1. No category

NIH Institutional Training Grants
CLASP Elective
July 9, 2014
Faculty
Brenda Kavanaugh,
Office of Research and Project
Administration
Cheryl Meiers, Office of Research
Accounting and Costing Standards
Terry Messenger, Office of Research
Accounting and Costing Standards
Continuous Learning for Administrators of Sponsored Programs
Objectives
• NIH Institutional Training Grants (T)
• Pre-award perspective
• Post-award perspective
• xTrain
Continuous Learning for Administrators of Sponsored Programs
What is an NIH “Institutional
training grant”?
Assistance award
•
Awarded to eligible institutions
• “to develop or enhance research training
opportunities for individuals, selected by the
institution, who are training for careers in
specified areas of biomedical, behavioral and
clinical research” (NIH Grants Policy Statement)
• NRSA = National Research Service Award
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Ruth L.
Kirschstein
First female Director of an
NIH Institute
Later, Deputy Director and
Acting Director of NIH
• Her work led to the Polio vaccine that virtually
eliminated the disease
• Strong advocate for research training, especially
inclusion of underrepresented individuals in
science
Continuous Learning for Administrators of Sponsored Programs
Why does NIH award institutional
training grants and why do we want
them?
• “to ensure that there will be adequate numbers of
diverse and highly trained scientists to assume
leadership roles related to the Nation’s biomedical
and behavioral research agenda” (NIH Grants Policy
Statement)
• Provide stipend and tuition support for graduate
students and post-docs
Continuous Learning for Administrators of Sponsored Programs
NIH Institutional Training
Grant:
“A grant of a different color”
• Proposal stage - different forms, different budget
guidelines, significant amount of data required for
submission
• Post-award process – more forms (via xTrain),
payback agreements, strict policy for allowable
expenses, challenging close-out process
• The good news? Submission went electronic in
2010!
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NIH Institutional Training Grant:
Deadlines
Institute
NCI
NEI
NHLBI
January 25
X
May 25
X
X
X
X
NHGRI
X
NIA
NIAAA
NIAID
NIAMS
NIBIB
NICHD
NIDCD
NIDDK
NIDA
NIEHS
X
X
NIGMS
September 25
X
X
X
X
X
X
X
X
X
X
X
NIMH
X
NINDS
NINR
FIC
NCCAM
X
X
X
X
NCATS
X
X
X
X
http://grants.nih.gov/archive/grants/guide/contacts/PA-10-036_contacts.html
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Comments
AIDS dates: 5/7; 9/7; 1/7
AIDS date 9/7
Jan 25 - new/competing/resubmission; AIDS 5/7
Sept 25 - resubmission/amended only; AIDS 1/7
New application should be submitted May 25.
Competing renewal accepted at most application
deadline; AIDS dates: 1/7, 5/7, 9/7
AIDS date 9/7
AIDS date 9/7
AIDS date 1/7
AIDS date 9/7
AIDS date 9/7
AIDS date 9/7
AIDS date 9/7
AIDS date 9/7
AIDS date 9/7
AIDS date 9/7
Predoctoral accepted during all three deadlines;
Postdoc T32 only accepted on January 25 deadline,
AIDS dates: 1/7, 5/7, 9/7
AIDS application; all standard AIDS application dates
apply
AIDS date 9/7
AIDS date 9/7
AIDS date 5/7
AIDS date 5/7
AIDS dates: 5/7, 9/7, 1/7
Proposal Stage: What do I do
first?
• NRSA Home Page (links to T Kiosk)
http://grants.nih.gov/training/nrsa.htm
• Additional IC specific Program Announcements
• IC specific web sites
• SF424 Instructions (Section 8)
http://grants.nih.gov/grants/funding/424/index.htm
• NIH Grants Policy Statement
http://grants.nih.gov/grants/policy/nihgps_2013/
Continuous Learning for Administrators of Sponsored Programs
Proposal Stage: What do I do first?
• Introduction to data tables (Appendix B)
http://grants.nih.gov/grants/funding/424/datatables_intro.pdf
• eRA Assembly of the SF424 (R&R) “T” Institutional
Research Training Award Application
http://grants.nih.gov/grants/funding/424/index.htm#data
Continuous Learning for Administrators of Sponsored Programs
Remember!!!
