History/Timeline Policy Highlights: Early 1970s: showed end of growth of training budget, culminating with the 1973 decision by the Administration to abolish 1974: Passage of National Research Service Award Act—reauthorized training grant programs, support restored. 4-year phase in/out period of old & new training programs. Predoc stipend = $3,900 1980: Stipend Inc--Predoc = $5,040 (29% increase)
Timeline (cont.) 1981: Omnibus Reconciliation Act: 1) increased emphasis on training of physicians; 2) abolished payback for prebaccalaureate trainees; 3) amended payback requirements by establishing 12-month legislative allowance & eliminating “alternate service” as an option. 1983: Stipend Inc.: Predoc = $5,292 (5%) 1985: Stipend Inc.: Predoc = $6,552 (24%) 1986: 1) Announced Minority Recruitment Guidelines for Ts. 2) Tax laws changed impacting taxability of stipends 1989: 1) Stipend Increase: Predoc = $8,500; 2) Federal Debt Delinquency Assurance Added. Individual Trainees & Fellows certify
Timeline (cont.) 1990: Announced Requirement for Responsible Conduct of Research 1991: Stipend Inc: Predoc = $8,800 (4%) 1992: NIH announces availability of short-term positions on T32s 1993: NIH Revitalization Act of 1993: further modified payback requirements: 1) abolished payback for predoctoral trainees appointed after June 10, 1993; 2) allowed 2 nd year of postdoc NRSA support to payback 1 st year of NRSA Postdoc; 3) no obligation for 3 rd year.
Timeline (cont.) 1994: Stipend Inc.: Predoc = $10,008 (14%). Modified Leave Policy. 1996: 1) NIH implements new tuition reimbursement policy for competing Ts—100% for first $2,000, 60% of that over $2,000. 2) NIH receives deviation for 8% F&A (a.k.a.indirect) costs for Ts. 3) NIH announces modified guidelines for citizenship on Fs—is now time of award, not application.
Timeline (cont.) FY2000 1) Stipend Inc: Predoc = $15,060 2) Family Health Insurance now allowable 3) Predoc Fs—Inst. Allow. increased from $2,000 to $2,500 4) Predoc Ts--Per Trainee Training Related Expenses increased from $1,500 to $2,000 5) Change in Per Trainee Tuition Formula for both F’s & T’s: Now 100% of the first $3,000 + 60% of costs >$3,000. Changes were effective for all FY2000 awards-competing & non-competing
Timeline (cont.) FY2001 1) Cost-of-Living Increase for pre and postdoc Stipends. Predoc = $16,500 2) $1,000 Increase in Postdoc Institutional Allowance (to $5,000) 3) $1,000 Increase in Postdoc Trainee Related Expenses (to $3,500/trainee)
Timeline (cont.) FY2002 1) Stipend Increase for all levels: Predoc = $18,156, Postdoc begins @ $31,092 2) Increase in Fellowship Institutional Allowance Predoc = $2,750, Postdoc = $5,500 3) Increase in Ts “Trainee Related Expenses” Predoc = $2,200/trainee, Postdoc = $3,850/trainee 4) New race/ethnicity reporting requirements implemented—2 tiered reporting system
Timeline (cont.) FY2002 (continued) 5) Part-time training implemented—in cases of disability of pressing family need 6) New lexicon for Field of Training (FOT) introduced 7) Changes in review of Minority Recruitment Requirement (now partially a component within the priority score) 8) Revised 2271 published Spring 2002
Timeline (cont.) FY 20002 (Continued) 9) Revised NIH-wide T32 Program Announcement published 5/16/2002 10) Revised Fellowship Instructions & Forms (416-1 & 416-9) Fall 2002 (PDF-fillable) 11) Revised Termination Notice, Activation Notice & Payback Agreement published Fall 2002 (PDF-fillable)
FY2003 Proposed Budget & Policy Changes Proposed Stipend Increase--Proposing 10% for Predoc & entry level Postdoc. Smaller increases proposed for other Postdoc levels Discussing Increase in Postdoc Institutional Allowance Discussing potential change in tuition formula Discussing potential change in leave policy Any changes will be announced in the NIH Guide
NRSA Policy Overview Policies that apply to both Fellowships and Training Grants
Citizenship Requirements Must be Citizen, non-citizen national, or lawfully admitted for permanent residence. Fs: Permanent residency is at the time of award Ts: Permanent residency is at time of appointment
Degree Requirements Predoc : Baccalaureate degree & be enrolled in doctoral program leading to Ph.D., comparable research doctoral degree or MD/Ph.D. Postdoc: Ph.D. or M.D. or comparable doctoral degree from an accredited domestic or foreign institution
NRSA Limitations Predoc: 5 years Postdoc: 3 Years Are aggregate limits, including any combination from individual and/or institutional awards
NRSA Limitations Exceptions/Waiver Physicians/Clinicians Interruptions (break in service) Other Waiver requests require IC prior approval.
