Presentation on theme: "NRSA and Stuff Jeff Thurston, NIAMS"— Presentation transcript:
1 NRSA and Stuff Jeff Thurston, NIAMS (email@example.com) Monte Parham, NIAMSCynthia Dwyer, NCI
2 Ruth L. Kirschstein National Research Service Awards 10/27/2002Ruth L. Kirschstein National Research Service AwardsJeff Thurston, NIAMSIntroductionsWhen we’ll take questions
3 Here is a chart of the NIH Institutes and Centers. 10/27/2002Here is a chart of the NIH Institutes and Centers.indicates a funding ICindicates an IC that doesn’t issue awardsEach NIH IC receives a separate appropriation from Congress
4 10/27/2002New NamePublic Law , signed August 2, 2002 officially renamed this program the “Ruth L Kirschstein National Research Service Awards”In recognition of her years of dedicated service to NIH & the NIH community, particularly for her years of support for NRSA training
5 10/27/2002OverviewPurpose of NRSA: To help ensure that a diverse and highly trained workforce is available to assume leadership roles related to the Nation’s biomedical & behavioral research agenda.
6 Two Support Mechanisms FY2002 Estimates 10/27/2002Two Support Mechanisms FY2002 EstimatesIndividual Fellowships (Fs)$109,053,000, 2866 FTTPsInstitutional Training Grants (Ts)$545,437,000, 13,843 FTTPsF=Award to support a particular individualT=Award to an institution to support a training programEach mechanism will be discussed separately
7 FY 2002 Operating Budget $23,042 Million 10/27/2002FY 2002 Operating Budget $23,042 Million
8 History/Timeline Policy Highlights: 10/27/2002History/Timeline Policy Highlights:Early 1970s: showed end of growth of training budget, culminating with the 1973 decision by the Administration to abolish1974: 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 = $3,9001980: Stipend Inc--Predoc = $5,040 (29% increase)
9 10/27/2002Timeline (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 stipends1989: 1) Stipend Increase: Predoc = $8,500; 2) Federal Debt Delinquency Assurance Added. Individual Trainees & Fellows certify
10 10/27/2002Timeline (cont.)1990: Announced Requirement for Responsible Conduct of Research1991: Stipend Inc: Predoc = $8,800 (4%)1992: NIH announces availability of short-term positions on T32s1993: NIH Revitalization Act of 1993: further modified payback requirements: 1) abolished payback for predoctoral trainees appointed after June 10, 1993; 2) allowed 2nd year of postdoc NRSA support to payback 1st year of NRSA Postdoc; 3) no obligation for 3rd year.
11 10/27/2002Timeline (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.
12 Timeline (cont.) 1997: 1) Stipend Inc: Predoc = $11,496 (15%). 10/27/2002Timeline (cont.)1997: 1) Stipend Inc: Predoc = $11,496 (15%).2) Increased Institutional Allowance for Fs.3) Revised NRSA Guidelines published.1998: 1) Stipend Inc: Predoc = $11,748 (2%)2) NRSA Guidelines incorporated into NIH Grants Policy Statement1999: 25% Stipend Inc. Predoc = $14,688Program has evolved. New policies added. Existing ones modified.Have shown many periods of flat-lined budgets, sporadic stipend increases (not always with increase in $$), yet increased tuition costs requests.
13 Timeline (cont.) FY2000 1) Stipend Inc: Predoc = $15,060 10/27/2002Timeline (cont.)FY20001) Stipend Inc: Predoc = $15,0602) Family Health Insurance now allowable3) Predoc Fs—Inst. Allow. increased from $2,000 to $2,5004) Predoc Ts--Per Trainee Training Related Expenses increased from $1,500 to $2,0005) Change in Per Trainee Tuition Formula for both F’s & T’s: Now 100% of the first $3, % of costs >$3,000.Changes were effective for all FY2000 awards-competing & non-competing
14 10/27/2002Timeline (cont.)FY20011) Cost-of-Living Increase for pre and postdoc Stipends. Predoc = $16,5002) $1,000 Increase in Postdoc Institutional Allowance (to $5,000)3) $1,000 Increase in Postdoc Trainee Related Expenses (to $3,500/trainee)PD IA = $5,000PD TRE = $3,500
15 Timeline (cont.) FY2002 1) Stipend Increase for all levels: 10/27/2002Timeline (cont.)FY20021) Stipend Increase for all levels:Predoc = $18,156, Postdoc $31,0922) Increase in Fellowship Institutional AllowancePredoc = $2,750, Postdoc = $5,5003) Increase in Ts “Trainee Related Expenses”Predoc = $2,200/trainee , Postdoc = $3,850/trainee4) New race/ethnicity reporting requirements implemented—2 tiered reporting system
16 Timeline (cont.) FY2002 (continued) 10/27/2002Timeline (cont.)FY2002 (continued)5) Part-time training implemented—in cases of disability of pressing family need6) New lexicon for Field of Training (FOT) introduced7) Changes in review of Minority Recruitment Requirement (now partially a component within the priority score)8) Revised 2271 published Spring 2002Pt Time Training Requires NIH IC Prior ApprovalApplicant Pool now includes a component on “selection of individuals for appointment to the training grant and that the assessment will include a consideration of the racial & ethnic diversity of the trainee pool.”Mandatory Use of new 2271 for all appointment on/after June 1, Uses new race/ethnicity & FOT coding. See April 5, 2002 GUIDE Announcement