• $500,000 direct costs or more per year
(Check specific IC website to be certain this applies)
• Contact the IC program staff at least 6 weeks
before submission
• Obtain agreement from staff to accept the
application
• Identify the IC staff member in mandatory cover
letter submitted with the application
Continuous Learning for Administrators of Sponsored Programs
Preliminary Preparation
• Identify the preceptors/mentor/trainers
• Determine what kind of “slots” (trainees)
• Graduate students (Pre-docs)
• Post docs
• “short-term research training”
• students in health professional degree
programs
• Determine number of “slots” to request
Continuous Learning for Administrators of Sponsored Programs
What is a
preceptor/mentor/trainer?
 Individuals who contribute to the training
program and are involved in the research
area that is the focus of the training grant
 Faculty who will mentor the trainees
appointed to the training grant
Continuous Learning for Administrators of Sponsored Programs
What does a preceptor provide
for submission?
•
•
•
•
•
•
•
•
NIH Biosketch
NIH Other Support
Training Record
Information regarding resources available to
trainees
All applicable UCAR approval information
All applicable IRB approval information
Description of their research
Collaborations with other preceptors on the
project
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
(Pg I-161)
Section 8.1: Introduction
Guidance only when there is a difference in the required
information
Section 8.2: Institutional Research Training Programs
T Kiosk http://grants.nih.gov/training/T_Table.htm
Section 8.3: Reserved
Section 8.4: Special Instructions for Institutional Training
Grant Applications
Standard instructions found in Parts I.1-I.6 with exceptions
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
(Pg I-161)
Section 8.4.1: Proposed Project Start and End Dates
Typically July 1
Section 8.4.2: Special Instructions for Research and Related
Project/Performance Site Locations
All locations where training or program management
occurs
Section 8.4.3: Special Instructions for Research & Related Other
Project Information
• Are Human Subjects Involved? Check “Yes” if definite or
potentially definite
• Are Vertebrate Animals Used: Check “Yes” if definite or
potentially definite
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.4.3: Special Instructions for Research &
Related Other Project Information
•
Item 7 – Project Summary/Abstract - no longer than 30
lines of text – Objectives, rationale and design
•
Item 8 – Project Narrative: relevance of research
training program to public health (lay language)
•
Item 9 – Bibliography & References Cited
•
Supporting the need, rationale and approach for the
training program
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.4.3: Special Instructions for Research & Related
Other Project Information
• Item 10 – Facilities & Other Resources
• What will be used in the proposed training program?
• How will the institution support training program?
•
•
•
•
•
Space, shared laboratory facilities, equipment
Funds for curriculum development
Release time for the PD/PI and participating faculty
Support for additional trainees in the program
Other creative ways to improve climate for the growth of the
research training program
• Item 11 – Equipment
• Item 12 – Other Attachments - N/A unless requested by
the FOA
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SF 424 Instructions, Section 8
Section 8.4.4: Special Instructions for Senior/Key
Person Profile (Expanded) Component
• Only for PD/PIs and other individuals whose
contributions are critical to Research Training
Program Plan
• Do not include proposed mentors and training
faculty members in this section
• Biographical Sketches for mentors and participating
faculty will be included in the PHS 398 Research Training
Program Plan
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.4.5: Special Instructions for Research
& Related Budget
Do not use for NRSA Institutional Training Grants
unless required in an FOA or IC specific notice
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.4.6: Special Instructions for 4.6 PHS 398
Cover Page Supplement
• Item 2. Human Subjects - If “Yes” on the R&R Other Project
Information screen
• Is it a defined clinical trial (Y or N)
• Is it a defined Phase II clinical trial (Y or N)
• Item 4. Human Embryonic Stem Cells (HESC)
• Do training plans include or potentially include
involvement of trainees in projects that include human
embryonic stem cells (Y or N)
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.5 – PHS 398 Training Budget
(Appendix A)
• Part A. Stipends, Tuition/Fees
• Enter # of trainees
• Total stipend amount
• If a category contains different stipend levels, itemize in the
appropriate blocks
• Enter the total stipends for all categories
• Use current rates available at
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-14046.html (Appendix B)
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.5 – PHS 398 Training Budget
Part A. Stipends, Tuition/Fees
• Tuition at postdoc level is limited to specified courses described
in Budget Justification (Part F)
• Tuition and fees requested must equal that charged to regular
non-Federal supported students and postdoc fellows
• Health insurance is not part of this budget category. See
Training Related Expenses category
• Request full needs - current formula will be applied by NIH
awarding component at the time of award
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SF 424 Instructions, Section 8