Stipends Subsistence Allowance to help defray living expenses Not a salary, not considered employees of either Government or Institution NIH publishes levels in NIH Guide when increases are approved Grantees may supplement
Stipends (cont.) Predoc One level for all individuals, regardless of years of experience FY02 level = $18,156
Stipends (cont.) Postdoc 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
Stipends (cont.) Relevant experience may include research experience (including industrial) teaching assistantship, internship, residency, clinical duties, or other time spent in a health- related field beyond that of qualifying doctoral degree.
Stipend Supplementation Grantee determines amount according to formally established policies applied to all in similar training status Non-Federal funds Without obligation to trainee/fellow
Compensation Actual employment for services rendered Examples: teaching assistant, lab assistant In these cases, individual receives a salary and it is not considered stipend supplementation
Can compensation be provided from an NIH grant? Yes, limited part-time basis May not be same research that is part of planned experience Fellowship sponsor or Training Grant Program Director must approve May not interfere with, detract from, nor prolong the approved NRSA training
Stipend Taxability IRS (not NIH) has domain over interpretation & implementation Rules changed January 1, 1987; however interpretations seem to vary even among IRS offices NIH Grants Policy Statement provide minimal guidance but individuals should really consult local IRS offices
Employee Benefits Since stipends are not provided as a condition of employment, it is inappropriate and unallowable to charge NRSA grants for employee benefits—FICA, workman’s comp, unemployment insurance etc.
Leave VACATIONS & HOLIDAYS: Both Pre- and Postdoctoral Fellows & Trainees may receive same vacations and holidays available to individuals in comparable training positions at the grantee or sponsoring institution. Will continue to receive stipends.
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 30 calendar days of parental leave per year for the adoption or birth of a child. In case of individual fellowships, use of parental leave requires approval of sponsor.
Leave (cont.) Upaid Leave: Approval for leave of absence must be requested in advance from awarding component. Fellowship: award will be revised extending term date by number of months of leave. Trainee (T32): terminate & reappoint Stipends may not be reimbursed during leave of absence.
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
INDIVIDUAL FELLOWSHIPS Predoctoral F30: Individual predoctoral NRSA for MD/Ph.D. fellowships F31: Individual predoctoral NRSA for minority students and students with disabilities & other announced initiatives
Individual Postdoctoral F32: Postdoctoral individual National Research Service Award F33: National Research Service Award for senior fellows
Individual NRSA Fellowship Standard Receipt Dates F32: April 5, August 5, December 5 F31: May 1, November 15 Generally 5- 6 month period for review Check PAs for variations
Helpful Hints In Preparing Fellowship Applications Carefully read the instructions in application kit (416-1, Revised 6/02) and the most recent supplementary program guidelines. Page limitations Research plan Training site Time requested References page
Helpful Hints (cont.) Applicant should not be overly or inadequately trained. Sponsor must demonstrate both the capability and commitment to provide the required training.
Helpful Hints (cont.) Applicant should describe precisely and succinctly the adequacy of the training facilities and environment. Project should have merit as research and as training mechanism. For revised applications, candidate should make sure the changes are significant and clearly identified.
