site?
      Training should be appropriate considering previous
       experience
      Capable and experienced sponsor? Co-sponsor?
      Project should have merit as research and as training
       mechanism
      Arrange for pre-review
15                                                             15
                 Review Criteria

     Applicant:
      Academic and Research Record
        Grades, prior research experiences,
         research publications/abstracts, letters
         of reference
      Potential for and commitment to a
       productive scientific research career



16                                                  16
               Review Criteria (cont.)

     Mentor & Environment:
      Experience as researcher and mentor
        Current research funding, research expertise
         and publications, track record of mentoring
      Quality of the training environment
        Other trainees in laboratory, research
         seminars & journal clubs, interactions with
         other laboratories and trainees, resources
         available

17                                                      17
             Review Criteria (cont.)

     Training Plan:
       Potential Value: what new research
        methodologies and approaches will
        applicant learn?
       How will proposed research training
        experience foster independence?
       Should be detailed and specific to
        applicant (i.e. not a generic training
        plan for any trainee)
18                                               18
               Review Criteria (cont.)

     Research Plan:
       Objectives, Design, Direction
          Hypothesis- vs. discovery-driven; need sufficient
           experimental details with potential pitfalls,
           expected outcomes and alternative approaches
       Feasibility
          Are time-line and scientific expertise appropriate?
           Are all reagents available?
       Scientific Merit
          Important health problem addressed? Will
           proposed research significantly advance the field?
19                                                               19
             Responsible Conduct of Res.


     Include plans for obtaining instruction in
      the responsible conduct of research
       No NIH-specified requirements
       Applicants are encouraged to creatively tailor
        a plan to meet own needs in relation to
        proposed research training




20                                                       20
                           Review (cont.)

     • Beginning with grant applications submitted for the
       August 5, 2006, receipt date, all study sections will
       use the NIH’s streamlined review process for the
       review of Ruth L. Kirschstein National Research
       Service Awards (NRSA) Postdoctoral Fellowship
       applications (F32). The streamlined review process
       allows reviewers more time to discuss applications
       likely to be supported. Reviewers will designate
       approximately 40% of the F32 applications as "non-
       competitive‖ which means they will not be scored.
       http://grants.nih.gov/grants/guide/notice-files/not-od-06-
       077.html
21                                                                  21
           Institutional NRSA (“T”)

     Purpose: To develop or enhance
      research training opportunities for
      individuals, selected by the
      institution who are training for
      research careers in specified areas




22                                          22
                      Eligibility

     Application submitted by Institution
      (not individual)
     Domestic, non-profit public or private
      institutions
     Research training must fall within the
      mission of the NIH awarding
      components

23                                             23
                     Eligibility (cont.)

     Applicants must have:
       strong research program in the proposed
        area(s)
       requisite staff & facilities to carry out the
        proposed program
     Program Director will be responsible for:
       overall direction of the training program
       selection & appointment of NRSA eligible
        trainees

24                                                      24
                Eligibility (cont.)

     Trainees must have opportunity to
      carry out supervised biomedical or
      behavioral research with the goal of
      developing or extending their
      research skills and knowledge




25                                           25
                  Eligibility (cont.)

     Programs can consist of Predoc, Postdoc,
      or combination
     Short-term: solely (T35) or in combination
      with full-term predoc and postdoc
      positions on a T32
     Prebaccalaureate (T34)
       MARC – NIGMS
       COR - NIMH


26                                                 26
               “T” grant mechanisms:
               competing applications
     • New: Fillable Institutional Research
       Training Grant Application Data Tables
        (PHS 398 Fillable Forms - 11/2007 Revision)
     • Blank and Sample Tables are included in
       PHS 398
     • Be sure to follow instructions included with
       each Table (predoc vs. postdoc; new vs.
       competing renewal)
     • Required beginning May 25, 2008
27                                                27
                 Review for T’s

     2 Level review like R01s:
     1) Peer Review - Study Section
     2) Institute or Center Council




28                                     28
                      Review Criteria

      Review by IC review groups:
        Past training record
        Quality and experience of training faculty
        Quality of the pool of applicants and matriculants
        Objectives, design, direction of program
        Institutional commitment & quality of training
         environment
      Elements outside the priority score:
        Diversity Recruitment
        Responsible Conduct of Research

