Audience
This course is intended for “department
administrative staff”—including department
administrators, division managers,
department fiscal managers, department
effort coordinators, etc.
Introduction
This session will focus on Ruth L.
Kirschstein National Research Service
Awards (NRSA).
 NRSA Training Grants and Fellowships are
designed to develop or enhance research
training opportunities in order to ensure that a
diverse and highly trained workforce will be
available.
Introduction
NIH resources
 Grants policy statement, Kirschstein-NRSA
section:
http://grants.nih.gov/grants/policy/nihgps_2010/
NIHGPS_ch11.htm#_Toc271265032
 Program announcements and other information:
http://grants.nih.gov/training/nrsa.htm
Introduction
Training Grants and Fellowships are known
as T and F awards because the activity
type assigned by the NIH begins with a ‘T’
or an ‘F’.
 Training Grants are awarded to OHSU for a
predefined program.
 Fellowships are for an individual training
experience.
Trainees
Predoctoral:
Predoc Trainees working to earn their Ph.D.
Other OHSU Predocs not appointed to grant
are considered Graduate Research Assistants
(GRA).
Departments should contact Donna Feathers in
CFS to inform her of Predoc appointments. She
will allocate tuition and health insurance
accordingly.
Trainees
OHSU Postdoctoral Policy:
http://www.ohsu.edu/research/rda/postdocs/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!!!!!!!!!
Trainees
Degree Requirements:
Predoc: must have a baccalaureate degree and
be enrolled in a doctoral program.
Programs include F31 and T32
Postdoc: Ph.D. or M.D. or comparable doctoral
degree from an accredited domestic or
foreign institution.
Programs include F32 and T32
Trainees
Fellow must be a citizen, non-citizen
national (for example born in American Samoa), or
lawfully admitted for permanent residence.
Training grants: must have been admitted for
residency at the time of appointment.
Fellowships: must have been admitted for
residency at the time of award.
Trainees
Appointments are intended to be for one
year.
Require full time research training (must
be 100% effort and 1.0 FTE)
Written requests for part-time training will be
considered on a case by case basis (usually
due to health or family concerns)
Limited to five years aggregate NRSA
support at the predoc level and three
years aggregate NRSA at the post doc
level
Stipends
The NIH clearly states that fellows appointed to a
T and F awards cannot be employees. Stipends
are coded to GR-Stipend-1099 Non-Subject.
 Stipends must be issued via Accounts Payable
rather than Payroll.
Stipends
Departments complete the Scheduled
Disbursement form to issue Stipends:
http://www.ohsu.edu/xd/about/services/financialservices/forms/forms-policies.cfm
 Forward completed forms to SPA.
Stipends
A Stipend is a subsistence allowance to
help defray living expenses during the
research training experience. This is not
a salary!
Levels are predefined.
 Set annually by NIH.
Stipend Levels
 Career Level Stipend (FY 2010)
 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-047.html
Predoctoral
Postdoctoral - years of experience:
0
1
2
3
4
5
6
7 or more
$21,180
$37,740
$39,756
$42,624
$44,304
$45,960
$47,940
$49,836
$52,068
Prorating Example
Predoc appointed 4/2/10-4/1/11
APRIL
S
M
T
T
F
1
W
2
3
4
S
5
6
7
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9
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12
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15
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17
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21
22
23
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25
26
27
28
29
30
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
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.
Stipend
Considerations
I have a fellow starting who earned his postdoctoral degree
in June two years ago, but spent his first year after
graduation doing patient intake for his father’s practice.
What stipend level should he be appointed at?
 Does he have relevant experience between graduation
and today?
 Has a full year passed since graduation? (cannot be
appointed at a higher level until the anniversary of
graduation has passed and cannot be changed midyear)
 Which stipend schedule do I use? (use the schedule in
effect when the project period started)
Supplementation
Departments are allowed to supplement with
non-sponsored funds.
Must be at a level consistent with similar
training status.
Cannot require additional duties, effort, or
obligation from fellow.
Scheduled
Disbursements Form
The department:
Initiates the Scheduled Disbursements form
(nee Stipend Memo).
Sends to SPA for approval with a copy of the
Statement of Appointment and Residency
Status if applicable.