17 Timeline (cont.) FY 20002 (Continued) 10/27/2002Timeline (cont.)FY (Continued)9) Revised NIH-wide T32 Program Announcement published 5/16/200210) 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)
18 FY2003 Proposed Budget & Policy Changes 10/27/2002FY2003 Proposed Budget & Policy ChangesProposed Stipend Increase--Proposing 10% for Predoc & entry level Postdoc. Smaller increases proposed for other Postdoc levelsDiscussing Increase in Postdoc Institutional AllowanceDiscussing potential change in tuition formulaDiscussing potential change in leave policyAny changes will be announced in the NIH GuideTuition Formula: 100% of the first $8, % > $8,000. Would be phased in with competing applications onlyLeave Policy Changes: Considering establishing NRSA Minimum and aligning policies more with your Institutional Leave Policy
19 NRSA Policy OverviewPolicies that apply to both Fellowships and Training Grants
20 Citizenship Requirements 10/27/2002Citizenship RequirementsMust be Citizen, non-citizen national, or lawfully admitted for permanent residence.Fs: Permanent residency is at the time of awardTs: Permanent residency is at time of appointmentNon-citizen national = owes permanent allegiance to US. Generally persons born in outlying US possessions (America Samoa, Swains Island)If lawfully admitted for permanent residency, must be possession of Alien Registration Receipt Card (I-551) or of legal verification of such status.
21 10/27/2002Degree RequirementsPredoc: 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
22 NRSA Limitations Predoc: 5 years Postdoc: 3 Years 10/27/2002NRSA LimitationsPredoc: 5 yearsPostdoc: 3 YearsAre aggregate limits, including any combination from individual and/or institutional awards
23 NRSA Limitations Exceptions/Waiver Physicians/Clinicians 10/27/2002NRSA LimitationsExceptions/WaiverPhysicians/CliniciansInterruptions (break in service)OtherWaiver requests require IC prior approval.Physician/Clinician: combined degree students or clinician completing postdoc trainingInterruption: (loss of preceptor, accident, illness, etc)Other:Request is from trainee, with endorsement from PD or sponsor
24 Stipends Subsistence Allowance to help defray living expenses 10/27/2002StipendsSubsistence Allowance to help defray living expensesNot a salary, not considered employees of either Government or InstitutionNIH publishes levels in NIH Guide when increases are approvedGrantees may supplement
25 Stipends (cont.) Predoc 10/27/2002Stipends (cont.)PredocOne level for all individuals, regardless of years of experienceFY02 level = $18,156
26 Stipends (cont.) Postdoc 10/27/2002Stipends (cont.)PostdocDependent 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 appointmentOnce set, no change mid yearSubsequent year based on initial level + 1
28 10/27/2002Stipends (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.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.Once appropriate stipend level has been determined, fellow must be paid at that level for entire grant yearStipend for each additional year of support is next level in the stipend structure and does not change mid-year.
29 Stipend Supplementation 10/27/2002Stipend SupplementationGrantee determines amount according to formally established policies applied to all in similar training statusNon-Federal fundsWithout obligation to trainee/fellow
30 Compensation Actual employment for services rendered 10/27/2002CompensationActual employment for services renderedExamples: teaching assistant, lab assistantIn these cases, individual receives a salary and it is not considered stipend supplementation
31 Can compensation be provided from an NIH grant? 10/27/2002Can compensation be provided from an NIH grant?Yes, limited part-time basisMay not be same research that is part of planned experienceFellowship sponsor or Training Grant Program Director must approveMay not interfere with, detract from, nor prolong the approved NRSA training“Limited Part-time” = up to 10 hours per week or 25%Grantee Monitoring of this is important. Since NIH no longer requires itemized budgets (SNAP & eventually Modular Grants), close monitoring at the grantee is vital to avoid an audit disallowance
32 10/27/2002Stipend TaxabilityIRS (not NIH) has domain over interpretation & implementationRules changed January 1, 1987; however interpretations seem to vary even among IRS officesNIH Grants Policy Statement provide minimal guidance but individuals should really consult local IRS offices
33 10/27/2002Employee BenefitsSince 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.
34 10/27/2002LeaveVACATIONS & 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.
35 10/27/2002Leave (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.
36 10/27/2002Leave (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 & reappointStipends may not be reimbursed during leave of absence.