Section 8.5 – PHS 398 Training Budget
Part A. Stipends, Tuition/Fees
• Allowable costs provided they are applied consistently
to all persons in similar training status at the institution
• No escalation of stipends in future years
(current stipend level will be applied at the time of award)
• Tuition/Fees and Stipends are considered Trainee costs
and cannot be used for anything else without prior
approval
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.5 – PHS 398 Training Budget
• Part B. Other Direct Costs
• Trainee Travel – check the FOA to see what is allowed
• Budget Justification - state purpose, number of trips,
destinations, number of trainees – must be coach class, justify
foreign travel in detail (importance to training experience)
• Awarded on a per trainee basis
• Allowable amounts vary between institutes
• Normally used to travel to scientific meetings
• Travel between residence and domestic training site not
allowed (with exceptions)
• Travel for purposes of recruitment not allowable
• Travel to foreign institutes may be allowable, U.S. flag air
carriers required
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Training Related Expenses (TRE)
• Formula calculated on a per trainee basis
Currently $4,200 for Predoctoral trainees
$7,850 for Postdoctoral trainees
May be used for:
health insurance
staff travel
staff salaries
equipment
consultant costs
research supplies
other expenses directly related to the training program
• Current TRE level will be applied at time of award
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Health insurance/fees
• Health insurance/fees only for single or family coverage
• NIH will not award supplemental funding for family coverage
• No longer awarded in aggregate with tuition funds
• Awarded as a training related expense (which means they
can be re-budgeted and are no longer excluded from F & A
costs)
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SF 424 Instructions, Section 8
Section 8.5 – PHS 398 Training Budget
• F&A costs fixed at 8% excluding tuition/fees, equipment and
subawards in excess of $25,000
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NRSA Stipend & Other Budgetary Levels
Effective for FY 2014 (Appendix B)
Institutional Training Grants
Award Category
Stipend (FY14)
Tuition/Fees
Training Related Expenses
Trainee Travel
(per trainee)
F&A
Predoctoral
Postdoctoral
NEW
NEW
$22,476
$42,000-$55,272
60% up to $16,000
60% up to $4,500
60% up to $21,000 for dual
60% up to $16,000 for
degree
additional degree
$4,200
$7,850
(includes health insurance) (includes health insurance)
$400 - $1,000 (typical range; varies by NIH awarding
component)
8%
(excludes tuition/fees, equipment, subawards > $25K)
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SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component – Check your particular FOA before
starting
• Information in Items 2.2– 2.4 collectively limited to 25
pages
• Information in items 2.5 - 2.14 not part of 25 page
limitation
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
Required data tables
•
Not counted toward the page limitations
•
Graduate Studies and/or Department Administrators are key offices to
acquire data
•
ORPA can provide a list of current T awards
•
Faculty’s CV may identify list of trainees
•
Training program directors will be your resource for information about
trainees and publications
•
The Internet!
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
Required data tables identified by number
• Pre-numbered, formatted tables available online
• Tables not required by particular grant mechanism or FOA
and intentionally left blank should be included and titled
appropriately
Additional tables identified by letter
• not required, may be included
• Will count toward the 25 page limit
• Identify by letter, not number to avoid confusion
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan Component
Introduction to Data Tables – READ THIS FIRST
http://grants.nih.gov/grants/funding/424/index.htm#datatables_intro
(Appendix C)
Instructions and Sample Data Tables 1-12 are located at:
http://grants.nih.gov/grants/funding/424/datatables_sampleall.pdf
(Appendix D)
• Gather as much information from your Institution, PI and participating
faculty before starting your tables
• Utilize Graduate Studies and Departmental Administrators to acquire
information
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• Item 1. Application Type – pre-populated from SF424
Cover Component
• Item 2. Research Training Program Plan Attachments –
general
• Page limitations referenced in the instructions and/or
FOA must be followed
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SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• Item 2. Research Training Program Plan Attachments –
general (cont’d)
• Text attachments should be converted to PDF
• Avoid scanning text attachments to convert to PDF
• Save files with descriptive file names like “Program Plan”,
“Proposed Training” etc.
• DO NOT USE SPECIAL CHARACTERS
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SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• Item 2. Research Training Program Plan Attachments –
general (cont’d)
•
•
•
•
•
•
No header or footer on attachments
No page numbers
Attachments are specific to Training Grant Programs
eRA Commons will validate and generate errors/warnings
eRA Commons will link together as a single Research Plan
Begin each text section with a section header (Introduction,
Background, Program Plan, etc.)
