NIH NRSA NIH NRSA CLOSEOUTSCLOSEOUTS

Office of Research Office of Research ServicesServices

ORS Brown BagORS Brown BagJanuary 24, 2007January 24, 2007

OverviewOverview

National Research Service Awards (NRSA)National Research Service Awards (NRSA) Help ensure that a diverse, highly Help ensure that a diverse, highly

trained workforce is available for trained workforce is available for leadership roles in nations biomedical leadership roles in nations biomedical and behavioral agendaand behavioral agenda

Awarded to eligible institutions to Awarded to eligible institutions to develop or to enhance research training develop or to enhance research training opportunities for individuals selected by opportunities for individuals selected by the institution who are training in the institution who are training in specific areasspecific areas

OverviewOverview Types of Training ProgramsTypes of Training Programs

Pre-doctoral-Individuals enrolled in or Pre-doctoral-Individuals enrolled in or leading to a Ph.D or comparable doctoral leading to a Ph.D or comparable doctoral degree (T32)degree (T32)

Post-doctoral-Individuals who hold a Post-doctoral-Individuals who hold a doctorate from an accredited institutiondoctorate from an accredited institution

Short-term-Individuals enrolled in Short-term-Individuals enrolled in program leading to a clinical doctorate or program leading to a clinical doctorate or masters in quantitative science degree masters in quantitative science degree (T32,T35)(T32,T35)

Pre-baccalaureate-Individuals enrolled in Pre-baccalaureate-Individuals enrolled in an undergraduate program at institutions an undergraduate program at institutions with substantial minority enrollment (T34)with substantial minority enrollment (T34)

Trainee SupportTrainee Support

Made in competitive segmentsMade in competitive segments RenewableRenewable Normally made in 12 month Normally made in 12 month

incrementsincrements LimitationsLimitations

5 year aggregate for pre-docs5 year aggregate for pre-docs 3 year aggregate for post-docs3 year aggregate for post-docs Exceptions require a waiver from NIH Exceptions require a waiver from NIH

awarding componentawarding component

Initiation of SupportInitiation of Support

Notice of Award (NOA) issued to Notice of Award (NOA) issued to Grantee for 12 month budget periodGrantee for 12 month budget period

Program Director must submit Program Director must submit Statement of Appointment form to NIH Statement of Appointment form to NIH Awarding office (PHS 2271)Awarding office (PHS 2271)

Signed Payback Agreement must be Signed Payback Agreement must be submitted for each post doc in the first submitted for each post doc in the first 12 months of support (PHS 6031)12 months of support (PHS 6031)

Trainee AppointmentsTrainee Appointments

Considered Full-time training appointmentsConsidered Full-time training appointments Generally appointed for 12-month continuous Generally appointed for 12-month continuous

periodsperiods Due at the time of appointmentDue at the time of appointment May begin at the time of appointmentMay begin at the time of appointment May not exceed 12 months in a single budget May not exceed 12 months in a single budget

periodperiod Trainee costs (Stipends, tuition, fees, med Trainee costs (Stipends, tuition, fees, med

coverage) are obligated when individuals coverage) are obligated when individuals begin trainingbegin training

Allowable CostsAllowable Costs

Stipends Stipends May not be rebudgeted without NIH prior May not be rebudgeted without NIH prior

approval approval Tuition & FeesTuition & Fees

May not be rebudgeted without NIH prior May not be rebudgeted without NIH prior approvalapproval

Medical Coverage/InsuranceMedical Coverage/Insurance May not be rebudgeted without NIH May not be rebudgeted without NIH

prior approvalprior approval

Allowable CostsAllowable Costs

Trainee Related ExpensesTrainee Related Expenses Can be rebudgeted without Can be rebudgeted without

approvalapproval Trainee TravelTrainee Travel

Can be rebudgeted without prior Can be rebudgeted without prior approvalapproval

F&A F&A Can not be rebudgetedCan not be rebudgeted

Unallowable CostsUnallowable Costs

Employee BenefitsEmployee Benefits NRSA’s are not provided as a condition of NRSA’s are not provided as a condition of

employment and therefore befifits associated employment and therefore befifits associated with full time employment are not allowablewith full time employment are not allowable

Costs which do not meet allowability, Costs which do not meet allowability, allocability and reasonableness testallocability and reasonableness test

Cost transfers beyond 90 daysCost transfers beyond 90 days

CarryoversCarryovers CarryoversCarryovers

NRSA training grants are often included under NRSA training grants are often included under expanded authoritiesexpanded authorities

Refer to NOA for carryover authorityRefer to NOA for carryover authorityOften do not have authority to carryover Often do not have authority to carryover unobligated balancesunobligated balances

Unliquidated ObligationsUnliquidated Obligations

Unliquidated ObligationsUnliquidated Obligations Funds for trainee costs obligated Funds for trainee costs obligated

via appointment form but not via appointment form but not expensed during the budget period expensed during the budget period due to the timing of the due to the timing of the appointmentappointmentReported on the FSR Reported on the FSR PBIL/PBUD increased in PBIL/PBUD increased in continuation year for reportedcontinuation year for reported

Reporting RequirementsReporting Requirements

Financial ReportFinancial Report SF269 (FSR) required 90 days following SF269 (FSR) required 90 days following

the end of the budget periodthe end of the budget period Progress ReportsProgress Reports

Required 90 days following the end of Required 90 days following the end of the budget periodthe budget period

Reporting RequirementsReporting Requirements

TerminationsTerminations Termination Notice Form (PHS416-7) Termination Notice Form (PHS416-7) Payback Certification Form Payback Certification Form