Helpful Hints (cont.) Applicant should seek appropriate advice. Candidate should prepare application carefully.
Helpful Hints (cont.) Assurances & Certifications Individual Fellow (signature on face pg) Sponsoring Institution (Facilities & Commitment pg) Human Subjects : Assurance # & IRB approval date (IRB Approval is now Just- In-Time) Education Requirement (New in FY2001) Animal Subjects--IACUC date now Just-In-Time
Helpful Hints (cont.) Instruction in Responsible Conduct of Research Required as part of all new & competing fellowship applications See NIH F32 Program announcement issued
Review Considerations Candidate Sponsor and training environment Research proposal Training potential
Eligibility Sponsorship Before submitting a fellowship application, candidate must identify: A sponsoring institution - private (profit or nonprofit) or public, domestic or foreign; An individual willing to serve as sponsor.
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.
Initiation of Support (cont.) The day Fellow begins training, Activation Notice and Payback Agreement (only for fellows in first 12 months of NRSA support) must be completed and submitted to awarding component.
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
Stipends PREDOCTORAL: One level regardless of number of years of experience ($18,156) POSTDOCTORAL: Stipend level determined by number of years of relevant postdoctoral experience at time of award.
Institutional Allowance Domestic & Foreign, Nonprofit institutions: Allowance is 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)
Institutional Allowance (cont.) Federal & For-Profit institutions: Allowance is to cover scientific meeting travel, health insurance, and books.
Institutional Allowance (cont.) Individual postdocs (F32): $5,500 – domestic & foreign nonprofit $4,400 - federal & for-profit Includes health insurance Tuition & fees separately reimbursed when applicable
Institutional Allowance (cont.) Individual predocs (F31& F30): $2,750 –exclusive of health insurance and tuition/fees Tuition/fees and health insurance awarded as a separate budget item
Tuition and Fees POSTDOCS: Tuition limited for specific courses required by the training program. Health insurance is not included. Reimbursement: 100% up to $3,000 + 60% of costs above $3,000 – no escalation in future years
Tuition and Fees (cont.) PREDOCS: Tuition reimbursement varies - specific programmatic guidelines should be consulted. When tuition/fees and health insurance awarded as a separate cost, reimbursement: 100% up to $3,000 + 60% of costs above $3,000 – no escalation in future years.
Reporting Procedures Forms are now available in PDF-fillable format on web: http://grants.nih.gov/grants/forms.htm http://grants.nih.gov/grants/forms.htm ACTIVATION NOTICE (FORM PHS 416- 5): Immediately upon initiation of training, fellow completes and returns this form to the NIH awarding component.
Activation Notice Helpful Hints Activation Date (Date Fellow Entered on Duty) must be > “Issue Date” on the Award Activation Date must be < “Latest Activation Date” listed on the award If more time is needed to activate, contact awarding IC to extend Latest Activation Date
Reporting Procedures (cont.) 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.
Termination Notice Helpful Hints Dates in Item 6 must match totals in Item 7 List each year of support separately in Item 7 (must match levels on NGA) Item 7 must reflect only the NRSA stipend. Do not include any supplementation from other sources Item 10-vital particularly for postdocs that may have a payback obligation
CHANGES IN PROJECT A transfer of the award to another institution or a change in sponsors requires the approval of the NIH awarding component. Should consult with NIH ASAP. Any proposed change in the individual’s area of research training must be approved by the awarding component.
PROGRESS REPORTS, FINANCIAL STATUS REPORTS PROGRESS REPORTS: Progress reports are submitted annually when continued support is committed. 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 Report: A Financial Status Report is not required for individual fellowship awards.
