Continuous Learning for Administrators of Sponsored Programs (CLASP) Elective

NIH TRAINING GRANTS July 09, 2014

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Training Grant Close Out

Close out is an on-going activity Involves the department and ORACS Think about close out from the first day the award comes in the door Know your training grant financial terms (see Appendix L, Glossary of Terms for NIH Training Grants) 2

Trainee Costs

Stipends a subsistence allowance to defray living expenses during the period of training    At the approved levels for awards made during the Federal government’s fiscal year (October – September) Graduate Student – Subcode 1690 Postdoc – Subcode 1560 3

Trainee Costs

Tuition and Fees, – itemize and request full needs. NIH will apply the formula at the time of award Subcodes 4XXX Tuition at the postdoc level is limited to that required for specific courses in support of approved training program, requires prior approval from NIH 4

Trainee Travel

 Scientific Meetings/Conferences  Allowable  Does not require prior approval by NIH 5

Training-Related Expenses

 Institutional Funds  Used to defray costs of other research training related expenses  Examples include:       Staff salaries Health Fees Consultant costs Equipment Research supplies Staff travel 6

Training-Related Expenses (Continued)

 Health Insurance/Fees   Health Insurance/Fees can be for single or family coverage Subcodes:   2970 UHS charges 1900 Pooled benefit rate 7

Facilities and Administrative Costs

8% of Total Allowable Direct Costs  Calculation excludes:   Tuition/Fees Equipment 8

Rebudgeting

No prior approval required*:     Stipends  Tuition & Fees only Tuition  Stipends only Trainee Travel  any category Training Related Expenses  any category Prior approval

is

required to rebudget Stipends and/or Tuition into Travel or TRE. *Unless otherwise restricted 9

Unallowable Benefits

 It is inappropriate and unallowable for organizations to seek funds or to charge institutional research training grants for costs that normally are associated with employee benefits. This will come up again in closeout.

 This includes:    FICA Worker’s Compensation Unemployment Insurance 10

Position Codes and Benefits

 Position Code 0095 – Postdocs  Not employees, therefore no benefits   Can have UHS Health Fees If any benefits are charged for this position, charges get moved back to benefit pool account  Position Code 0999 – Graduate Students  Not employees, therefore no benefits   Can have UHS Health Fees If any benefits are charged for this position, charges get moved back to benefit pool account  All other position codes that have benefits charged, the unallowable portion will be adjusted to your department account 11

Allowable Components of Pooled Rates for Trainees

FY13 FY14 FY15 Rate 4 14.43

14.14

14.39

Rate 1 8.30

8.53

8.51

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Report of Expenditures (ROE)

Timing of the ROE Importance of proper preparation Step by step through the ROE (Appendix N) 13

Financial Status Report (FFR)

Required annually no later than 90 days after the close of each budget period Trainee stipends, tuition and health fees are obligated for a full 12-month appointment from the budget period in which the appointment was initiated Portions of stipends, tuition and health fees that extend beyond the budget period are reported as “unliquidated obligations” (Included in Section 4A on ROE and 10F on FFR) 14

Financial Status Report (FFR)

Carry over –   The amount remaining after outlays and unliquidated obligations have been accounted for In most cases, prior approval for carry over is required 15

Tips for a Smooth Close Out

Review monthly ledgers Monitor and track individual trainee expenses  Including monitoring annually trainee’s pay (Cum Sal) to match the NIH appointment form 2271, Appendix E Update appointment forms  Close out will be easier if appointment forms coincide with university pay periods  Example: if semi-monthly, 1 st or 16 th ; if monthly, 1 st Timely completion of Termination Forms (PHS 416-7, Appendix H) 16

X Train Termination Notice

Training and related appointments and terminations (TN) must be submitted via xTrain after 1/1/11 for the following awards: T34, T32, T35, T90, TL1, TU2, T15, F30, F31 F32 and F33 All PI’s and Trainees must be registered in Commons. PI can delegate privileges to Administrator (ASST) 17

X Train Termination Notice

 Termination Notice due 30 days after trainee terminates  Late TN forms can hold up issuance of future year awards 18

XTrain Important Websites

    ORPA’s website for access form: http://www.rochester.edu/orpa/_assets/pdf/form_NI HCommonsReqForm.pdf

NIH Commons Xtrain Training Resources: Appendix J http://era.nih.gov/era_training/xtrain.cfm

xTrain User’s Guide: Appendix K http://era.nih.gov/files/xtrain_external_user_guide. pdf FAQ’s: Appendix P http:// grants.nih.gov/training/faq_training.htm

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Creation of Termination Form

     PI/ASST/BO(Business Official) can create and enter data in TN PI logs into Commons to view list of grants and trainee rosters PI pulls up & completes required info Chooses a BO from window-Sr Acct PI routes to Trainee 20

Termination Notice cont

    Trainee has 14 days to complete and route back to PI PI reviews data and routes to BO. Clicks continue and certify, creating electronic signature BO receives email TN ready to process ORACS will need same info as for paper TN 21

Termination Notice cont

     Admin should email explanation if TN doesn’t match Cum Sal and 2271 form Send appropriate memos/payroll forms 2271 form, Cum Sal and TN should all match in total New certification for ORACS is number of months. Will need dept verification Under xTrain once a 2271 form submitted all can view 22

Termination Notice cont

    BO will save & submit TN to agency when info is verified PI/ASST/BO can view status of TN at any time Please refer to User’s Guide with question and also Quick Reference Guide Contact ORACS if any questions about form & what information we need to submit TN 23

QUESTIONS?

Refer to Appendix M, “Training Grant Administration Helpful Tools” Refer to Appendix P or check out NIH Research Training Opportunities,Frequently Asked Questions – NRSA Training Grants at: http://grants.nih.gov/training/faq_training .htm

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Closeout Appendices 2014  Appendix E Statement of Appointment PHS 2271     Appendix H Termination Notice Appendix I Xtrain Overview & Functions Quick Reference Guide Appendix J ERA Xtrain Resources Appendix K Xtrain External/Institution User Guide 25

Closeout Appendices 2014  Appendix L Glossary of Terms for NIH Training Grants.

    Appendix M Training Grant Administration Helpful Tools Appendix N ROE - New Rules Appendix O Xtrain Termination Notices Quick Reference Appendix P Frequently Asked Questions – NRSA Training Grants 26