 When possible, begin appointments on the first day of
the month. Mid-month appointments are prorated based
on the number of days in the month.
SPA will review/approve the form and send to AP.
Scheduled
Disbursements Form
 Forms should be sent to AP by the 15th of each
month
 Residency Status Information form for new
Trainees can be found at:
http://ozone.ohsu.edu/financial/ap/pdf/Residency
StatusInformation.pdf
Check will be delayed if not received
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.
Taxes
OHSU cannot withhold payroll taxes for
non-employees.
Federal tax may be withheld based on the
Trainees country of origin.
AP sends recipients a 1099-Misc annually.
Taxes
See Section 117 of the Internal Revenue
Code for additional information.
Additional information:
http://grants1.nih.gov/training/26cfr401.ht
m
Effort Reporting
Trainees are not providing a service to
OHSU, and are therefore exempt from
effort reporting.
Training Grants!
Ah man..I have a training grant to
manage..now what????????????????
Training Grants
Institutional Training Grants are awarded to
an institution to support a training
program.
OHSU chooses who is appointed to the grant.
Appointment periods may overlap the budget
period indicated in the NGA.
Expenses must be allowable under A-21.
OHSU must file an annual Federal Financial
Report (FFR).
NGA
NGA standard DHHS format
Categorical budget
Number of appointments
Budget Categories
Award is comprised of the following
categories:
Training Expenses (must include health
insurance)
Stipends
Trainee Tuition/Fees
Trainee Travel
F&A
Budget Categories
Trainee Tuition/Fees: generally limited to
Predocs and are awarded at:
Predoc:
60% up to $16,000
60% up to $21,000 for dual degree
Postdoc:
60% up to $4,500
60% up to $16,000 for additional degree
Budget Categories
 Training Related Expenses: used to defray costs
directly related to the training program
 Awarded at a flat rate.
 $4,200 for predocs
 $7,850 for postdocs
 Now includes health insurance.
 A-21 Subject
 Administrative Salary:
5% for grants with 5-10 positions
10% for grants with over 10 positions
Also PI support can be included
Budget Categories
Travel: used to attend scientific meetings
as determined by the PI.
 Travel expenses cannot be encumbered for trainee (so
use it during the project year if possible)
F&A: limited to 8% of MTDC (not awarded
on tuition and fees).
Forms
Statements of Appointment (2271) must be
electronically submitted through xTrain
annually during the training term before a
stipend payment can be issued.
login at https://commons.era.nih.gov/commons/
If required, include documentation for those
legally admitted for permanent residence.
Send a copy to SPA.
Statement of
Appointment
Common errors:
Watch for NIH eRA Commons emails.
Be sure the Trainee has populated their
personal profile in the Commons prior to
initiating the appointment.
Appointment Example
Budget period 7/1/10-6/30/11
Appointment 9/1/10-8/31/11
7/1/10
9/1/10
6/30/11 7/1/11 8/31/11
GSPAD0001A
GSPAD0001B
Trainee
Outside Project
Period
6/30/12
Encumbrance Example
7/1/09
9/1/09
6/30/10 7/1/10 8/31/10
GSPAD0001A
GSPAD0001B
Trainee
7/1/010-8/31/10
SPA will encumber
funds from
GSPAD0001A to
GSPAD0001B
6/30/11
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
Termination Notice
Termination Notices (TN) are:
Due within 30 days of the end of training
experience per award.
Submitted through xTrain:
https://commons.era.nih.gov/commons/
Select James Trotter as the xTrain Business
Official to whom to route the TN.
Termination Notice
SPA verifies that the stipend charged to the
grant matches the termination notice.
Prorate Stipends if early termination:
Initial Appointment: 9/1/10-8/31/11
Early Termination: 9/1/10-4/15/11
(15/30)*1765 = 882.60
Match xTrain
Revised Scheduled
Disbursements memo
APRIL
S
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T
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T
F
S
1
2
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29
30
Termination Notice
NIH verifies:
 The Trainee was paid the correct amount.
 Any service obligation was fulfilled.
Rebudgeting
Stipend and Tuition/Fees categories can
be rebudgeted among Trainees and
between categories.
May not rebudget to any other category.
Training Related Expenses and Travel
may be rebudgeted among Trainees and
into any other category.