29                                                            29
             Vertebrate Animal & Human
                      Subjects

     Can indicate ―Indefinite‖ on face page
     In many cases, trainees will be participating
      in individual projects already reviewed
     These grants (and their review/approval
      dates) should be identified in application
     Grantee responsible for assuring proper
      approval is received prior to a trainee
      participating in any project involving either
      vertebrate animals and/or human subjects

30                                                    30
                       Receipt Dates

     See T32 Program Announcement at:
      http://grants.nih.gov/training/nrsa.htm
     January 25, May 25, September 25
     Varies among Institutes - Many use only 1
      or 2 dates (check the Program Announcement
      and call appropriate Institute/Center Staff)
     Applicants should contact specific Institutes
      for guidance
     Type 5 Receipt Dates Vary
31                                                    31
          “T” Non-Competing Continuation
              Progress Report (Type 5)
     • New: Trainee Diversity Report
     • New: 2590 Data Table 12A (predocs)
     • New: 2590 Data Table 12B (postdocs)
     • Data Tables replace NRSA Summary of
       Trainees form
     • Sample Data Tables 12A and 12B included
       in PHS 2590


32                                               32
         Diversity of Res. Workforce

     NIH continues to recognize a
      unique and compelling need to
      promote diversity in the
      biomedical, behavioral, clinical
      and social sciences research
      workforce.



33                                       33
                        Enhancing Diversity

      Research Supplements to Promote Diversity in Health-
       Related Research: http://grants2.nih.gov/grants/guide/pa-files/PA-
       05-015.html
      Training Awards for Minority Serving Institutions
           T34: Minority Access to Research Careers (NIGMS)
           T34: Career Opportunities in Research (NIMH)
           R25: Initiative for Maximizing Student Diversity (NIGMS)
           R25: MBRS Research Initiative for Scientific Enhancement (NIGMS)
           R25: Bridges to the Baccalaureate Degree (NIGMS, NCMHD)
           R25: Bridges to the Doctoral Degree (NIGMS, NCMHD)
           R25: NIGMS’ Postbaccalaureate Research Education Program
      F31: MARC Predoctoral Fellowships (NIGMS)
      F31: Individual Predoctoral Kirschstein - NRSA Fellowships
       to Promote Diversity in Health-Related Research

34                                                                          34
             Extramural Loan Repayment

      Extramural Programs
         Health Disparities
         Individuals from Disadvantaged Backgrounds
         Contraception and Infertility
         Pediatric Research
         Clinical Research
      Researchers at 50% effort or more at non-profit organizations
       with qualifying educational debt
      Payments to loaning institution up to $35,000 per year
      Pay tax on the loan payments
      Concurrent service requirement
      Office of Loan Repayment
      Website: http://www.lrp.nih.gov/
35                                                                     35
Administrative Issues
    for Both Ts & Fs


                 OPERA
                      Stipends

     Subsistence allowance to help defray
      living expenses during the period of
      training
     Not a salary, not considered employees of
      either Government or Institution
     NIH publishes levels in NIH Guide when
      increases are approved
       Also see:
        http://grants.nih.gov/training/nrsa.htm

37                                                37
                Stipends (cont.)

     Predoctoral:
     One level for all individuals, regardless of
      years of experience
     FY 2008 Level = $20,772
     No change since FY2006




38                                                   38
                      Stipends (cont.)

     Postdoctoral:
      Dependent on number of years of relevant
       experience (0 – 7)
      For Fs, level set at time of award (not activation)
      For Ts, level set at time of appointment
      Once set, no change mid-year
      Subsequent year based on initial level + 1
      Relevant Experience = research, teaching,
       internship, residency, clinical duties, or other time
       spend in a health-related field beyond the
       qualifying degree
39                                                             39
                Stipends (cont.)