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 1. Introduction – 3 pages
• 2. Background – part of the 25 page limit, unless
otherwise stated in FOA
• Rationale for the proposed research training program,
relevant background history, need
• Indicate how proposed program relates to current training
at institution
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SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 2. Background – part of the 25 page limit
• Summarize participating department research training
activities. Complete and refer to the data reported in
Tables 1-3
• Table 1 – Membership of Participating Departments/Programs
• Table 2 – Participating Faculty Members
• Table 3 – Institutional Training Grant Support Available to
Participating Faculty Members, Departments or Programs
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SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 3. Program Plan – part of the 25 page limit, unless
otherwise stated in FOA
• a. Program Administration – PD’s qualifications, scientific
background, current research areas, experience in
research training
• b. Program Faculty – reference Table 2, Participating
Faculty
• Describe faculty cooperation, interaction and
collaborations in the past. Complete and refer to data
in Tables 4-6
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SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 3. Program Plan – part of the 25 page limit
• Table 4 – Grant and Contract Support of the Participating
Faculty Members
• Table 5 (A - Pre & B - Post) – Pre and Postdoctoral Trainees
of Participating Faculty Members
• Table 6 (A- Pre & B- Post) – Publications of Research
Completed by Trainees
• Current appointees, past appointees, and
representative trainees clearly associated with the
training program
• Programs requesting both should complete both tables
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SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 3. c. Proposed Training – describe the proposed
training program
• Training level and number of trainees
• Course work, research opportunities, extent to which
trainees will participate directly in research
• Duration of training
• How disciplinary and/or departmental components of the
program are integrated and coordinated and how they
will relate to an individual trainee’s experience
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 3.c.Proposed Training – describe the
proposed training program
• For training programs emphasizing research training for
clinicians describe interactions with basic science
departments and scientists
• Include plans for ensuring that the training of these
individuals will provide a substantive foundation for a
competitive research career
• Generally, a minimum of 2 years of research training is
required for all postdoc trainees with health professional
degrees
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SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 3.c. Proposed Training – describe the proposed
training program
• Provide representative examples of programs for individual
trainees
• Curricula, degree requirements, didactic courses, laboratory
experiences, qualifying examinations, other training activities
• Describe how trainer and research areas are chosen
• How will trainee’s program be guided
• How will trainee’s performance be monitored and evaluated
• Include detailed mentoring plans as appropriate
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 3.d. Training Program Evaluation
• Describe an evaluation plan to review and determine the
quality and effectiveness of the training program
• Provide details!
• Internal and External Advisory Committees
• Student assessments via exit interviews
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 3. e. Training Candidates
• Describe recruitment plans, sources and availability of
trainees
• Qualifications of prospective trainees
• Criteria by which trainees will be selected
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
•
3. f. Institutional Environment and Commitment to
Training
• Show institutional support, commitment to goals of training
program
• Describe support for proposed program
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• Admissions and Completion Records
• Table 7 (A - Pre & B - Post) – For participating departments
and programs during the last five years
• Trainees associated with institutionally defined
departments or programs
• Qualifications of Applicants
• Table 8 (A – Pre & B – Post). Qualifications of Recent
Predoctoral Applicants for each participating
department
• Trainees associated with institutionally defined
departments or programs
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• Qualification of Applicants
•
Table 9 (A – Pre & B - Post) – Trainees clearly associated with
the Training Program
• Any individual appointed to a training grant until
completion AND any individuals who have a training
experience identical to those appointed to the training
grant
• Not trainees associated with institutionally defined
departments or programs
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 4. Recruitment and Retention Plan to Enhance
Diversity
• Required for all training grant activity codes except T34,
T36, U2R and all D-series activity codes
• Must fit within the combined 25 page limit for sections 2.2 –
2.4 unless otherwise specified in the FOA
• Provide a detailed plan!
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 4. Recruitment and Retention Plan to Enhance
Diversity
• To diversify student and faculty populations, increasing
participation of underrepresented individuals in the
biomedical, clinical, behavioral, and social science such
as:
• Individuals from underrepresented racial and ethnic groups
• Individuals with disabilities
• Individuals from socially, culturally, economically or
educationally disadvantaged backgrounds that have
inhibited their ability to pursue a career in health-related
research
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 4. Recruitment and Retention Plan to Enhance Diversity
• Proposed Plans – describe how graduate students and
postdocs from underrepresented groups will be identified,
recruited and retained
• Table 10 – Admissions and Completion Records for
Underrpresented Minority Trainees, Trainees with Disabilities,
and Trainees from Disadvantaged Backgrounds Clearly
Associated with the Training Program (optional for new
applications)
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 5. Plan for Instruction in the Responsible Conduct of Research
(RCR) – REQUIRED
•
http://grants.nih.gov/grants/guide/notice-files/not-od-10-019.html
No longer part of 25 page limit; has its own separate page limit of
3 pages
• Should address incorporation of five instructional components in
training program
• Format
• Subject matter
• Faculty participation
• Duration
• Frequency
•
• How will instruction be monitored?
