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NIH NRSA CLOSEOUTS

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PBIL/PBUD increased in continuation year for reported. Reporting Requirements. Financial Report ... obligations to be paid in current and continuation year ... – PowerPoint PPT presentation

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Title: NIH NRSA CLOSEOUTS


1
NIH NRSA CLOSEOUTS
  • Office of Research Services
  • ORS Brown Bag
  • January 24, 2007

2
Overview
  • National Research Service Awards (NRSA)
  • Help ensure that a diverse, highly trained
    workforce is available for leadership roles in
    nations biomedical and behavioral agenda
  • Awarded to eligible institutions to develop or to
    enhance research training opportunities for
    individuals selected by the institution who are
    training in specific areas

3
Overview
  • Types of Training Programs
  • Pre-doctoral-Individuals enrolled in or leading
    to a Ph.D or comparable doctoral degree (T32)
  • Post-doctoral-Individuals who hold a doctorate
    from an accredited institution
  • Short-term-Individuals enrolled in program
    leading to a clinical doctorate or masters in
    quantitative science degree (T32,T35)
  • Pre-baccalaureate-Individuals enrolled in an
    undergraduate program at institutions with
    substantial minority enrollment (T34)

4
Trainee Support
  • Made in competitive segments
  • Renewable
  • Normally made in 12 month increments
  • Limitations
  • 5 year aggregate for pre-docs
  • 3 year aggregate for post-docs
  • Exceptions require a waiver from NIH awarding
    component

5
Initiation of Support
  • Notice of Award (NOA) issued to Grantee for 12
    month budget period
  • Program Director must submit Statement of
    Appointment form to NIH Awarding office (PHS
    2271)
  • Signed Payback Agreement must be submitted for
    each post doc in the first 12 months of support
    (PHS 6031)

6
Trainee Appointments
  • Considered Full-time training appointments
  • Generally appointed for 12-month continuous
    periods
  • Due at the time of appointment
  • May begin at the time of appointment
  • May not exceed 12 months in a single budget
    period
  • Trainee costs (Stipends, tuition, fees, med
    coverage) are obligated when individuals begin
    training

7
Allowable Costs
  • Stipends
  • May not be rebudgeted without NIH prior approval
  • Tuition Fees
  • May not be rebudgeted without NIH prior approval
  • Medical Coverage/Insurance
  • May not be rebudgeted without NIH prior approval

8
Allowable Costs
  • Trainee Related Expenses
  • Can be rebudgeted without approval
  • Trainee Travel
  • Can be rebudgeted without prior approval
  • FA
  • Can not be rebudgeted

9
Unallowable Costs
  • Employee Benefits
  • NRSAs are not provided as a condition of
    employment and therefore befifits associated with
    full time employment are not allowable
  • Costs which do not meet allowability,
    allocability and reasonableness test
  • Cost transfers beyond 90 days

10
Carryovers
  • Carryovers
  • NRSA training grants are often included under
    expanded authorities
  • Refer to NOA for carryover authority
  • Often do not have authority to carryover
    unobligated balances

11
Unliquidated Obligations
  • Unliquidated Obligations
  • Funds for trainee costs obligated via appointment
    form but not expensed during the budget period
    due to the timing of the appointment
  • Reported on the FSR
  • PBIL/PBUD increased in continuation year for
    reported

12
Reporting Requirements
  • Financial Report
  • SF269 (FSR) required 90 days following the end of
    the budget period
  • Progress Reports
  • Required 90 days following the end of the budget
    period

13
Reporting Requirements
  • Terminations
  • Termination Notice Form (PHS416-7)
  • Payback Certification Form (PHS6031-1)
  • Other
  • Revised Appointment Forms
  • Revised Termination Notices
  • Revised FSRs

14
Closeout Requirements
  • Communicate with ORS accountant regarding issues
    to be address prior to closeout
  • Send closeout spreadsheet accounting of the
    unliquidated obligations to ORS accountant
  • Send copies of appointment forms for the budget
    period
  • Send termination notices
  • Process final closeout adjustments prior to end
    of adjustment period

15
ORS Closeout Review
  • Review/Request trainee appointment forms
    termination notices
  • Review NGA to verify terms and conditions
  • Authorized funds for the period (including
    unobligated carryovers)
  • Carryover Authority
  • Expanded Authority
  • Number or post pre-doc slots
  • Special terms and conditions

16
ORS Closeout Review
  • Review prior period FSR for total unliquidated
    obligations reported
  • Review PBIL/PBUD for accuracy
  • Review GL Expense
  • Stipends should be expended according to NIH
    established rates/appointment forms
  • Trainee related expenses and travel should not
    exceed total awarded
  • Reconcile FA (tuition, fees, health ins.
    excluded)
  • Unallowable expenses

17
ORS Closeout Review
  • Unliquidated Obligations
  • Must provide appointment forms for trainee
    obligations to be paid in current and
    continuation year
  • Must be signed by trainee and Program Director
  • Must indicate support for period of appointment
  • Must indicate revision, if appropriate

18
ORS Closeout Review
  • Review GL expense
  • Stipends allocated should be expended according
    to NIH established rates and appointment form for
    each trainee
  • Trainee related expenses to determine if funds
    were rebudgeted from stipends tuition fees
  • Reconcile FA (tuition, fees, med coverage
    excluded)
  • Review for allowability, allocability and
    reasonableness
  • Review Unliquidated obligations for Appointees
  • Should agree with appointment forms
  • Should not exceed of slots awarded
  • Should not include TREs travel

19
Closeout Issues
  • Appointment forms
  • Untimely receipt of forms during appointment and
    closeout process
  • Inaccuracies
  • Revisions are not submitted and or sent to NIH
    timely
  • Not used to track trainee obilgations to be
    reported on FSR
  • Stipends
  • Do not coincide with appointment forms and or NIH
    established rates
  • Stipends not charged to correct object codes
    (5043,5045)
  • Stipends after trainee terminates are not
    monitored
  • Increase in rates are not done at anniversary of
    appointment
  • Trainee Related Expenses Travel
  • Funds rebudgeted from other line items to cover
    this expense

20
Closeout Issues
  • Cost Transfers
  • Prior approvals
  • Change in number of slots
  • Change in appointment period (to less than 12
    months)
  • Termination Notices
  • Not submitted timely to NIH ORS
  • Inaccuracies
  • Unliquidated Obligations
  • Omit to request provide unliquidated obligation
    to report on the FSR

21
Best Practices
  • Review sponsor requirements
  • Maintain Spreadsheet to monitor trainee
    obligations
  • Review of GL monthly
  • Send all forms and documents to ORS together
  • Communicate with ORS accountant regarding
    closeout issues
  • Freeze fund

22
Information Sites
  • NIH Grants Policy Statement
  • http//grants.nih.gov/grants/policy/nihgps
  • NRSA T32 frequently asked questions
  • http//grants.nih.gov/training/faq_training.html
  • NIH T32 Announcement, NIH Guide
  • http//grants.nih.gov/training
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