1. Introduction to NRSA Training Grants and Fellowships Pat Cloteaux Sponsored Projects Administration (SPA)

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

3. Introduction This session will focus on Ruth L. Kirschstein National Research Service Awards (NRSA). NRSA Training Grants and Fellowships are designed to develop or enhance research training opportunities in order to ensure that a diverse and highly trained workforce will be available.

4. Introduction NIH resources Grants policy statement, Kirschstein-NRSA section: http://grants.nih.gov/grants/policy/nihgps_2010/ NIHGPS_ch11.htm#_Toc271265032 http://grants.nih.gov/grants/policy/nihgps_2010/ NIHGPS_ch11.htm#_Toc271265032 Program announcements and other information: http://grants.nih.gov/training/nrsa.htm http://grants.nih.gov/training/nrsa.htm

5. Introduction Training Grants and Fellowships are known as T and F awards because the activity type assigned by the NIH begins with a ‘T’ or an ‘F’. Training Grants are awarded to OHSU for a predefined program. Fellowships are for an individual training experience.

6. Trainees Predoctoral: Predoc Trainees working to earn their Ph.D. Other OHSU Predocs not appointed to grant are considered Graduate Research Assistants (GRA). Departments should contact Donna Feathers in CFS to inform her of Predoc appointments. She will allocate tuition and health insurance accordingly.

7. Trainees OHSU Postdoctoral Policy: http://www.ohsu.edu/research/rda/postdocs/d ocs/PostdocPresSummary.pdf http://www.ohsu.edu/research/rda/postdocs/d ocs/PostdocPresSummary.pdf Postdoctoral Trainee Individuals appointed to a Training Grant or Fellowship who have a PhD/MD BENEFITS are handled through HR, however check your accounts often to be sure things are posting correctly. Also..contact HR when the trainee ENDS on the training grant!!!!!!!!!

8. Trainees Degree Requirements: Predoc: must have a baccalaureate degree and be enrolled in a doctoral program.  Programs include F31 and T32 Postdoc: Ph.D. or M.D. or comparable doctoral degree from an accredited domestic or foreign institution.  Programs include F32 and T32

9. Trainees Fellow must be a citizen, non-citizen national ( for example born in American Samoa ), or lawfully admitted for permanent residence.  Training grants: must have been admitted for residency at the time of appointment.  Fellowships: must have been admitted for residency at the time of award.

10. Trainees Appointments are intended to be for one year. Require full time research training (must be 100% effort and 1.0 FTE)  Written requests for part-time training will be considered on a case by case basis (usually due to health or family concerns) Limited to five years aggregate NRSA support at the predoc level and three years aggregate NRSA at the post doc level

11. Stipends The NIH clearly states that fellows appointed to a T and F awards cannot be employees. Stipends are coded to GR-Stipend-1099 Non-Subject. Stipends must be issued via Accounts Payable rather than Payroll.

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

13. Stipends A Stipend is a subsistence allowance to help defray living expenses during the research training experience. This is not a salary! Levels are predefined. Set annually by NIH.

14. Stipend Levels Career Level Stipend (FY 2010)  http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-047.html http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-047.html Predoctoral$21,180 Postdoctoral - years of experience: 0$37,740 1$39,756 2$42,624 3$44,304 4$45,960 5$47,940 6$49,836 7 or more$52,068

15. Prorating Example Predoc appointed 4/2/10-4/1/11 Prorate 4/2/10-4/30/10: (29/30)*1,765=1,706.36 Prorate 4/1/11: 1,765 – 1,706.36=58.64 APRIL SMTWTFS 1234 567891011 12131415161718 19202122232425 2627282930

16. Stipends Post doc graduation date = degree conferred “Relevant Experience” may include:  Research experience outside OHSU  Clinical duties  Residency  Internship  Teaching assistantship  Time spent in a health related field beyond that of qualifying for a doctoral degree. The PI determines if experience is relevant, and may have to justify assessment to the NIH.

17. Stipend Considerations I have a fellow starting who earned his postdoctoral degree in June two years ago, but spent his first year after graduation doing patient intake for his father’s practice. What stipend level should he be appointed at? Does he have relevant experience between graduation and today? Has a full year passed since graduation? (cannot be appointed at a higher level until the anniversary of graduation has passed and cannot be changed midyear) Which stipend schedule do I use? (use the schedule in effect when the project period started)

18. Supplementation Departments are allowed to supplement with non-sponsored funds. Must be at a level consistent with similar training status. Cannot require additional duties, effort, or obligation from fellow.