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 5. Plan for Instruction in the Responsible Conduct of
Research
• Trainees participating in research involving human subjects
must meet NIH requirement for education in human subject
protections
• Trainees participating in research with live vertebrate
animals must enroll in institutional animal welfare training
program
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 6. Progress report (for Renewal Applications only)
• Briefly describe the accomplishments of the program and
any effects of the training program on curriculum and/or
research directions
• Describe how the Training Related Expenses (Institutional
Allowance) funds were used to benefit the program
• For each trainee supported during the period covered,
indicate their mentor, and briefly summarize the research
conducted by the trainee
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 6. Progress report (for Renewal Applications only)
• Table 11 – Appointments to the Training Grant for Each
Year of the Past Award
• Predocs – Table 12A
• Postdocs – Table 12B
• Both – Tables 12 A and 12B
Continuous Learning for Administrators of Sponsored Programs
SF 424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 6. Progress report (for Renewal Applications only)
• For previous trainees appointed to the training grant and
continuing in training, provide a statement of their status
and progress toward program completion
Continuous Learning for Administrators of Sponsored Programs
SF424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 7. Human Subjects
• If trainee participation is part of other research projects
with IRB review and approval, provide list of previously
approved research projects (grant number, PI, project title)
and their IRB approval dates or exemption designations
• If plans indefinite, prior to trainee participation, provide a
list (see above)
Continuous Learning for Administrators of Sponsored Programs
SF424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 8. Vertebrate Animals
• If use of live vertebrate animals is solely as part of other research
project grants only, provide list or table of research projects
(grant number, PI, and project title and IACUC approval dates)
• If plans are indefinite, prior to trainee participation provide a list
(see above)
• If actual training program involves definite plans to use live
vertebrate animals follow instructions in SF424, Part I, 5.5, Item 8
Continuous Learning for Administrators of Sponsored Programs
SF424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 9. Select Agent Research
• Complete if trainees will work with faculty who are conducting or
planning to conduct research involving select agents
• If applicable, follow instructions in section 5.5 of the SF424, Item 9
Continuous Learning for Administrators of Sponsored Programs
SF424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 10. Multiple PD/PI Leadership Plan
• Emphasis should be on how it will benefit the program and the
trainees
• Do not include all mentors as Multiple PD/PIs
• If applicable, follow instructions in Section 5.5, Item 10 of the SF424
• 11. Consortium and Contractual Arrangements
• If applicable, follow instructions in Section 5.5, Item 11 of
the SF424
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SF424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 12. Participating Faculty Biosketches
• Follow instructions for NIH Biographical Sketch except that a
personal statement is not required for participating faculty
• Attach all biosketches as a single pdf document
Continuous Learning for Administrators of Sponsored Programs
SF424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 13. Data Tables – REMEMBER
•
•
•
•
•
Review Introduction to the Data Tables
Follow Instructions for Data Tables
Review Sample Data Tables
Tables uploaded in this section as a single PDF
Start each table on a new page, “bookmark” the first page of
each table by its number.
Continuous Learning for Administrators of Sponsored Programs
SF424 Instructions, Section 8
Section 8.7 – Research Training Program Plan
Component
• 14. Letters of Support
• Follow instructions in SF424 Section 5.5, Item 14
• 15. Appendix
• Do not use to circumvent the page limitations of the Training Plan!
• Unless the FOA to which you are responding provides explicit
guidance
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Award Process
• Pre-award costs are unallowable
• NIH Notice of Grant Award is issued to
grantee organization with typical budget
period of 12 months
• An account number for the program and an
internal Notice of Award will be issued
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Recruitment
Keep in mind:
• Trainees must be citizens or non-citizen
nationals or admitted for permanent
residence
• Predocs must have received their bachelor’s
degree by the start date of their appointment
and enrolled in a doctoral program
• Postdocs must have received their doctoral
degree from an accredited institution by the
start date of their appointment
Continuous Learning for Administrators of Sponsored Programs
Recruitment
• Trainees may not be studying for an M.D. or
D.D.S or other clinical training EXCEPT when in
a formal combined program such as the
M.D./Ph.D.