     Years of Relevant Experience
     FY 2008 Level:
       0 =    $36,996
       1 =    $38,976
       2 =    $41,796
       3 =    $43,428
       4 =    $45,048
       5 =    $46,992
       6 =    $48,852
       7 =    $51,036
40                                  40
              Stipend Supplementation

     Grantees may supplement stipends
       Amount determined according to formally
        established policies applied to all in similar
        training status
     Non-Federal funds
     Without additional effort or obligation to
      trainee/fellow



41                                                       41
                    Compensation

     Trainees/Fellows may receive
      compensation for services associated with
      employment
     Examples: teaching assistant, lab
      assistant
     In these cases, individual receives a
      salary, and it is not considered stipend
      supplementation

42                                                42
            Compensation (cont.)

     Can compensation be provided from a
      NIH research grant?
     Yes, on a limited part-time basis
     May not be same research that is part of
      training experience
     Fellowship Sponsor or Training Grant
      Program Director must approve
     May not interfere with, detract from, or
      prolong the approved NRSA training

43                                               43
               Stipend Taxability

     IRS (not NIH) has domain over
      interpretation & implementation
     Rules changed January 1, 1987
     NRSA Guidelines provide minimal
      guidance but individuals should consult
      local IRS offices



44                                              44
             Employee Benefits

     Stipends are not provided as a condition
      of employment
     At this time, it is inappropriate and
      unallowable to charge NRSA grants for
      employee benefits - FICA, workman’s
      comp, unemployment insurance etc.




45                                               45
                       Leave

     Vacations & Holidays: Both Predoc
      and Postdoc Fellows & Trainees may
      receive same vacations and holidays
      available to individuals in comparable
      training positions at the grantee or
      sponsoring institution. Trainee’s will
      continue to receive stipends.


46                                             46
                                   Leave (cont.)

      Sick Leave: May continue to receive stipends for up to 15
       calendar days of sick leave per year
      Parental Leave: May receive stipends for up to 60*
       calendar days of parental leave per year for the adoption or
       birth of a child
      Leave of Absence: Approval for leave of absence must be
       requested in advance from awarding component
         Fellowship: award will be revised extending termination
           date by the number of months of leave
         Trainee (T32): terminate & reappoint
         Stipends may not be reimbursed during leave of
           absence

     * See NIH Guide Notice: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-
47   064.html                                                                             47
                   Part-time Training

      Allowed in unusual and pressing personal
       circumstances (e.g., medical conditions,
       disability, child or elder care)
      NIH prior approval required
      Program Director/Sponsor must submit written
       request, countersigned by trainee/fellow &
       authorized institutional official
      Must continue to be at least 50%. Less than 50%
       would require leave-of-absence from NRSA
       support
48                                                       48
                 Payback Requirements

     Predoctoral Trainees and Fellows:
      Eliminated payback for any Predoc appointed on or after
       June 10, 1993
      Any Predoc with an obligation prior to June 10, 1993
       retains that obligation
     Postdoctoral Trainees and Fellows:
      Incur obligation in first 12 months of Postdoc NRSA
       support
      The 13th and subsequent months of Postdoc NRSA
       support can satisfy the Postdoc obligation
         Normally, individuals with two years of NRSA
          postdoctoral support have no further obligation
      Postdoc NRSA cannot be used to repay a Predoc
       obligation
49                                                               49
          Acceptable Payback Service

     Health-related biomedical, behavioral,
      and/or clinical research
     Health-related teaching
     Direct administration or review of
      health-related research
     Any combination of these activities



50                                             50
            Acceptable Payback (cont.)

      Definition of health-related has broadened
      Range of activities related to the description,
       diagnosis, prevention or treatment of disease
      From the most basic biomedical/behavioral
       research & teaching to applied clinical
       research & teaching
      Also includes agriculture, environmental
       sciences, biotechnology & bioengineering


51                                                       51
           Acceptable Payback (cont.)

