Transcript Slide 1

The Management Challenges of
NIH Training Grants
Penny Cook
Director
Grant & Contract Administration
(203)785-6475, penny.cook@yale,edu
Dennis J. Titley
Assistant Manager, Education, Training and Outreach
Grant & Contract Financial Administration
(203)432-3074, [email protected]
Today’s Objectives
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Basic Information
Special Considerations
Post Award Management
xTrain
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Authorization & Purpose
• The National Institutes of Health (NIH)
institutional research training grants are
limited to training and research at public and
non-profit private entities.
• Support pre-doctoral and postdoctoral
research training to help ensure that a diverse
and highly trained workforce is available to
assume leadership roles related to the
nation’s biomedical, behavioral and clinical
research agenda.
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Basic Concepts
• The total amount awarded and the number of
awards vary.
• Awards for institutional research training grants
may be for project periods up to five years in
duration and are renewable.
• Trainees are required to pursue full-time research
training.
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Institutional Requirements
• Only domestic, non-profit, private or public
institutions may apply for grants to support
institutional research training programs.
• The applicant institution must have a strong and
high quality research program in areas proposed for
research training and must have the requisite staff
and facilities on site to conduct the proposed
research training program.
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The PI/PD
• The Training PD/PI should be an established basic,
behavioral, and/or clinical researcher.
• The PD/PI will be responsible for the selection and
appointment of eligible trainees to the training
grant, for the overall direction, management and
administration of the research training program,
program evaluation, and the submission of all
required forms in a timely manner.
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Multiple Training PI/PD’s
• More than one Training PD/PI (or multiple
PD/PIs), may be designated on an application
• Applications for grants with multiple PD/PIs
require additional information.
• Each PD/PI is responsible and accountable to the
grantee organization for the proper conduct of the
program, including the submission of required
reports.
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Past Training Record
• Application must describe the past training
record of the program, PI, mentors
• Career advancement of trainees
• Evidence of a productive scientific career
• Record of publications
• Receipt of patents
• Promotions
• Other accepted measures of trainee success
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Trainee Appointments
• Trainees must commit full-time effort, normally 40 hours
per week or as specified by the sponsoring institution, to the
program and its related research activities.
• Trainees who are also training as clinicians must devote
their time to the proposed research training and must
confine clinical duties to those that are an integral part of the
research training experience.
• The Training PD/PI should limit appointments to
individuals who are committed to a career in research and
who plan to remain on the training grant or in a non-NRSA
(National Research Service Award) research experience for
a cumulative minimum of 2 years.
(Note: NIH Institutes may have different policies)
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Stipend Levels
• Stipends for training grants are not compensation
for services rendered.
– In contrast to Yale’s “stipends” paid on research grants
which are for services rendered.
• Stipends are based on the annual NIH stipend levels
at the time of award.
• Stipends may be adjusted only at the time of
appointment or reappointment.
• For appointments of less than a full year, the
stipend will be based on a monthly or daily proration of the annual amount.
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Taxability of Stipends
• Degree candidates may exclude from gross income
(for tax purposes) any amount used for course
tuition and related expenses, such as fees, books,
supplies, and equipment, required for courses.
• Non degree candidates are required to report as
gross income any monies paid on their behalf for
stipends or any course tuition and fees required for
attendance.
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Taxability of Stipends
• Stipends are subject to Federal and, sometimes,
State taxes.
• Yale may report such income on IRS Form 1099,
Statement of Miscellaneous Income in contrast with
W-2’s which report income (compensation for
services).
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Program Evaluation
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Applications must describe evaluation plan
Quality and effectiveness of training
Include feedback from current and former trainees
Plans for assessing career development
Publications
Post training positions
A program for instruction in the Responsible
Conduct of Research
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Recruitment & Retention
• Applications must submit plan.
• Should note efforts to diversify the workforce and
address:
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Under represented minorities
Individuals with disabilities
Those within a low income threshold
Those with disadvantaged backgrounds
• Competing applications must include experiences
in recruiting.
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Responsible Conduct of Research
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Trainees must receive instruction.
Plan must be described in the application.
No specific curriculum or format
Important components include:
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Conflict of Interest (COI)
Authorship and publication
Peer review
Misconduct
Animals, Human Subjects, Biosafety
Data management, data-sharing
Mentor-mentee relationships
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Federal Citations
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Use of Animals in Research
Human Subjects Protection
Data and Safety Monitoring Plan
Sharing Research Data
Genome-Wide Association Studies
PubMed
Health Insurance Portability and
Accountability Act (HIPAA)
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Budgeting Tuition & Fees
• Yale should apply for full tuition and fees.
• The awarding Institute will adjust to 60% of the
level requested by the applicant institution, up to
$16,000 per year per predoctoral trainee .
• $21,000 per year for a dual degree program.
