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

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Nih nrsa closeouts


Office of Research Services

ORS Brown Bag

January 24, 2007


  • 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


  • 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)

Trainee support
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

Initiation of support
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)

Trainee appointments
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

Allowable costs
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

Allowable costs1
Allowable Costs

  • Trainee Related Expenses

    • Can be rebudgeted without approval

  • Trainee Travel

    • Can be rebudgeted without prior approval

  • F&A

    • Can not be rebudgeted

Unallowable costs
Unallowable Costs

  • Employee Benefits

    • NRSA’s 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

  • 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

    Unliquidated obligations
    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

    Reporting requirements
    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

    Reporting requirements1
    Reporting Requirements

    • Terminations

      • Termination Notice Form (PHS416-7)

      • Payback Certification Form (PHS6031-1)

    • Other

      • Revised Appointment Forms

      • Revised Termination Notices

      • Revised FSR’s

    Closeout requirements
    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

    Ors closeout review
    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

    Ors closeout review1
    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 F&A (tuition, fees, health ins. excluded)

      • Unallowable expenses

    Ors closeout review2
    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

    Ors closeout review3
    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 F&A (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 TRE’s & travel

    Closeout issues
    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

    Closeout issues1
    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

    Best practices
    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

    Information sites
    Information Sites

    • NIH Grants Policy Statement


    • NRSA T32 frequently asked questions


    • NIH T32 Announcement, NIH Guide