37 Part-time TrainingAllowed in unusual and pressing personal circumstances (e.g., medical conditions, disability, child or elder care)NIH prior approval requiredProgram Director/Sponsor must submit written request, countersigned by trainee/fellow & authorized institutional officialMust continue to be at least 50%. Less than 50% would require leave-of-absence from NRSA support
38 INDIVIDUAL FELLOWSHIPS 10/27/2002INDIVIDUAL FELLOWSHIPSPredoctoralF30: Individual predoctoral NRSA for MD/Ph.D. fellowshipsF31: Individual predoctoral NRSA for minority students and students with disabilities & other announced initiativesThe F30 is an Individual Predoctoral NRSA fellowship for MD/PH.D studentsThis mechanism provides combined medical school and predoctoral Ph.D. supportThe Purpose is to ensure that an adequate no. of trained physician/scientists will be availableThe maximum number of years of support is six yearsSeveral Institutes issued a joint announcement: NIMH, NIDA, NIAAA, NIEHS. Others have issued stand along announcements—NINDS, NIDCDResearch must fall within the mission of the participating Institute(s)The F31 is also a predoctoral NRSA fellowshipIt provides research training leading to Ph.D. or a combined MD/PH.D and support is available for 5 years.There are several Types: 1) The NRSA Predoctoral Fellowship for Minority Students 2) The NRSA Predoctoral Fellowship Program for Students with Disabilities and 3) Some ICs have issued separate announcements using this mechanism for anyone (not just targeted populations)
39 Individual Postdoctoral 10/27/2002Individual PostdoctoralF32: Postdoctoral individual National Research Service AwardF33: National Research Service Award for senior fellowsThe F32 is an Individual Postdoctoral NRSA fellowshipIt provides postdoctoral research training to individuals in order to broaden scientific background and extend potential for researchSupport is available on a full-time basis for up to three yearsRevised F32 Program Announcement (to be) issued Fall 2002The F33 is an NRSA fellowship for Senior FellowsIt provides opportunities for experienced scientists to make major changes in research careers and to acquire new research capabilitiesThe Candidates must have doctoral degree and at least 7 subsequent years of relevant research or professional experienceIn addition, the Candidate must arrange for acceptance by an institution and sponsorSupport may be requested for a period of up to two yearsThe Stipend is determined individually at the time of award and is commensurate with base salary which the individual would have been paid by the institution. May not exceed NRSA stipend limit
40 Individual NRSA Fellowship Standard Receipt Dates 10/27/2002Individual NRSA Fellowship Standard Receipt DatesF32: April 5, August 5, December 5F31: May 1, November 15Generally 5- 6 month period for reviewCheck PAs for variations
41 Helpful Hints In Preparing Fellowship Applications 10/27/2002Helpful Hints In Preparing Fellowship ApplicationsCarefully read the instructions in application kit (416-1, Revised 6/02) and the most recent supplementary program guidelines.Page limitationsResearch planTraining siteTime requestedReferences pageRead Instructions Carefully (use 416-1, revised 6/02) and most recent supplementary program guidelines. Note new form pages are available on the NIH web in a PDF-fillable format (similar to what is now available for the 398 & 2590)Stick to the Page LimitationsSummary of Research Experience and Doctoral Dissertation are limited to 1 page eachThe Research proposal should not exceed l0 pagesand the Biographical Sketch is limited to 2 pagesThe Research Plan should be a description of the proposal in the fellows own words – The Reviewers are looking for an understanding and approach to research, clarity, logic, and how the research will accomplish the training goalsFor the Training Site: If the fellow proposes to train at doctorate or current institution, explain how it would broaden perspectiveTime Requested:Three years for postdocs is standard. One year is generally not appropriate. May be shortened depending on time already spent training with sponsor and/or prior NRSA supportTime proposed should be consistent with training goals in applicationReferences:Three references in sealed envelopes submitted with application – 4 preferredOne reference from thesis advisor
42 10/27/2002Helpful Hints (cont.)Applicant should not be overly or inadequately trained.Sponsor must demonstrate both the capability and commitment to provide the required training.Applicant should not be overly or inadequately trainedIf the applicant is well on the way to becoming an independent investigator they should submit an R01If the applicant is inadequately prepared in research area of proposed project, reviewers may question potential for performing research independentlyThe Sponsor must demonstrate the capability and commitment to provide the trainingThe Sponsor and lab must be proficient in the research to be covered in the fellowship andThe Sponsor must demonstrate a willingness to provide sufficient time SoSelecting sponsor based only on prestige is not sufficient
43 10/27/2002Helpful 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.The applicant should describe precisely and succinctly the adequacy of training facilities and environmentThe training program described by sponsor should include not only lab experience but other approaches such as seminars, scientific meetings and courses.There should be significant degree of interaction with other research scientistsLab should be productive as illustrated by quality of publicationsThe project should have merit as research and as training mechanismDescription of the project and methodology should be precise and succinctDiscuss potential problem areas – possible alternative approaches – how will the results be interpretedFor revised applications, candidate should make sure the changes are significant and clearly identified. They should:Analyze the Summary StatementInclude an explanation of the significant changes andDocument responses to the critique in the Summary Statement