19. Scheduled Disbursements Form The department: Initiates the Scheduled Disbursements form (nee Stipend Memo). Sends to SPA for approval with a copy of the Statement of Appointment and Residency Status if applicable.  When possible, begin appointments on the first day of the month. Mid-month appointments are prorated based on the number of days in the month. SPA will review/approve the form and send to AP.

20. Scheduled Disbursements Form Forms should be sent to AP by the 15 th of each month Residency Status Information form for new Trainees can be found at: http://ozone.ohsu.edu/financial/ap/pdf/Residency StatusInformation.pdf http://ozone.ohsu.edu/financial/ap/pdf/Residency StatusInformation.pdf  Check will be delayed if not received

21. Compensation Fellows may seek part-time employment Requirements:  Limited, part time  Outside normal training activities  Cannot distract from training program  May not be from a research grant that supports the same research that is part of the training experience.

22. Taxes OHSU cannot withhold payroll taxes for non-employees.  Federal tax may be withheld based on the Trainees country of origin. AP sends recipients a 1099-Misc annually.

23. Taxes See Section 117 of the Internal Revenue Code for additional information. Additional information: http://grants1.nih.gov/training/26cfr401.ht m http://grants1.nih.gov/training/26cfr401.ht m

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

25. Training Grants! Ah man..I have a training grant to manage..now what????????????????

26. Training Grants Institutional Training Grants are awarded to an institution to support a training program. OHSU chooses who is appointed to the grant. Appointment periods may overlap the budget period indicated in the NGA. Expenses must be allowable under A-21. OHSU must file an annual Federal Financial Report (FFR).

27. NGA NGA standard DHHS format Categorical budget Number of appointments

28. Budget Categories Award is comprised of the following categories: Training Expenses (must include health insurance) Stipends Trainee Tuition/Fees Trainee Travel F&A

29. Budget Categories Trainee Tuition/Fees: generally limited to Predocs and are awarded at: Predoc:  60% up to $16,000  60% up to $21,000 for dual degree Postdoc:  60% up to $4,500  60% up to $16,000 for additional degree

30. Budget Categories Training Related Expenses: used to defray costs directly related to the training program Awarded at a flat rate.  $4,200 for predocs  $7,850 for postdocs Now includes health insurance.  A-21 Subject  Administrative Salary: 5% for grants with 5-10 positions 10% for grants with over 10 positions Also PI support can be included

31. Budget Categories Travel: used to attend scientific meetings as determined by the PI. Travel expenses cannot be encumbered for trainee (so use it during the project year if possible) F&A: limited to 8% of MTDC (not awarded on tuition and fees).

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

33. Statement of Appointment Common errors: Watch for NIH eRA Commons emails. Be sure the Trainee has populated their personal profile in the Commons prior to initiating the appointment.

34. Appointment Example Budget period 7/1/10-6/30/11 Appointment 9/1/10-8/31/11 GSPAD0001AGSPAD0001B Trainee 7/1/10 9/1/10 6/30/11 7/1/11 8/31/11 6/30/12 Outside Project Period

35. Encumbrance Example GSPAD0001AGSPAD0001B Trainee 7/1/09 9/1/09 6/30/10 7/1/10 8/31/10 6/30/11 7/1/010-8/31/10 SPA will encumber funds from GSPAD0001A to GSPAD0001B

36. Payback Agreement Postdoctoral Fellows in their first 12 months of NRSA support must also submit the Payback Agreement (legal binding document). grants.nih.gov/grants/funding/416/phs6031-1.pdf Available in xTrain Payback is fulfilled by:  Completing a second year of NRSA support  Engaging in an equal period of research or health related activities  Financially

37. Termination Notice Termination Notices (TN) are: Due within 30 days of the end of training experience per award. Submitted through xTrain: https://commons.era.nih.gov/commons/  Select James Trotter as the xTrain Business Official to whom to route the TN.

38. Termination Notice SPA verifies that the stipend charged to the grant matches the termination notice. Prorate Stipends if early termination:  Initial Appointment: 9/1/10-8/31/11  Early Termination: 9/1/10-4/15/11  (15/30)*1765 = 882.60  Match xTrain  Revised Scheduled Disbursements memo APRIL SMTWTFS 123 45678910 11121314151617 18192021222324 252627282930

39. Termination Notice NIH verifies: The Trainee was paid the correct amount. Any service obligation was fulfilled.

40. Rebudgeting Stipend and Tuition/Fees categories can be rebudgeted among Trainees and between categories.  May not rebudget to any other category. Training Related Expenses and Travel may be rebudgeted among Trainees and into any other category. F&A may be rebudgeted to equal the earned amount.