     Activities must average > 20 hours per
      week
     < 20 hours per week is allowable in cases
      of disability or other pressing personal
      circumstances
     < 20 hour/week activity will be prorated
     Exceptions are rare & require prior NIH
      approval

52                                                52
         Payback Reporting Requirements

     Annual Payback Activities Certification
      (APAC) (PHS Form 6031-1)
     Mailed annually on the anniversary of
      termination of support
     Report reflects activities performed during
      last 12 months
     Service must begin within 2 years of
      termination

53                                                  53
                 Financial Payback

     Can be voluntary or involuntary
     Amount owed is total stipend received (plus
      interest when applicable)
     Most people pay back with service
       Less that 2 percent of all NRSA
         recipients with obligations (more than
         110,000 individuals) have had waivers or
         have engaged in financial payback



54                                                  54
                        Waiver

     Rare & requires NIH Director approval
     Permanent or Total Disability
     Substantial hardship & against equity
     Any remaining obligation is cancelled
      upon death




55                                            55
Administrative Issues for
  Individual Fellowships


                     OPERA
             Signatures, Assurances, &
                   Certifications
      Individual Fellow (signature on face page)
      Sponsoring Institution (Facilities & Commitment
       page)
      Human Subjects:
        Assurance # & IRB approval date (IRB Approval is Just-
         In-Time)
        Education Requirement
      Animal Subjects: Assurance # & IACUC date
        IACUC Approval now Just-In-Time


57                                                                57
                 Initiation of Support

      Awarding component will notify individual of
       intention to make an award
      The fellowship award will be issued
      Fellow must start training within six months of the
       award issue date
      The day Fellow begins training, Activation Notice
       and Payback Agreement (only for Postdoc fellows
       in first 12 months of NRSA support) must be
       completed and submitted to awarding component



58                                                           58
                           Payment

      Domestic, non-Federal sponsoring institutions
       receive an award for stipends, institutional
       allowance, and tuition and fees (when applicable)
        Domestic institutions directly pay fellow and
          disburse all other awarded costs
        Funds may not be expended until the fellowship
          is activated




59                                                         59
                 Tuition & Health Insurance *
          Individual Fellowships (F30, F31, F32, and F33)
        Award             Predoctoral                      Postdoctoral
        Category
        Tuition/Fees  60% up to $16,000                    60% up to $4,500
                      60% up to $21,000                    60% up to $16,000 for
                     for dual degree                       additional degree
        Institutional      $4,200*                         $7,850**
        Allowance          $3,100**                        $6,750***
                          (includes health                 (includes health
                          insurance)                       insurance)

     * New policy phased in with FY2006 competing awards and beyond
     ** Non-Federal, public and private, non-profit institutions (domestic and foreign).
     *** Federal and for-profit institutions.
60                                                                                         60
                Institutional Allowance

      Domestic, Non-profit institutions:
        Allowance intended to defray such expenses as
         research supplies, equipment, travel to scientific
         meetings, and health insurance.
        Family health insurance now allowable (if
         allowed for all in similar status regardless of
         source of support)
      Federal & For-profit institutions:
        Allowance is to cover scientific meeting travel,
         health insurance, and books.



61                                                        61
           Institutional Allowance (cont.)


     Individual Postdocs (F32):
       $7,850 - domestic nonprofit
       $6,750 - Federal & for-profit
       Includes health insurance
       Tuition & fees separately reimbursed
        when applicable



62                                             62
            Institutional Allowance (cont.)

     Individual Predocs (F31 & F30):
       $4,200 - domestic nonprofit
       $3,100 - Federal & for-profit
       Includes health insurance
       Tuition & fees separately reimbursed
        when applicable



63                                             63
                       Reporting Procedures

      Activation Notice: (FORM PHS 416-5)
       Immediately upon initiation of training, fellow
       completes and returns this form to the NIH
       awarding component.
      Payback Agreement: (FORM PHS 6031): Must
       be signed by each person who is to receive an
       individual Postdoctoral fellowship that covers their
       initial 12 months of NRSA postdoc support.
      Termination Notice: (FORM PHS 416-7): For
       individual fellowships, this form is required upon
       completion of support.
      All available in fill-able formats on web: http://grants.nih.gov/grants/forms.htm

64                                                                                        64
               Changes in Project

     A transfer of the award to another
      institution or a change in Sponsor requires
      the approval of the NIH awarding
      component. Should consult with NIH
      awarding component ASAP.
     Any proposed change in the individual’s
      area of research training must be
      approved by the awarding component.

65                                                  65
              Progress Reports, FSR

      Progress Reports: Progress reports must be
       submitted with noncompeting continuation
       applications. For individual awards, a final
       progress report is required as part of the
       Termination Notice. A separate final progress
       report is not required.
      Financial Status Reports: A Financial Status
       Report is not required for individual fellowship
       awards. However, institutions should be mindful
       of documenting final expenditures in 272 reports.