44 Helpful Hints (cont.) Applicant should seek appropriate advice. 10/27/2002Helpful Hints (cont.)Applicant should seek appropriate advice.Candidate should prepare application carefully.The Applicant should seek appropriate advice:He should get assistance from the sponsorHe may consider presubmission review at the sponsoring organization andMay consider contacting NIH staff for advice on application preparationThe candidate should prepare application carefully withA clear, concise, scientific writing style using the active voiceRemember: editing and proofreading are important-a sloppy application will make a poor impression
45 Helpful Hints (cont.) Assurances & Certifications 10/27/2002Helpful Hints (cont.)Assurances & CertificationsIndividual 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-TimeAssurances & Certifications Required in ApplicationThe signature of the applicant on the face page of the application verifies assurances and certification such as: Debarment and Suspension, Delinquent Federal Debt, Drug-Free WorkplaceThe Institutional assurances are made and verified by the signature of official signing for sponsoring institutionFor Humans – The Sponsoring institution must file a written Assurance of Compliance with the Office for Human Research Protections, DHHS (formerly OPRR). The assurance number must appear on the application. – Also a certification of IRB approval of the proposed activity is required, not at time of application but prior to award. This has been changed recently - see NIH Guide Notice dated May 1, 2000.Beginning with FY2001 awards there is a new education requirement on protection of HS --Like Research grants, a letter will be required prior to award. For Animals – The sponsoring institution must file an Animal Welfare Assurance with the Office of Laboratory Animal Welfare (OLAW), NIH – Also, a certification of Institutional Animal Care and Use Committee approval of the proposed activity is required at time of application. Therefore, the assurance number and IACUC date must appear on the application. Unless IACUC approval is delayed - then put “pending” with approval to be submitted within 60 days of receipt date. This did not change from the previous practice.
46 Helpful Hints (cont.) Instruction in Responsible Conduct of Research Required as part of all new & competing fellowship applicationsSee NIH F32 Program announcement issued
47 Review Considerations 10/27/2002Review ConsiderationsCandidateSponsor and training environmentResearch proposalTraining potentialCandidateExtent and level of previous education including degrees, field, academic performance, mentor and institutionDissertation topicsPrevious postdoctoral research or clinical experienceEvidence of commitment to a career in researchAwards and honors, other relevant experience, prof. training and publicationsReference letters; considering both the numerical rankings and the text of the lettersSponsor and training environmentReviewers will assess qualifications and appropriateness of sponsor including research expertise and prior experience as a postdoctoral mentorReviewers will also consider environment of host laboratory and institutionResearch proposalProposal should have scientific meritIt will be evaluated in light of candidate’s previous training and career developmentTraining potentialReviewers will evaluate proposed training as it relates to preparation for an independent research careerTraining potential will be considered in light of requested period of support
48 Eligibility Sponsorship 10/27/2002Eligibility SponsorshipBefore 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.The applicant must identify a sponsoring institution and an individual who will serve as a sponsor and will supervise the training and research experienceThe applicant’s sponsor should be an active investigator in the area of proposed research who will directly supervise candidate’s researchThe sponsoring institution may be private (profit or nonprofit) or public, domestic or foreign, including NIH intramural programs and other federal laboratories.
49 10/27/2002Initiation Of SupportAwarding 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.In NIGMS there is a moratorium on activating between October 1 and November 15th. Because of difficulties in funding awards during this time frame. Other ICs are adopting similar policies
50 Initiation of Support (cont.) 10/27/2002Initiation 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.
51 10/27/2002PAYMENTDomestic, 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 costsFunds may not be expended until the fellowship is activatedUse these additional notes only if audience include Federal or Foreign grantees:Federal: Fellows training at Federal Labs are paid stipends and institutional allowance directly by the awarding component through the Office of Financial Management, NIHForeign: The stipend is paid by OFM to the fellow and the Institutional allowance to the sponsoring institution
52 10/27/2002StipendsPREDOCTORAL: 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.
53 Institutional Allowance 10/27/2002Institutional AllowanceDomestic & 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:One should consult the NIH program announcement regarding specific level of allowance for predoctoral and postdoctoral supportThe levels are published in NIH Guide for Grants and Contracts and are also in Appendix 1 of the Guidelines HandoutThe type of sponsoring institution dictates what allowable costs may be charged to this category and how the funds are administeredFor Non-Federal Public and Private Nonprofit institutions (Domestic and Foreign): The allowance is intended to defray such expenses for individual fellows as research supplies, equipment, travel to scientific meetings, health insurance, and to otherwise offset administrative costs of graduate training. Family health insurance is now allowable (If allowed for all in similar status regardless of source of support).
54 Institutional Allowance (cont.) 10/27/2002Institutional Allowance (cont.)Federal & For-Profit institutions:Allowance is to cover scientific meeting travel, health insurance, and books.