• NRSA training grants will not support residency
programs
Continuous Learning for Administrators of Sponsored Programs
Recruitment
Don’t forget minority recruitment in
underrepresented groups in biomedical and
behavioral research!
• Minority per NIH means: African
Americans, Hispanic Americans, Native
Americans, Alaskan Natives, Hawaiian
Natives, and natives of U.S. Pacific Islands
Continuous Learning for Administrators of Sponsored Programs
Appointment
Keep in mind:
• Trainees are required to pursue their training full time
(minimum of 40 hours per week)
(work = class time + study time + lab time)
• Part-time (minimum of 50% effort) requests are handled
on a case by case basis, submitted in writing and
countersigned by trainee, program director &
authorized institutional official
• Training must continue to be at least 50%, anything less
requires leave of absence
• Stipend will be prorated during the period of any
approved part-time training. Part-time training may
affect the rate of accrual or repayment of the service
obligation for postdoctoral trainees
Continuous Learning for Administrators of Sponsored Programs
Appointment
Important tip:
Close-out process will be easier if you appoint
individuals at the beginning of pay period
Continuous Learning for Administrators of Sponsored Programs
Appointment
• No one may receive more than 5 years of
aggregate NRSA support at the predoc level
Or 3 years aggregate support at the postdoc
level
• An extension may be requested for the
following exceptions:
• Individuals in a combined program (M.D./Ph.D.)
• Interruptions in planned research training
• Extension for opportunity to use exceptional training
resource
Continuous Learning for Administrators of Sponsored Programs
Periods of Appointments
• Appointment periods may overlap budget periods
• Unbooked travel and training related expenses require
carryover and this may be a prior approval procedure from NIH
Year 1
7/1/010- 6/30/11
Year 2
7/1/11 - 6/30/12
Appointment Period
1/1/11 - 12/31/11
Stipend & Tuition $$ (6
months reported as
unliquidated obligation)
Continuous Learning for Administrators of Sponsored Programs
Administration
 At the time of initial appointment, at each
subsequent annual appointment a new or
revised Statement of Appointment form must
be submitted via X-Train
 See Appendix E
Continuous Learning for Administrators of Sponsored Programs
Administration – Payback
• At the time of initial appointment a signed
Payback Agreement must be submitted for each
postdoc trainee (PHS 6031, Appendix F)
Important Note: The Program Director must explain
the terms of the payback service requirement to all
prospective postdoctoral training candidates
(GPS - Appendix G)
• When ORPA submits your progress reports, they are
certifying that the terms of the payback
requirement have been explained to all appointed
postdoctoral trainees
• Payback Agreements are not submitted via XTrain, must still be mailed in hard copy
Continuous Learning for Administrators of Sponsored Programs
Administration
• Stipend level for first year is determined by
number of full years of relevant postdoc
experience at time of appointment (relevant
experience may include industrial, teaching
assistantship, internship, residency, clinical
duties or other time spent in a health related
field beyond the qualifying doctoral degree).
This is calculated based on the month/year that
their degree was conferred
• Stipend for each additional year of support is
the next level in the stipend structure and does
not change mid-year
Continuous Learning for Administrators of Sponsored Programs
Administration
Stipend supplementation for postdocs
• Positively no PHS funds may be used for
supplementation
• From non-Federal funds with no obligation to the
trainee (exception – with specific authorization, Federal
educational loan funds or VA benefits)
• Amount of stipend supplementation determined by
grantee policy and consistently applied
Continuous Learning for Administrators of Sponsored Programs
Administration
Employee benefits
• Trainee, not employee
• Inappropriate and unallowable to charge training
grants employee benefits (for example, FICA, worker’s
compensation, unemployment insurance)
Cost principles
• A-21 applies (allowable, allocable, reasonable,
consistent)
Continuous Learning for Administrators of Sponsored Programs
Carry forward
• Most institutional training grants do not allow for
unexpended balances to be carried forward
without prior approval
• Check your NOGA
• Even if carry forward is allowed it may be
restricted
Continuous Learning for Administrators of Sponsored Programs
Progress Reports
 Must be submitted for noncompeting continuation
support
 RPPR submission type mandated after 10/17/14
 Progress reports must include
 Description of training received by appointed trainees
with resulting publications
 Updated list of UCAR approvals
 Updated list of IRB approvals
 Biosketches for new selected preceptors
 Summary of trainees form (Tables 12A and 12B)
 Trainee Diversity report – Trainees appointed by
ethnicity and race
Continuous Learning for Administrators of Sponsored Programs
Prior Approvals Required
 Changes in the program objectives as related
to the area of research training
 Absence of the Program Director for more
than 3 consecutive months
 Transfer of an grant from one domestic
institution to another
 Carry forward as stated in your NOGA
Continuous Learning for Administrators of Sponsored Programs
Leave
• Trainees may receive the same vacations and
holidays available to individuals in comparable
training positions and continue to receive stipends
during vacations and holidays
• Sick leave and other leave – can continue to
receive stipend for up to 15 calendar days of sick
leave per year.
