Continuous Learning for Administrators of Sponsored Programs (CLASP) Elective

1. Continuous Learning for Administrators of Sponsored Programs (CLASP) Elective NIH TRAINING GRANTS July 19, 2018

2. 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 AA, Glossary of Terms for NIH Training Grants)

3. 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 • Postdoc

4. Trainee Costs Tuition and Fees, – itemize and request full needs. NIH will apply the formula at the time of award • SC58700 • Tuition at the postdoc level is limited to that required for specific courses in support of approved training program, requires prior approval from NIH

5. Trainee Travel • Scientific Meetings/Conferences • Allowable • Does not require prior approval by NIH

6. 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

7. Training-Related Expenses (Continued) • Health Insurance/Fees • Health Insurance/Fees can be for single or family coverage • Subcodes: • SC56650 UHS charges • SC46250 Pooled benefit rate

8. Facilities and Administrative Costs • 8% of Total Allowable Direct Costs • Calculation excludes: • Tuition/Fees • Equipment

9. 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

10. 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

11. 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

12. Allowable Components of Pooled Rates for Trainees

13. Report of Expenditures (ROE) • Timing of the ROE • Importance of proper preparation • Step by step through the ROE, PHSROE & FFR (Appendix BB, CC, DD & EE)

14. Financial Status Report (FFR) • Required annually no later than 90 days after the close of each budget period (60 days is the goal) • 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)

15. 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

16. 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 FF • Update appointment forms • Close out will be easier if appointment forms coincide with university pay periods • Example: if semi-monthly, 1st or 16th; if monthly, 1st • Timely completion of Termination Forms (PHS 416-7, Appendix GG)

17. 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)

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

19. XTrain Important Websites • ORPA’s website for access form: http://www.rochester.edu/orpa/_assets/pdf/form_NIHCommonsReqForm.pdf • NIH Commons Xtrain Training Resources: Appendix HH http://era.nih.gov/era_training/xtrain.cfm • xTrain User’s Guide: Appendix II http://era.nih.gov/files/xtrain_external_user_guide. pdf • FAQ’s: Appendix JJ http://grants.nih.gov/grants/frequent_questions.htm

20. 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

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

22. 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

23. 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

24. QUESTIONS? • Refer to Appendix KK, “Training Grant Administration Helpful Tools” • Refer to Appendix JJ or check out NIH Research Training Opportunities,Frequently Asked Questions – NRSA Training Grants at: http://grants.nih.gov/grants/frequent_questions.htm

25. Closeout Appendices 2018 • Appendix FF Statement of Appointment- PHS 2271 • Appendix GG Termination Notice • Appendix HH ERA Xtrain Resources • Appendix II Xtrain External/Institution User Guide

26. Closeout Appendices 2018 • Appendix AA Glossary of Terms for NIH Training Grants • Appendix KK Training Grant Administration Helpful Tools • Appendix BB ROE - New Rules • Appendix LL xTrain termination notice Quick Reference • Appendix JJ Frequently Asked Questions – NRSA Training Grants