55 Institutional Allowance (cont.) 10/27/2002Institutional Allowance (cont.)Individual postdocs (F32):$5,500 – domestic & foreign nonprofit$4, federal & for-profitIncludes health insuranceTuition & fees separately reimbursed when applicable
56 Institutional Allowance (cont.) 10/27/2002Institutional Allowance (cont.)Individual predocs (F31& F30):$2,750 –exclusive of health insurance and tuition/feesTuition/fees and health insurance awarded as a separate budget itemIndividual Predoctoral fellowships (F30 and F31)The IA is $2,500 (exclusive of tuition/fees and health insurance). This was increased in FY 2000.Tuition and fees and health insurance are awarded separately using new formula established in FY 2000.Health insuranceIs an allowable cost only if required of all persons in a similar training status regardless of the source of support and as stated previously can now provide for family health insurance under these same conditions.TravelPayment for travel to scientific meetings is appropriate when necessary for the individual’s trainingExpenditure of Institutional Allowance:Except for fellows at Federal training sites, sponsoring institution authorizes expenditure of the institutional allowance on behalf of the fellow
57 10/27/2002Tuition and FeesPOSTDOCS: Tuition limited for specific courses required by the training program. Health insurance is not included.Reimbursement: 100% up to $3, % of costs above $3,000 – no escalation in future yearsFor Postdocs tuition and fees are limited to those for specific courses required by training program and must receive prior approval from the awarding componentThe reimbursement formula which was effective FY 2000 is: 100% up to $3,000+60% of costs above $3,000 with no escalation in future years.For purposes of calculating this budget item, health insurance is not included since it is still awarded as part of institutional allowance
58 Tuition and Fees (cont.) 10/27/2002Tuition 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, % of costs above $3,000 – no escalation in future years.
59 10/27/2002Reporting ProceduresForms are now available in PDF-fillable format on web:ACTIVATION NOTICE (FORM PHS 416-5): Immediately upon initiation of training, fellow completes and returns this form to the NIH awarding component.Activation Notice: (Form PHS 416-5) – You can see Appendix 3 of Guidelines for a SampleImmediately upon initiation of training, individual completes and signs Activation Notice, obtains signature of sponsoring institution officials, and forwards notice with Payback Agreement (postdoc in first 12 months of NRSA support) to the NIH awarding componentThis form should be enclosed with all competing awardsDomestic Non-Profit: Activation Notice Required in initial year onlyForeign and Federal: Form must be submitted every yearForm may be submitted up to 30 days in advance; However, funds may not be released until individual has actually started training
60 Activation Notice Helpful Hints Activation Date (Date Fellow Entered on Duty) must be > “Issue Date” on the AwardActivation Date must be < “Latest Activation Date” listed on the awardIf more time is needed to activate, contact awarding IC to extend Latest Activation Date
61 Reporting Procedures (cont.) 10/27/2002Reporting 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.Payback Agreement (Form PHS 6031)See Appendix 5 of Guidelines for samplePayback Agreement 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)See Appendix 6 of Guidelines (Handout)The Termination Notice (along with Activation Notice and Fellowship Award) is the basis for establishing amount of payback obligationsFor individual fellowships, a Termination Notice is sent to fellow by awarding component prior to scheduled termination dateFor early terminations, Term Notice issued upon receipt of notification to the awarding component. Stipend should be prorated appropriately. Institutional Allowance may be adjusted as well if period of support < 6 months. Contact ICFollowing Termination, no funds may be drawn down.Invention Reporting: Not required for fellows or traineesForms can be obtained at website previously given
62 Termination Notice Helpful Hints Dates in Item 6 must match totals in Item 7List 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 sourcesItem 10-vital particularly for postdocs that may have a payback obligation
63 10/27/2002CHANGES IN PROJECTA 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.Change in sponsorConsiderations for change in Sponsor: Is new sponsor qualifiedWill project change? If so, does training continue to be the originally approved area of researchChange in institutions1. Relinquishing Statement or Term Notice with all $$ information/Application from new institution – like research T72. If transfer occurs before end of current award year, the initial institute may be requested to continue to pay stipend until end of current year or it may be handled like a research grant T7 with award actions transferring the funds between the two institutions. See more of the later option these days.Disposition of Institutional Allowance negotiable between two sponsoring institutionsIf there is a project change, it must be approved in writing by the awarding component to assure that the training continues to be an area that falls within the scientific area of the original peer reviewed application or it may have to undergo re-review.
64 PROGRESS REPORTS, FINANCIAL STATUS REPORTS 10/27/2002PROGRESS REPORTS, FINANCIAL STATUS REPORTSPROGRESS 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.
65 Institutional NRSAs (a.k.a.) Training Grants 10/27/2002Institutional NRSAs (a.k.a.) Training GrantsPurposeTo develop or enhance research training opportunities for individuals, selected by the institution who are training for careers in specified areasMost or all of the information covered can be found in the NRSA Guidelines and/or the Application kits 398 & At the back of each kit there is a separate section for Institutional Training grants including special form pages.