41. Example Award Stipend Tuition/Fees Training Related Expenses Travel F&A Rebudget to: Stipend Tuition/Fees Training Related Expenses Travel F&A

42. Rebudgeting Awarded Stipend 7/1/10-6/30/11 21,180 63,540 Spent Stipend 7/1/10-6/30/11 21,180 7/1/10-3/31/11 15,885 58,245

43. Rebudgeting Awarded Tuition/Fees 16,000 48,000 Spent Tuition/Fees 20,000 18,000 10,000 48,000

44. Other Training Grant Issues Carryover: unobligated funds available at the end of the budget period.  Note: Carryover must be requested from the agency, but is generally not allowed. Unliquidated Obligations: used to account for any stipends and tuition/fees charges for appointments that overlap the grant year.  Encumbrances are reported as unliquidated obligations on the FFR.

45. Fellowships! And Now..onto Fellowships!

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

47. Introduction Fellowships are known as “F” awards because the activity type assigned by the National Institutes of Health (NIH) begins with an F. Individual Fellowships are awarded to support a specific individual. The Fellow is listed as the PI on the Notice of Grant Award (NGA) and in Oracle Grants Accounting (OGA).

48. NGA for Fellowships NGA standard DHHS format Latest Activation Date  Initial NGA is issued without a budget or project period listed

49. Activation Notice Used to activate an F award: Submitted by the pre-award Research Grants & Contracts (RGC) office. Fellows have six months to activate their award, but s tipend level will not change based on submission date. The NIH then adjusts their system so the project period matches the appointment. Link to Form: http://grants.nih.gov/grants/funding/416/phs416- 5.pdf http://grants.nih.gov/grants/funding/416/phs416- 5.pdf

50. Payback Agreement Postdoctoral Fellows in their first 12 months of NRSA support must also submit the Payback Agreement. xTrain will populate the basic information prior to printing for affected Trainees. Payback is fulfilled by:  Completing a second year of NRSA support  Engaging in an equal period of research or health related activities  Financially

51. Budget Categories Award is composed of the following categories:  Stipends  Tuition/Fees  Institutional Allowance Rebudgeting is not allowed.

52. Tuition and Fees Trainee Tuition/Fees: generally awarded: Predoc:  60% up to $16,000  60% up to $21,000 for dual degree Postdoc:  60% up to $4,500  60% up to $16,000 for additional degree Awards may vary depending on the awarding IC for Predocs.  Review your Notice Of Grant Award (NGA).

53. Institutional Allowance The institutional allowance includes funds for health insurance. The institutional allowance does not need to be accounted for on an actual cost basis. Travel is allowable and must occur within the period of support.

54. Institutional Allowance What can be allocated to the Institutional Allowance: Health Insurance. Equipment, Travel, Supplies, etc. If the fellow does not need the entire amount, were there some supplies used in the mentor’s lab that the fellow could reimburse them for?

55. Termination Notice NIH now requires Fellowships to be terminated through xTrain: http://era.nih.gov/files/termination_fellowship.pdf http://era.nih.gov/files/termination_fellowship.pdf  Must be submitted by individual who has SPONSOR role. http://nexus.od.nih.gov/all/2011/03/31/sponsors-must-approve- fellowship-terminations/ http://nexus.od.nih.gov/all/2011/03/31/sponsors-must-approve- fellowship-terminations/  Due at the end of training experience per award.  Prorate Stipends if early termination.  SPA verifies that the stipend charged to the grant matches the termination notice.  NIH uses this to verify the fellow was issued the correct stipend amount and if any service obligation was fulfilled.

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

57. Case Study What stipend level will I receive? PhD obtained 3/15/08 Applied 4/17/09 Scientific review 9/6/09 Awarded 9/27/09 Activated 3/17/10

58. Comparison Training Grant  Awarded F&A  OHSU appoints Trainees  A-21 Subject  File annual FFR  Cannot transfer institutions Fellowship  No F&A  NIH appoints Trainee  Not A-21 Subject  Report cash expenditures  Can transfer institutions

59. Awarded Budgets Training Grant Stipend Tuition/Fees Training Related Expenses Trainee Travel F&A Fellowship Stipend Tuition/Fees (if applicable) Institutional Allowance

60. Appointments Training Grant  PI appoints trainee  PI chooses appointment  Trainees work with multiple mentors  PI defines training program  PI submits 2271 and TN in xTrain Fellowship  Trainee is the PI  Trainee chooses appointment  Trainee works primarily with one named mentor  Mentor defines research experience  Sponsor submits TN in xTrain

61. Appointments Training Grant  Budget period defined by NIH  Appointments may overlap grant years  Appointed with a Statement of Appointment  PI determines stipend level Fellowship  Budget period defined by Trainee  Appointment will match budget period  Appointed with an Activation Notice  NIH determines stipend level

62. Questions?