Institutional NRSAs (a.k.a.) Training Grants Purpose To develop or enhance research training opportunities for individuals, selected by the institution who are training for careers in specified areas
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
Eligibility (cont.) Applicants must have: 1) strong research program in the proposed area(s); and, 2) requisite staff & facilities to carry out proposed program Program Director will be responsible for 1) overall direction, management, & administration of the training program; and 2) selection & appointment of NRSA eligible trainees
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
Eligibility (cont.) Programs can consist of Predoc, Postdoc, or combination Short-term: solely (T35) or in combination with pre & post T32 Prebaccalaureate MARC USTAR—NIGMS COR--NIMH
Review for T’s 2 Level review like R01s 1) Peer Review--Study Section 2) IC Council
Review Criteria Past training record of program & preceptors Objectives, design & direction of program Caliber of preceptors Quality of training environment for NRSA trainees and relationship of NRSA program to the broader training program. Institutional environment and commitment
Review Criteria (continued) Quality of applicant pool, selection process for appointment to training grant. This now includes a consideration of the racial/ethnic diversity of the trainee pool If postdoc, record of retaining postdoc health professionals for at least 2 yrs When appropriate, the concomitant research training of health professionals w/basic science postdocs or linkages with basic science departments
Minority Recruitment & Retention Recruitment & Retention of underrepresented minorities All competing must include recruitment & retention plan Competing continuations must also include report on outcomes of recruitment & retention during awarded period Noncompeting progress reports (T-5s) must also include info on recruitment & retention
Responsible Conduct of Research Required for all NRSA trainees All competing grants must include description of formal & informal activities NIH suggests: conflict of interest, responsible authorship, policies for handling misconduct, policies regarding use of animal and/or human subjects, data management, data sharing and institutional and individual responsibilities.
Additional Notes for Both Requirements Plans evaluated by the IRG In general, will not impact the overall priority score (except minority recruitment as it affects applicant pool) Are discussed after score has been assigned Information presented to IC staff as administrative notes in the summary statement Councils will consider these areas in their recommendations
Animal & Human Subjects Can indicate “Indefinite” on face pg 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
Receipt Dates See T32 Program Announcement January 10, May 10, Sept. 10 Varies among ICs--Many use only 1 or 2 dates Applicants should contact specific ICs for guidance Progress Report Receipt Dates Vary
Period of Support/Appointments 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 Appointment may not exceed 12 months from a single budget period
“Overlapping” Appointment An appointment period may overlap budget periods Year 9 Year 10 7/1/2001 – 6/30/2002 7/1/2002 – 6/30/2003 Appointment Period 1/1/2002 – 12/31/2002 Stipend & Tuition $$ (6-months reported as unliquidated obligation)
Costs: Stipends Subsistence Allowance Not condition of employment Predocs--all one level For postdocs, level set at time of appointment. Grantee institution determines level. This is double checked by NIH staff by reviewing the educational info provided on 2271 Must use the stipend level(s) in effect for the particular grant year
Costs: Tuition & Fees Grantees request full needs Health Insurance OK as fee if required of all trainees (Family HI allowable) Formula used for award calculation only Per trainee basis: 100% of first $3,000, 60% of that >$3,000 No escalation in future years Grantees reimburse as needed
Costs: Trainee Travel Usually per/trainee formula based, Varies among ICs Scientific Mtgs OK Not travel from residence to institution Training experiences away from institution OK but require IC approval
Costs: Training Related Expenses (TRE) Formula based: $2,200/pre, $3,850/post Formula is Per Trainee Can be used for: Staff salaries, Consultant Costs, Equipment, Research Supplies, Staff travel, and Other Expenses directly related to the training program
Costs: F & A 8% rate Base = TDC less tuition & fees
Rebudgeting No prior approval (unless otherwise restricted) for: Stipends: Into Tuition & Fees only Tuition: Into Stipends only Trainee Travel: Anywhere TRE: Anywhere Prior approval required to rebudget stipends and/or tuition into travel or TRE
Statement of Appointment Form (PHS 2271) Revised version available 4/2002 Available in PDF-fillable format on web: http://grants.nih.gov/grants/forms.htm http://grants.nih.gov/grants/forms.htm Includes new ethnicity/race breakouts & Field of Training coding Mandatory use of new form as of appointments beginning on/after 6/1/2002