66 Eligibility Application submitted by Institution (not individual). 10/27/2002EligibilityApplication submitted by Institution (not individual).Domestic, non-profit public or private institutionsResearch training must fall within the mission of the NIH awarding components
67 10/27/2002Eligibility (cont.)Applicants must have: 1) strong research program in the proposed area(s); and, 2) requisite staff & facilities to carry out proposed programProgram Director will be responsible for 1) overall direction, management, & administration of the training program; and 2) selection & appointment of NRSA eligible trainees
68 10/27/2002Eligibility (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
69 10/27/2002Eligibility (cont.)Programs can consist of Predoc, Postdoc, or combinationShort-term: solely (T35) or in combination with pre & post T32PrebaccalaureateMARC USTAR—NIGMSCOR--NIMHSome ICs allow only all pre or all post. Other ICs allow mix. Specific program announcements and/or IC staff should be contacted.T35: Used to promote Health Professionals into Research
70 Review for T’s 2 Level review like R01s 1) Peer Review--Study Section 10/27/2002Review for T’s2 Level review like R01s1) Peer Review--Study Section2) IC CouncilThe following information is provided from the NRSA portion of the NIH Grants Policy Statement and the Instructions in the 398 Application kit. The NIH T32 Program Announcement and/or specific IC Program Announcements should also be consulted. Questions concerning review should be directed to the NIH program official or the SRA.
71 Review Criteria Past training record of program & preceptors 10/27/2002Review CriteriaPast training record of program & preceptorsObjectives, design & direction of programCaliber of preceptorsQuality of training environment for NRSA trainees and relationship of NRSA program to the broader training program.Institutional environment and commitmentThe 398 Application kit provides specific data that must be submitted; e.g., participating faculty--training grant support, other support, current & past trainees, trainee applicant pool data, trainee publicationsSome NIH Institutes provide additional guidance with respect to “suggested table formats” for organizing the data. You are encouraged to contact the potential NIH IC for additional guidance.Review Criteria itemized in recent T32 PA—5/16/2002Quality & Size of Applicant Pool. This is the basis for the recommended number of trainee slots
72 Review Criteria (continued) 10/27/2002Review 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 poolIf postdoc, record of retaining postdoc health professionals for at least 2 yrsWhen appropriate, the concomitant research training of health professionals w/basic science postdocs or linkages with basic science departmentsWill be coupled with the Minority Recruitment & Retention efforts. But this means that minority recruitment will have some bearing on the priority score now.
73 Minority Recruitment & Retention 10/27/2002Minority Recruitment & RetentionRecruitment & Retention of underrepresented minoritiesAll competing must include recruitment & retention planCompeting continuations must also include report on outcomes of recruitment & retention during awarded periodNoncompeting progress reports (T-5s) must also include info on recruitment & retentionT32 PA includes specifics for what should be included in the report
74 Responsible Conduct of Research 10/27/2002Responsible Conduct of ResearchRequired for all NRSA traineesAll competing grants must include description of formal & informal activitiesNIH 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.Requirement since 1990Required for NRSA, “encouraged” for all students in the programNIH “suggests” but has no specific requirementsSpecifics should be geared to training program.No additional “education” requirement is necessary for anyone involved in a training grant (PD, participating faculty and/or trainees).
75 Additional Notes for Both Requirements 10/27/2002Additional Notes for Both RequirementsPlans evaluated by the IRGIn general, will not impact the overall priority score (except minority recruitment as it affects applicant pool)Are discussed after score has been assignedInformation presented to IC staff as administrative notes in the summary statementCouncils will consider these areas in their recommendations2 Official Ratings--Acceptable & Unacceptable“Unacceptable” ratings = no funding“Marginally Acceptable” ratings = perhaps restrictions, fewer years
76 Animal & Human Subjects 10/27/2002Animal & Human SubjectsCan indicate “Indefinite” on face pgIn many cases, trainees will be participating in individual projects already reviewedThese grants (and their review/approval dates) should be identified in applicationGrantee responsible for assuring proper approval is received prior to a trainee participating in any project involving either vertebrate animals and/or human subjects
77 Receipt Dates See T32 Program Announcement 10/27/2002Receipt DatesSee T32 Program AnnouncementJanuary 10, May 10, Sept. 10Varies among ICs--Many use only 1 or 2 datesApplicants should contact specific ICs for guidanceProgress Report Receipt Dates VaryFor T-5s, may not the same as R01s (2 months before start date). If an early receipt is required, face page notifications are mailed early with specific instructions
78 Period of Support/Appointments 10/27/2002Period of Support/AppointmentsTrainees are considered full-time participants in the training programmonth appointmentsLess than 9 months not allowed unless completing a planned training program.Appointment may begin anytime during the budget periodAppointment may not exceed 12 months from a single budget periodInitial < 9 months OK if promise to immediately reappoint