66                                                         66
   Administrative Issues for
Institutional Training Grants


                        OPERA
             Costs: Stipends, Tuition, HI
      Stipends at rates previously discussed
      Grantees request full amount for tuition, fees and health
       insurance
         Health Insurance OK if applied consistently (Family
           Health Insurance allowable, Dental & Vision coverage
           also OK as long as it is consistently applied)
      Formula applied to the combined cost of tuition, fees and
       health insurance and used for award calculation only
      Tuition/Fees per trainee basis: Predoctoral--60% up to
       $16,000, $21K if dual degree; Postdoctoral--60% up to
       $4,500
      No escalation in future years
      Grantees reimburse as needed (not restricted to formula
       for actual expenses)

68                                                                 68
                Tuition & Health Insurance*
     Institutional Training Grants (T32, T34, T35, and T90)
     Award          Predoctoral                Postdoctoral
     Category
     Tuition/Fees    60% up to $16,000         60% up to $4,500
                     60% up to $21,000 for     60% up to $16,000 for
                    dual degree                additional degree

     Training       $4,200                     $7,850
     Related        (includes health           (includes health insurance)
     Expenses       insurance)
     Trainee        $400 - $1,000 (typical range; varies by NIH awarding
     Travel         component)


     *New policy phased in with FY2006 competing awards and beyond
69                                                                           69
               Costs: Trainee Travel

     Usually per/trainee formula based for
      award calculation
     Varies among IC’s
     Scientific meetings OK
     Cost of travel from residence to institution
      (unallowable)
     Training experiences away from institution
      OK but requires IC prior approval

70                                                   70
       Costs: Training Related Expenses

     Formula based: $4,200/Predoc,
      $7,850/Postdoc
     Formula is Per Trainee
     Can be used for: Health Insurance (new),
      staff salaries, Consultant Costs,
      Equipment, Research Supplies, Staff
      travel, and Other Expenses directly
      related to the training program

71                                               71
            Indirect Costs: F & A

     8% rate
     Base = TDC less Tuition/Fees and
      Equipment




72                                       72
                      Rebudgeting

     No prior approval (unless otherwise
      restricted) for:
       Stipends: Into Tuition & Fees only
       Tuition: Into Stipends only
       Trainee Travel: any category
       TRE: any category
     Prior approval required to rebudget
      stipends and/or tuition into travel or TRE

73                                                 73
              Period of Support/Appt.

     Trainees are considered full-time
      participants in the training program
     9-12 month appointments
     Less than 9 months not allowed unless
      completing a planned training program
     Appointment may begin anytime during the
      budget period


74                                               74
             “Overlapping” Appointment
      An appointment period may overlap budget
       periods. For example:

      Year 9                         Year 10
      7/1/2006 – 6/30/2007           7/1/2007 – 6/30/2008


                           Appointment Period
                          1/1/2007 – 12/31/2007

                 Stipend & Tuition $$ (6-months reported as
                 unliquidated obligation)

75                                                            75
                     Statement of Appointment
                          (Form PHS2271)
      Revised version dated 11/2007
          New data fields on disability and disadvantaged
           background; standard list of speciality boards
     Due on or before the start of the
      appointment period
     No stipend or other allowance may be paid
      until submitted
     Delinquent forms (> 30 days) may result in
      disallowance
     All forms available in fillable formats on web: http://grants.nih.gov/grants/forms.htm

76                                                                                            76
                Payback Agreement
                 (Form PHS 6031)


     Required only for Postdocs, entering
      their first 12-months of Postdoctoral
      NRSA support




77                                            77
                 Termination Notice
                    (PHS 416-7)
     Required at time an appointment is ending
     Reflects total period of support & NIH
      stipend only (do not include any
      supplementation)
     If there was a hiatus of support, report only
      current period
     Do not include support already reported on a
      prior Term Notice