Statement of Appointment Form (PHS 2271) Due on or before the start of appointment period No stipend or other allowance may be paid until submitted Delinquent forms may result in disallowance
2271s-Helpful Hints Read instructions carefully & check for accuracy before mailing Complete all required sections Make sure you are appointing trainees to the correct grant year—check appointment start date & compare to budget period on NGA For New-complete all sections For Reappointment, skip the shaded areas unless changed Citizenship--Proof of permanent residency must be submitted with 2271
2271s-Helpful Hints (cont.) Trouble spots Incomplete Data--particularly degrees & prior NRSA support (Item 5) Permanent Address (Item 9): Address NIH can use later (not a school address) Period of Support (Item 13) and Stipend Dollars (Item 18) must match. If period of support is 10 months, stipend must also reflect 10 months
2271s-Helpful Hints (cont.) Item 18 must reflect NRSA T32 portion only Do not include amount supplemented by Institution from other sources For Postdoc Trainees: Initial stipend level must be based on number of years of relevant experience (listed in Item 14- Education)
Electronic 2271 Now “X-TRAIN” Electronic submission of 2271 data available through “X-TRAIN”, an application in the NIH Commons X-TRAIN is currently in limited deployment Will eventually be open to all Commons- registered institutions. Commons registration expected to re-open in FY2003
Payback Agreement (PHS 6031) Required only for postdocs, entering their first 12-months of postdoctoral NRSA support Available in PDF-fillable format on web: http://grants.nih.gov/grants/forms.htm http://grants.nih.gov/grants/forms.htm
Termination Notice (PHS 416-7) Required at time an appointment is ending Reflects total support period & NIH amount only If there was a hiatus of support, report only current period Do not include support already reported on a prior Term Notice Available in PDF-fillable format on web: http://grants.nih.gov/grants/forms.htm http://grants.nih.gov/grants/forms.htm
Termination Notice Helpful Hints Completeness—Read instructions, fill in all items Items 6 & 7--Dates & money must match what was reported on 2271s. Item 7--Stipends reflect only amount charged to grant. Do not include any supplementation from other sources If final year of support is being terminated early, need to submit an amended 2271 or include a note on Termination Notice indicating early termination
Termination Notice Helpful Hints (cont) Item 8--Summary of training, may use an attachment Item 10--Mailing Address--important particularly for postdocs Item 12--Trainee Signature--May be submitted indicating “Trainee Unavailable for signature” but only after good faith effort to secure Item 14-Business Official must verify $$
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
Financial Status Report (SF 269) 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 should be footnoted either way
Payback Legislation requires some NRSA recipients to “pay back” the Federal Government through service Rules changed dramatically in 1993
Payback (cont.) Predocs Eliminated payback for any predoc appointed on or after June 10, 1993 Any predoc receiving support prior to June 10, 1993 would still have an obligation
Payback (cont.) Postdocs Obligation exists for first 12 months of postdoc NRSA support The 13 th and subsequent months of postdoc NRSA support can “payback” the postdoc obligation Postdoc NRSA cannot be used to payback predoc obligation
Acceptable Payback Service Health-related biomedical or behavioral research Health-related teaching Direct administration or review of health-related research Any combination of these activities
Acceptable Payback Service 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 to applied clinical research Also includes agriculture, environmental sciences, biotechnology & bioengineering
Acceptable Payback Service 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 approval
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
APAC Helpful Hints Form is a retrospective reporting—what the individual has done over the last 12 months Signatures—of recipient & supervisor--#1 missing item Block 4, Description—Need details Monitoring Payback at NIH is being consolidated. Contact NRSA Payback Service Center, 301-594-1835
Financial Payback Can be voluntary or involuntary Amount owed is total stipend received (plus interest when applicable)
Waiver Rare & Requires NIH Director approval Permanent or Total Disability Substantial hardship & against equity Cancelled upon death
Information Sites NIH Extramural Training and Research Career Development Programs: http://grants.nih.gov/training/ http://grants.nih.gov/training/ NIH T32 Announcement, NIH Guide, 5/16/02: http://grants.nih.gov/grants/guide/pa- files/PA-02-109.html http://grants.nih.gov/grants/guide/pa- files/PA-02-109.html