• For postdoctoral trainees, an amount equal to 60%
of the level requested by the applicant institution,
up to $4,500 per year. If individuals are in a formal
degree-granting training, the amount provided per
trainee will be up to $16,000 per year.
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Budgeting Travel
• Trainee travel to attend scientific meetings
and workshops that the institution determines
to be necessary for the individual’s research
training experience is an allowable trainee
expense.
• Support for travel to a research training
experience away from the institution may be
permitted.
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Training Related Expenses
• FY 2008, $4,200 annually for each pre
doctoral trainee and $7,850 annually for each
postdoctoral trainee.
• Examples include:
– health insurance, staff salaries, consultant
costs, equipment, supplies.
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Facilities and Administrative Costs (F&A)
• F&A costs are charged at 8% MTDC.
• Exclusive of:
– Tuition and fees, health insurance (when
awarded in the tuition and fees category),
– Expenditures for equipment
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Supplements
• Grantees may supplement stipends from nonFederal funds provided the supplementation is
without obligation to the trainee.
• University policies do not usually permit postdocs
to receive additional compensation for teaching in
addition to a fulltime position and compensation. A
waiver for postdocs requesting supplemental
teaching appointments will be approved on a caseby-case basis.
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Conditions for Waiver Approval
• If permitted by the award, the teaching must not
jeopardize the quality or quantity of time devoted to
the research training.
• The course must be relevant to the postdocs
training or scientific educator.
• The course would be offered through a regular
department or program.
• The posdoc would be eligible as determined by the
department or program offering the course.
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Compensation
• Compensation may be paid to trainees only
when there is an employer-employee
relationship.
• Fellowship sponsor must approve all
instances of employment on research grants
to verify that circumstances will not detract
from or prolong the approved training
program.
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Concurrent Benefits
• An individual may not receive support under
an institutional training grant concurrently
with another federally sponsored fellowship
or similar federal award that provides a
stipend or otherwise duplicates provisions of
the training grant award.
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Pre-award Requirements
• If the application is under consideration for
funding, NIH will request "just-in-time"
information from the applicant.
• Pre-award costs are not allowable charges
for stipends, tuition, or trainee travel on
institutional training grants since these costs
may not be charged to the grant before the
trainee appointment is actually made.
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Post Award Management
• Carryover of Funds
• Appointments
• Unliquidated Obligations
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Carryover of Funds
• The Notice of Award (NOA) for an
institutional research training grant specifies
whether or not the grantee must obtain the
prior approval of the awarding office to carry
over funds.
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Trainee Appointments
• Trainees can be appointed at any time during a
budget period, for a 12 month period.
• The 12 months stipend and tuition is charged to the
current year.
• If an appointment period overlaps budget periods,
an unliquidated obligation should be reported on
the Yale encumbrance form.
• This form should be submitted to GCFA at the
same time as the Financial Status Report (FSR) at
the end of each budget period.
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Unexpended Trainee Related Expenses
• Only an actual charge for travel or trainee
related expenses that has not cleared before
the end of a budget period can be treated as
an unliquidated obligation.
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Reporting Requirements
• An annual FSR is required and must be
submitted within 90 days of the end of each
budget period. Continuation support will not
be provided until the required form is
submitted and accepted.
• A Final Progress Report and FSR are
required at the end of the grant project period
or upon relinquishment of an award.
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Educational Loan Programs (LRP)
• Available to trainees
– Educational Loans or G.I. Bill
– NIH Extramural Loan Repayment Program
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The Loan Repayment Program (LRP)
• Trainee must contractually agree to NIH
mission-relevant research for at least 2 years.
• Agree to engage in research for 50% of their
work schedule
• The LRP provides repayment of debt up to
$35,000 annually.
• Applications accepted 9/1 – 12/1
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Examples of the PHS 2271 and PHS 416-7 Forms
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Reporting Requirements
• Statement of Appointment (Form 2271)
– Due on or before appointment start date
• Payback Agreement (PHS 6031)
– If terminated within the first 12 months
• Permanent Residency Documentation
– Required if under conditional permanent residency
• Termination Notice (PHS 416-7)
– To GCFA with copy of appointment letter within 30 days
of termination
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Other Reporting Requirements
• Inventions
– Reporting not required
• Copyrights
– Approval not required if material is developed in
the course of work under the PHS project
• Human Embryonic Stem Cells
– Follows NIH policy regarding approved lines
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Publication and Sharing Research Results
• Trainees should make the results and
accomplishments available to the research
community and to the public at large.
• Yale will assist trainees in these activities.
• No restrictions should be placed on the
publication of results in a timely manner.
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xTrain
• xTrain
– a web based program that allows users to electronically
process appointments and other required paperwork
associated with institutional training grants
• PD/PIs, their delegates, and business officials can:
– create, route and submit Appointments, Re-Appointments,
Amendments and Termination Notices
– track the status and timing of training actions
• NIH is considering mandatory use in 2012
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QUESTIONS?