• Can be extended under exceptional circumstances by NIH in response to a
written request
• Sick leave may be used for medical conditions
related to pregnancy and childbirth
Continuous Learning for Administrators of Sponsored Programs
Leave
 Parental leave
 Trainees and fellows (either parent) may receive stipends
for up to 60 calendar days (= 8 work weeks) per year
 for the adoption/birth of a child (when those in
comparable training positions at the grantee
organization have access to this level of paid leave for
this purpose)
 must be approved by the training Program Director (PI).
 Unpaid leave
 must be approved in advance by program director and be
countersigned by authorized organizational official.
 Documentation to suspend the period of appointment
must be completed by submitting an amended Statement
of Appointment form and a Termination Notice to NIH
Continuous Learning for Administrators of Sponsored Programs
Grant Termination
•
May be terminated if grantee has materially
failed to comply with terms and conditions of
award or to carry out the purpose for which it
was made
•
IC will notify grantee in writing of this
determination to terminate, giving the reason,
the effective date and the right to appeal the
decision, all in writing
•
Grantee may also request termination
Continuous Learning for Administrators of Sponsored Programs
Closeout
• No invention statement required
• Closeout process occurs annually
•
Remember unliquidated obligations
Continuous Learning for Administrators of Sponsored Programs
xTrain
• Allows grantee institutions to electronically submit
and track required paperwork for research
training grants
o PHS 2271 Appointment Forms (Appendix
o
E)
PHS 416-7 Termination Notices (Appendix H)
• REQUIRED as of January 1, 2011
Continuous Learning for Administrators of Sponsored Programs
Benefits of xTrain
• Accelerates the NIH approval process
• Reduces chance of data entry errors
• Provides institutional and NIH users with an ongoing
record of status for the forms
Continuous Learning for Administrators of Sponsored Programs
xTrain
• Website for xTrain tutorials, presentations, etc.
http://era.nih.gov/era_training/xtrain.cfm
• Website for xTrain User Guide
http://era.nih.gov/files/xTrain_external_user_guide.pdf
• Website for xTrain Online Help
http://era.nih.gov/erahelp/xtrain/default.htm
• Website for FAQs
http://era.nih.gov/commons/faq_commons.cfm#XVI
Continuous Learning for Administrators of Sponsored Programs
xTrain Helpful Hints
• When completing summary of training field
• The system will not accept:
• Blank lines in summary
• Exceeding 2000 characters
• If copying summary from Word note special
characters do not transfer.
• Remind trainee to route document back to PI
• Many trainees click “Save” thinking they have routed the
document.
• If the Trainee terminates early, click the “Modify Termination
Date” button and the system will automatically amend the
end date and recalculate stipend
Continuous Learning for Administrators of Sponsored Programs
xTrain Roles and Responsibilities
• Program Director (PD/PI)
• Responsible for programmatic direction of the training
program
• Initiates Appointing Trainees, amends Appointment
Forms if necessary and initiates Termination Notices
• Can delegate authority to perform xTrain related
functions on his/her behalf using ASST role up to, but
not including, submitting forms to Agency
Continuous Learning for Administrators of Sponsored Programs
xTrain Roles and Responsibilities
• PD/PI Delegate (ASST Role)
• Delegated by PD/PI. Performs xTrain functions on
behalf of the PD/PI
• Receives same notifications and performs same
actions as the PD/PI with the exception of
submission to Agency
Continuous Learning for Administrators of Sponsored Programs
xTrain Roles and Responsibilities
• Trainee
• Person at the grantee institution to be appointed
as a Trainee on a training grant
• Must have the opportunity to carry out
supervised biomedical or behavioral research
with the goal of developing or extending their
research skills and knowledge
Continuous Learning for Administrators of Sponsored Programs
xTrain Roles and Responsibilities
• Signing Official or Business Official
• Responsible for approving and routing
Termination Forms to the Agency
Continuous Learning for Administrators of Sponsored Programs
xTrain Trainee Appointments
• Before initiating an Appointment Form in xTrain verify the
following:
• Trainee does not already have an eRA profile
• Search by their name
• Always use existing profile
• Budget period of appointment
• Current email address for trainee
• Appointment start and end dates
• Amounts for stipend, tuition/fees and travel
Continuous Learning for Administrators of Sponsored Programs
xTrain Trainee Appointments
• Has the trainee been appointed to any other training
grant previously?