79 “Overlapping” Appointment 10/27/2002“Overlapping” AppointmentAn appointment period may overlap budget periodsYear Year 107/1/2001 – 6/30/ /1/2002 – 6/30/2003Reminder that stipend level must correspond to the level provided from the support year. So if Year 10 includes a stipend increase, you’ll have trainees at 2 different levels. You can supplement to bring them in line but what is charged to the grant must reflect the level provided in that particular award year.Appointment Period1/1/2002 – 12/31/2002Stipend & Tuition $$ (6-months reported as unliquidated obligation)
80 Costs: Stipends Subsistence Allowance Not condition of employment 10/27/2002Costs: StipendsSubsistence AllowanceNot condition of employmentPredocs--all one levelFor 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 2271Must use the stipend level(s) in effect for the particular grant year
81 Costs: Tuition & Fees Grantees request full needs 10/27/2002Costs: Tuition & FeesGrantees request full needsHealth Insurance OK as fee if required of all trainees (Family HI allowable)Formula used for award calculation onlyPer trainee basis: 100% of first $3,000, 60% of that >$3,000No escalation in future yearsGrantees reimburse as neededTuition formula since FY96Include all in-state, out-of-state mixesHealth Insurance OK as fee if required of all trainees in similar status, regardless of funding source--consistent treatmentFamily HI now allowableFuture years flat-linedReimbursement not necessarily limited to formula (unless specifically restricted). Actual needs may vary greatly from that submitted in application
82 10/27/2002Costs: Trainee TravelUsually per/trainee formula based, Varies among ICsScientific Mtgs OKNot travel from residence to institutionTraining experiences away from institution OK but require IC approvalSpend a minute on this last point since it’s one I’ve provided advice on a lot this year.Each situation differs and that is why each should be reviewed separately. Consider:support of mentor & program director;distance away from “home” institution--plans for the trainee to continue to benefit from the other “training activities” provided at the home institution. This may be a particular issue for a early predoc, but not so much for a postdoc.Special “skills” that may be acquired as a result of this away experience
83 Costs: Training Related Expenses (TRE) 10/27/2002Costs: Training Related Expenses (TRE)Formula based: $2,200/pre, $3,850/postFormula is Per TraineeCan be used for: Staff salaries, Consultant Costs, Equipment, Research Supplies, Staff travel, and Other Expenses directly related to the training programFirst time this cost category has seen any increase since the 1980s.
84 10/27/2002Costs: F & A8% rateBase = TDC less tuition & fees
85 Rebudgeting No prior approval (unless otherwise restricted) for: 10/27/2002RebudgetingNo prior approval (unless otherwise restricted) for:Stipends: Into Tuition & Fees onlyTuition: Into Stipends onlyTrainee Travel: AnywhereTRE: AnywherePrior approval required to rebudget stipends and/or tuition into travel or TRECaution on Moving Stipends into Tuition. May indicate inability to fill full compliment of trainees. May have negative impact on next review.Caution on Moving Tuition into Stipends: May be restricted. May require prior approvalIf in doubt, contact awarding IC
86 Statement of Appointment Form (PHS 2271) 10/27/2002Statement of Appointment Form (PHS 2271)Revised version available 4/2002Available in PDF-fillable format on web:Includes new ethnicity/race breakouts & Field of Training codingMandatory use of new form as of appointments beginning on/after 6/1/2002Must mandate use of new version to be in compliance with OMB requirements for collecting race/ethnicity dataSee 4/5/2002 GUIDE Notice
87 Statement of Appointment Form (PHS 2271) 10/27/2002Statement of Appointment Form (PHS 2271)Due on or before the start of appointment periodNo stipend or other allowance may be paid until submittedDelinquent forms may result in disallowanceComputer facsimiles OKReemphasize need for timely forms.Delinquent forms may also mean no awardSend forms in throughout the year. Do not hold until all trainees have been appointed. But all forms pertaining to same trainee (2271, payback, citizenship) must be submitted togetherNext revision available for use around November 2001
88 2271s-Helpful HintsRead instructions carefully & check for accuracy before mailingComplete all required sectionsMake sure you are appointing trainees to the correct grant year—check appointment start date & compare to budget period on NGAFor New-complete all sectionsFor Reappointment, skip the shaded areas unless changedCitizenship--Proof of permanent residency must be submitted with 2271
89 2271s-Helpful Hints (cont.) Trouble spotsIncomplete 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
90 2271s-Helpful Hints (cont.) Item 18 must reflect NRSA T32 portion onlyDo not include amount supplemented by Institution from other sourcesFor Postdoc Trainees: Initial stipend level must be based on number of years of relevant experience (listed in Item 14-Education)
91 Electronic 2271 Now “X-TRAIN” 10/27/2002Electronic 2271 Now “X-TRAIN”Electronic submission of 2271 data available through “X-TRAIN”, an application in the NIH CommonsX-TRAIN is currently in limited deploymentWill eventually be open to all Commons-registered institutions. Commons registration expected to re-open in FY2003Electronic Termination Notices also being developed as part of X-Train. However it requires another layer of sophistication because of the need for a BO signature
92 Watch NIH GUIDE for announcement on opening up Commons Registration 10/27/2002New Commons InterfaceWatch NIH GUIDE for announcement on opening up Commons RegistrationRight now U PA & CHOP are Commons RegisteredWould need to register both your Institution & PD before using X-TRAINOne of the features of the new Commons will be “Delegation”. A PD will be able to designate one or more individuals with the authority to do data entry.