78                                                    78
          xTrain—Electronic Submission of
           2271s and Termination Notices
     • Electronic submission of trainee
       appointments and terminations via the eRA
       Commons
     • Pilot tested in late 2007/early 2008
     • Evaluated pilot user feedback; determining
       improvements needed before broader use is
       encouraged
     • Eventually will move towards requiring this
       but no timeline available yet
79                                                   79
                  IRS Form 1099

     For tax purposes, stipends paid to
      trainees may be reported annually
      using the Form 1099 - Statement of
      Miscellaneous Income (not a W-2)
     Generated by Institutional Business
      Office



80                                          80
             Financial Status Report
                     (SF269)
     Required annually within 90 days of budget
      end date
     Unliquidated obligations can be used to
      report any stipends and tuition charges for
      ―overlapping‖ appointments
     Automatic Carryover of an unobligated
      balance is not generally allowed but awards
      are footnoted either way

81                                                  81
        Planned Transition Dates of “T” & “F”

      E-Submission using the SF424 (R&R)
            http://era.nih.gov/ElectronicReceipt/
     Transition to electronic submission for F’s
     and Ts remains on hold
     Awaiting forms development from
     Grants.gov
     Anticipate news in Spring 2008. Will be
     announced in the Guide.
      Stay tuned!
82                                                  82
                Other Information Sites

     NRSA Stipend Increases & Other Policy
      Announcements :
       http://grants1.nih.gov/training/nrsa.htm
     NRSA T32 Frequently Asked Questions
      (FAQs):
       http://grants.nih.gov/training/faq_training.htm
     NRSA Fellowship FAQs:
       http://grants.nih.gov/training/faq_fellowships.htm
      NIH Institute/Center Contacts for Research
       Training:
       http://grants.nih.gov/training/tac_training_contacts.
       doc
83                                                             83
     That’s All Folks!



     Thank You
     Questions?




84                       84
       Frequently Asked
Questions (and Answers)


                   OPERA
         Q: Are publication costs allowable
                    on a T32?
     A: Yes. Would be an allowable costs in the
       Training Related Expenses category




86                                                86
          Q: Is Preaward cost allowable on
           Fellowships & Training Grants?
     A: It depends on the budget category and the
       particular costs.
     • For stipends—no. You can’t charge until
       either the fellowship is activated or the
       trainee is appointed.
     • For tuition & fees—No. Same reason as
       stipends
     • For Institutional Allowance, Training Related
       Expenses, Trainee Travel—Depends on the
       costs and individual circumstances.
87                                                     87
           Q: Can health insurance be reported as
           part of the unliquated obligation for Ts?

     A: It depends on how your institution obligates
       this cost; particularly now that it is part of the
       training related expenses category (and no
       tuition/fees). If you are able to obligate the
       entire amount at the time of the initial
       appointment (as you do stipends for
       instance) then yes, that portion that is not
       fully expended at the end of the budget
       period may be included in the unliquidated
       obligation.

88                                                          88
           Q: Is Health Insurance excluded
              from the F&A Base for Ts?
     A: It depends. In 2006 NIH implemented a phased in
       change in policy that essentially moved health
       insurance from the Tuition & Fees budget category
       to the Training Related Expenses category. If your
       training grant continues to be awarded under the
       old policy, then health insurance continues to be
       part of the Tuition category; therefore is excluded.
       But if you training grant is awarded using the new
       tuition policy, then health insurance is now part of
       TRE and is no longer excluded from the base.

89                                                        89
          Q: Can the cost of pizza served at
           a seminar be charged to the T?
     A: It depends. A revision to A-21 in 2004 now
       provides some flexibility. If you can document that
       the meeting’s primary purpose is to disseminate
       technical information, then the cost of meals is
       allowable. However this has to be in line with
       written institutional policy and the costs need to
       meet a test of reasonableness. One more thing for
       Ts is allocation. Since the seminar is probably
       attended by others not supported by the training
       grant, only a portion of such costs should be
       allocated to the grant.
90                                                           90
          Q: T in a no-cost extension period—
           Can a ―new‖ trainee be appointed?
     A: NRSA policy does not prohibit such an
       appointment; however, the limited training
       experience a new trainee would receive
       could be a factor in whether or not the
       appointment is accepted. In addition, many
       ICs restrict appointments during an extension
       phase to only existing trainees by using a
       special term and condition on the award.


91                                                 91