(PHS6031-1)(PHS6031-1) OtherOther

Revised Appointment FormsRevised Appointment Forms Revised Termination NoticesRevised Termination Notices Revised FSR’sRevised FSR’s

Closeout RequirementsCloseout Requirements Communicate with ORS accountant Communicate with ORS accountant

regarding issues to be address prior to regarding issues to be address prior to closeoutcloseout

Send closeout spreadsheet & accounting Send closeout spreadsheet & accounting of the unliquidated obligations to ORS of the unliquidated obligations to ORS accountantaccountant

Send copies of appointment forms for the Send copies of appointment forms for the budget periodbudget period

Send termination notices Send termination notices Process final closeout adjustments prior to Process final closeout adjustments prior to

end of adjustment periodend of adjustment period

ORS Closeout Review ORS Closeout Review

Review/Request trainee appointment Review/Request trainee appointment forms & termination noticesforms & termination notices

Review NGA to verify terms and Review NGA to verify terms and conditionsconditions Authorized funds for the period (including Authorized funds for the period (including

unobligated carryovers)unobligated carryovers) Carryover AuthorityCarryover Authority Expanded AuthorityExpanded Authority Number or post & pre-doc slotsNumber or post & pre-doc slots Special terms and conditions Special terms and conditions

ORS Closeout ReviewORS Closeout Review Review prior period FSR for total Review prior period FSR for total

unliquidated obligations reportedunliquidated obligations reported Review PBIL/PBUD for accuracyReview PBIL/PBUD for accuracy Review GL ExpenseReview GL Expense

Stipends should be expended according to NIH Stipends should be expended according to NIH established rates/appointment formsestablished rates/appointment forms

Trainee related expenses and travel should not exceed Trainee related expenses and travel should not exceed total awarded total awarded

Reconcile F&A (tuition, fees, health ins. excluded)Reconcile F&A (tuition, fees, health ins. excluded) Unallowable expensesUnallowable expenses

ORS Closeout ReviewORS Closeout Review

Unliquidated Obligations Unliquidated Obligations Must provide appointment forms for Must provide appointment forms for

trainee obligations to be paid in current trainee obligations to be paid in current and continuation yearand continuation year Must be signed by trainee and Program Must be signed by trainee and Program

DirectorDirector Must indicate support for period of Must indicate support for period of

appointmentappointment Must indicate revision, if appropriateMust indicate revision, if appropriate

ORS Closeout ReviewORS Closeout Review Review GL expenseReview GL expense

Stipends allocated should be expended according to Stipends allocated should be expended according to NIH established rates and appointment form for each NIH established rates and appointment form for each traineetrainee

Trainee related expenses to determine if funds were Trainee related expenses to determine if funds were rebudgeted from stipends & tuition & feesrebudgeted from stipends & tuition & fees

Reconcile F&A (tuition, fees, & med coverage Reconcile F&A (tuition, fees, & med coverage excluded)excluded)

Review for allowability, allocability and Review for allowability, allocability and reasonablenessreasonableness

Review Unliquidated obligations for AppointeesReview Unliquidated obligations for Appointees Should agree with appointment formsShould agree with appointment forms Should not exceed # of slots awardedShould not exceed # of slots awarded Should not include TRE’s & travel Should not include TRE’s & travel

Closeout IssuesCloseout Issues Appointment formsAppointment forms

Untimely receipt of forms during appointment and closeout Untimely receipt of forms during appointment and closeout processprocess

InaccuraciesInaccuracies Revisions are not submitted and or sent to NIH timelyRevisions are not submitted and or sent to NIH timely Not used to track trainee obilgations to be reported on FSRNot used to track trainee obilgations to be reported on FSR

StipendsStipends Do not coincide with appointment forms and or NIH Do not coincide with appointment forms and or NIH

established ratesestablished rates Stipends not charged to correct object codes (5043,5045)Stipends not charged to correct object codes (5043,5045) Stipends after trainee terminates are not monitoredStipends after trainee terminates are not monitored Increase in rates are not done at anniversary of appointmentIncrease in rates are not done at anniversary of appointment

Trainee Related Expenses & TravelTrainee Related Expenses & Travel Funds rebudgeted from other line items to cover this Funds rebudgeted from other line items to cover this

expenseexpense

Closeout IssuesCloseout Issues Cost TransfersCost Transfers Prior approvalsPrior approvals

Change in number of slotsChange in number of slots Change in appointment period (to less than 12 Change in appointment period (to less than 12

months)months) Termination NoticesTermination Notices

Not submitted timely to NIH & ORSNot submitted timely to NIH & ORS InaccuraciesInaccuracies

Unliquidated ObligationsUnliquidated Obligations Omit to request & provide unliquidated Omit to request & provide unliquidated

obligation to report on the FSRobligation to report on the FSR

Best PracticesBest Practices

Review sponsor requirementsReview sponsor requirements Maintain Spreadsheet to monitor Maintain Spreadsheet to monitor

trainee obligationstrainee obligations Review of GL monthly Review of GL monthly Send all forms and documents to ORS Send all forms and documents to ORS

togethertogether Communicate with ORS accountant Communicate with ORS accountant

regarding closeout issuesregarding closeout issues Freeze fundFreeze fund

Information SitesInformation Sites

NIH Grants Policy StatementNIH Grants Policy Statement http://grants.nih.gov/grants/policy/nihghttp://grants.nih.gov/grants/policy/nihg

psps NRSA T32 frequently asked NRSA T32 frequently asked

questionsquestions http://grants.nih.gov/training/faq_trainihttp://grants.nih.gov/training/faq_traini

ng.htmlng.html NIH T32 Announcement, NIH GuideNIH T32 Announcement, NIH Guide

http://grants.nih.gov/traininghttp://grants.nih.gov/training