96 Payback Agreement (PHS 6031) 10/27/2002Payback Agreement (PHS 6031)Required only for postdocs, entering their first 12-months of postdoctoral NRSA supportAvailable in PDF-fillable format on web:No longer required of predocs--rules changed in 1993
97 Termination Notice (PHS 416-7) 10/27/2002Termination Notice (PHS 416-7)Required at time an appointment is endingReflects total support period & NIH amount onlyIf there was a hiatus of support, report only current periodDo not include support already reported on a prior Term NoticeAvailable in PDF-fillable format on web:Required at the time an appointment is ending (if there is to be no reappointment)Even if just a break of a month or 2, you must terminate and then reappointInclude only NIH stipends—do not include amounts you may have “supplemented”Electronic Submission of Term Notice being developed in X-Train
98 Termination Notice Helpful Hints Completeness—Read instructions, fill in all itemsItems 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 sourcesIf final year of support is being terminated early, need to submit an amended 2271 or include a note on Termination Notice indicating early termination
99 Termination Notice Helpful Hints (cont) Item 8--Summary of training, may use an attachmentItem 10--Mailing Address--important particularly for postdocsItem 12--Trainee Signature--May be submitted indicating “Trainee Unavailable for signature” but only after good faith effort to secureItem 14-Business Official must verify $$
100 10/27/2002Form 1099For 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 OfficeNote grantees are not required to report stipend income on a However, it does serve as a handy reminder for the trainee about their potential tax obligation.
101 Financial Status Report (SF 269) 10/27/2002Financial Status Report (SF 269)Required annually within 90 days of budget end dateUnliquidated 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 wayGenerally unused TRE and/or Trainee Travel must be reported as part of the unobligated balanceHG & AI have granted this authority to Ts
102 10/27/2002PaybackLegislation requires some NRSA recipients to “pay back” the Federal Government through serviceRules changed dramatically in 1993
103 Payback (cont.) Predocs 10/27/2002Payback (cont.)PredocsEliminated payback for any predoc appointed on or after June 10, 1993Any predoc receiving support prior to June 10, 1993 would still have an obligation
104 Payback (cont.) Postdocs 10/27/2002Payback (cont.)PostdocsObligation exists for first 12 months of postdoc NRSA supportThe 13th and subsequent months of postdoc NRSA support can “payback” the postdoc obligationPostdoc NRSA cannot be used to payback predoc obligationIf postdoc is supported for 2 or more years, no obligation
105 Acceptable Payback Service 10/27/2002Acceptable Payback ServiceHealth-related biomedical or behavioral researchHealth-related teachingDirect administration or review of health-related researchAny combination of these activities
106 Acceptable Payback Service 10/27/2002Acceptable Payback ServiceDefinition of Health-related has broadenedRange of activities related to the description, diagnosis, prevention or treatment of diseaseFrom the most basic biomedical/behavioral research to applied clinical researchAlso includes agriculture, environmental sciences, biotechnology & bioengineering
107 Acceptable Payback Service 10/27/2002Acceptable Payback ServiceActivities 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 proratedExceptions are rare & require prior approval
108 Payback Reporting Requirements 10/27/2002Payback Reporting RequirementsAnnual Payback Activities Certification (APAC) [PHS Form ]Mailed annually on the anniversary of termination of supportReport reflects activities performed during last 12 monthsService must begin within 2 years of termination
109 APAC Helpful HintsForm is a retrospective reporting—what the individual has done over the last 12 monthsSignatures—of recipient & supervisor--#1 missing itemBlock 4, Description—Need detailsMonitoring Payback at NIH is being consolidated. Contact NRSA Payback Service Center,
110 Financial Payback Can be voluntary or involuntary 10/27/2002Financial PaybackCan be voluntary or involuntaryAmount owed is total stipend received (plus interest when applicable)
111 Waiver Rare & Requires NIH Director approval 10/27/2002WaiverRare & Requires NIH Director approvalPermanent or Total DisabilitySubstantial hardship & against equityCancelled upon death
112 10/27/2002Information SitesNIH Extramural Training and Research Career Development Programs:NIH T32 Announcement, NIH Guide, 5/16/02:The first site provides a wealth of information on Training, Fellowships and even K awardsT32 PA being revised. Check Guide for latest version
113 Information Sites (cont.) 10/27/2002Information Sites (cont.)NIH NRSAs for Individual Postdoctoral Fellows (F32), NIH Guide, 6/1/00:NRSA T32 Frequently Asked Questions (FAQs):NRSA Fellowship FAQs:F32 Should be revised in Fall 2002
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