F&A may be rebudgeted to equal the
earned amount.
Example
Award
Rebudget to:
Stipend
Tuition/Fees
Stipend
Tuition/Fees
Training Related
Expenses
Travel
F&A
Training Related
Expenses
Travel
F&A
Rebudgeting
Awarded Stipend
Spent Stipend
7/1/10-6/30/11
21,180
7/1/10-6/30/11
21,180
7/1/10-6/30/11
21,180
7/1/10-6/30/11
21,180
7/1/10-6/30/11 21,180
7/1/10-3/31/11 15,885
63,540
58,245
Rebudgeting
Awarded Tuition/Fees
Spent Tuition/Fees
16,000
20,000
16,000
18,000
16,000
48,000
10,000
48,000
Other Training Grant
Issues
Carryover: unobligated funds available at
the end of the budget period.
Note: Carryover must be requested from the
agency, but is generally not allowed.
Unliquidated Obligations: used to account
for any stipends and tuition/fees charges
for appointments that overlap the grant
year.
Encumbrances are reported as unliquidated
obligations on the FFR.
Fellowships!
And Now..onto Fellowships!
Introduction
Fellowships are designed to develop or
enhance research training opportunities in
order to ensure a diverse and highly
trained workforce will be available.
Introduction
Fellowships are known as “F” awards
because the activity type assigned by the
National Institutes of Health (NIH) begins
with an F.
Individual Fellowships are awarded to
support a specific individual.
The Fellow is listed as the PI on the Notice
of Grant Award (NGA) and in Oracle
Grants Accounting (OGA).
NGA for Fellowships
NGA standard DHHS format
Latest Activation Date
Initial NGA is issued without a budget or project
period listed
Activation Notice
 Used to activate an F award:
 Submitted by the pre-award Research Grants &
Contracts (RGC) office.
 Fellows have six months to activate their award,
but stipend level will not change based on
submission date.
 The NIH then adjusts their system so the project
period matches the appointment.
 Link to Form:
http://grants.nih.gov/grants/funding/416/phs4165.pdf
Payback Agreement
Postdoctoral Fellows in their first 12 months of
NRSA support must also submit the Payback
Agreement.
 xTrain will populate the basic information prior to
printing for affected Trainees.
 Payback is fulfilled by:
Completing a second year of NRSA support
Engaging in an equal period of research or
health related activities
Financially
Budget Categories
Award is composed of the following
categories:
Stipends
Tuition/Fees
Institutional Allowance
Rebudgeting is not allowed.
Tuition and Fees
Trainee Tuition/Fees: generally awarded:
Predoc:
60% up to $16,000
60% up to $21,000 for dual degree
Postdoc:
60% up to $4,500
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).
Institutional Allowance
The institutional allowance includes funds
for health insurance.
The institutional allowance does not need
to be accounted for on an actual cost
basis.
Travel is allowable and must occur within
the period of support.
Institutional Allowance
What can be allocated to the Institutional
Allowance:
Health Insurance.
Equipment, Travel, Supplies, etc.
If the fellow does not need the entire
amount, were there some supplies used in
the mentor’s lab that the fellow could
reimburse them for?
Termination Notice
NIH now requires Fellowships to be terminated
through xTrain: http://era.nih.gov/files/termination_fellowship.pdf
 Must be submitted by individual who has SPONSOR role.
http://nexus.od.nih.gov/all/2011/03/31/sponsors-must-approvefellowship-terminations/
 Due at the end of training experience per award.
 Prorate Stipends if early termination.
 SPA verifies that the stipend charged to the grant matches
the termination notice.
 NIH uses this to verify the fellow was issued the correct
stipend amount and if any service obligation was fulfilled.
Case Study
 A fellow has expressed a need for a lap top
computer with the mentor. Is the allowable on a
fellowship?
Case Study
What stipend level will I receive?
PhD obtained 3/15/08
Applied 4/17/09
Scientific review 9/6/09
Awarded 9/27/09
Activated 3/17/10
Comparison
Training 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
Awarded Budgets
Training Grant
Fellowship
Stipend
Tuition/Fees
Training Related
Expenses
Trainee Travel
F&A
Stipend
Tuition/Fees (if
applicable)
Institutional Allowance
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
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
Questions?