• What was the grant number?
• How long were they appointed to that grant?
• If in doubt of which stipend level to use always send a
copy of the trainee’s CV to your GMS for verification
• Pay attention to the grant year on the form. You may
have to change the year and save the document in
order for the stipend amounts to be correct
Continuous Learning for Administrators of Sponsored Programs
X Train Trainee Appointments
• Save & Route to Trainee
• The system will check for errors prior to routing to trainee
• Errors must be corrected before you can continue
• Warnings will go through the system without problem but
should be reviewed.
• A common warning is that period of appointment cannot extend
past period of award. This can be ignored, except for the last year
of your project period. You must request a no cost extension by
sending a written request signed by the PI and business official
requesting the extension to enable appointments past the end
date.
• You can add a personalized message to trainee in the comments
section if desired
• After verification, click “save and route to trainee” button
Continuous Learning for Administrators of Sponsored Programs
Inviting Trainees to Register in xTrain
• When PD/ASST creates New Appointment they are
prompted for Trainee’s User ID
• Once Trainee has been identified, or new profile
created you will be directed to the Appointment form
to enter basic information about the appointment.
• A box at the bottom of the screen will prompt you to
“Invite Trainee Now” or “Invite Trainee Later”
• Trainees receive an automated email from xTrain
asking them to complete the Appointment Form
Continuous Learning for Administrators of Sponsored Programs
Trainee Information in eRA Commons
and xTrain
• Trainees receive an automated email from xTrain notifying them
they have been appointed to a grant and are directed to the
xTrain website
• Trainees should verify
• Correct name spelling
• SSN (last 4 digits)
• Email
• Degrees
• Specialty board
• Dual degree (if applicable)
• Prior NRSA support
• Citizenship status
Continuous Learning for Administrators of Sponsored Programs
Trainee Information in eRA Commons
and xTrain
• Once trainee has verified all information in the profile and
on the Appointment form they then click “Save”
• If they have any questions, they can contact the PI and
or ASST prior to routing the document further
• Once all questions have been resolved the trainee
should click “Save and Route to PI”
• PI is the only one who can submit appointment forms
• Trainee should view the PDF document and print a copy of
the Appointment Form for their records
• Payback agreements for Postdocs must be printed, signed
and mailed to the NIH
• All Permanent Resident trainees appointed must have
original Notarized copy of their green card mailed to the
NIH
Continuous Learning for Administrators of Sponsored Programs
xTrain Termination Forms
• PI or ASST initiates the Termination Notice in xTrain
• Pre-populated Termination Notice is in xTrain with
information pulled from Trainee profile
• Clicks the “save and route to Trainee” button
• You have the opportunity to send the trainee a message
when the Termination Form is routed
• Trainee receives automated message from the Commons
requesting completion of the form
• Majority of information requested is entered by Trainee
• Once complete, trainee clicks “Save and Route to PI”
• PI and ASST are send automated message to review and
finalize the document
Continuous Learning for Administrators of Sponsored Programs
xTrain Termination Forms
• PI/ASST sends the document to the University Business Official
• Once the Business Official verifies stipend payments and
dates they will click “Save and Route to Agency”
• Agency reviews and accepts the Termination Notice
• Automated email from Agency is sent to PI/Trainee/ASST
stating document is finalized and fully accepted version can
be accessed via xTrain
• ASST should save a complete version of the notice in
electronic/paper file
• Stipends paid as stated on Termination form must equal
stipend amount actually paid
Continuous Learning for Administrators of Sponsored Programs
Helpful Links
• Ruth L. Kirschstein National Research Service Award
policy information, stipend levels, FAQ’s
http://grants.nih.gov/training/nrsa.htm
• NIH Forms & Applications
http://grants.nih.gov/grants/forms.htm
• eRA Commons (User Guides)
http://commons.era.nih.gov/commons/
Continuous Learning for Administrators of Sponsored Programs
Questions
Continuous Learning for Administrators of Sponsored Programs