|
2. Other Direct Costs
a. Training-Related Expenses
Funds are provided to defray such training costs as staff salaries,
consultant costs, equipment, research supplies, staff travel,
and other expenses directly related to the training program.
Funds are requested and awarded as a lump sum on the basis of
the predetermined amount per predoctoral and postdoctoral trainee
approved for support. Levels are published in the NIH Guide
for Grants and Contracts. Current levels are found in Appendix
1. Interested applicants should be advised to consult the program
announcement regarding the specific level for programs such as
the short-term training program, the MARC program, or the COR
program.
Under exceptional circumstances, which can include accommodating
the disabilities of a trainee, it is possible to request institutional
costs above the standard rate. Requests for additional costs
must be explained in detail and carefully justified in the application.
Consultation with NIH program staff in advance of such requests
is strongly advised.
b. Trainee Tuition and Fees
Tuition, fees, and health insurance are allowable trainee costs
only if such charges are required of all persons in a similar
training status at the institution, without regard to their source
of support. Family health insurance is not an appropriate charge.
However, the trainee may elect personally to pay the differential
between self and family health insurance options. Tuition at
the postdoctoral level is limited to that required for specific
courses in support of the approved training program and requires
prior approval of the awarding office. For the purposes of award,
tuition, fees and health insurance are awarded together in a single
budget category. Funds are awarded based on a formula applied
to the requested level. The formula is described in Appendix
1.
c. Trainee Travel Costs
If requested by the institution, the awarding office may award
grant funds to cover the costs of trainee travel including attendance
at scientific meetings which the institution determines to be
necessary to the individual's training. Funds may not be expended
to cover the costs of travel between the trainee's place of residence
and the training institution, except that the grantee institution
may authorize a one-way travel allowance in an individual case
of extreme hardship.
In addition, support for travel to a research training experience
away from the grantee institution may be permitted. Research
training experiences away from the parent institution must be
justified considering the type of opportunities for training available,
how these opportunities differ from those offered at the parent
institution, and the relationship of the proposed experience to
the trainee's career stage and career goals. This type of research
training requires prior approval from the awarding office. Letters
requesting such training may be submitted to the awarding office
at any time during the award period.
d. Short-term
The institution may receive up to $125 per month to offset the
costs of tuition, fees, travel, supplies, and other expenses for
each short-term, health-professional research training position.
3. Rebudgeting of Funds
a. Trainee-Related Expenses
Expenditure and rebudgeting of funds awarded in lump sum for trainee-related
expenses do not require awarding office prior approval.
b. Trainee Costs
For the purposes of rebudgeting, trainee costs include stipends
and tuition and fees (including health insurance). These costs
may not be used for other purposes except under unusual circumstances
and then only with the prior written approval of the awarding
office. Rebudgeting into or within the stipends and tuition/fees
categories is allowable without awarding office prior approval.
c. Trainee Travel
For the purposes of rebudgeting, trainee travel is not considered
a trainee cost and, therefore, may be rebudgeted into any other
budget category without prior approval.
4. Expenditure of Funds
Policies governing expenditure of all training grant funds are
those permitted under the applicable cost principles and this
policy statement, unless otherwise indicated in the Notice of
Grant Award.
5. Facilities and Administrative
(F&A) Costs
The institution will receive F&A costs (previously "indirect
costs") based solely on 8% of total direct costs exclusive
of tuition and fees and health insurance, and expenditures for
equipment. Applications from State and local government agencies,
except State universities or hospitals, may receive full F&A
cost reimbursement.
6. Program Income
Policy requires applicants for NIH research grants, including
training grants, to include in their grant applications an estimate
of the amount and source of program income expected to be generated
as a result of the project for which support is being sought.
See "Administrative Requirements Management
Systems and Procedures
Program Income"
in Part II of this policy statement for policies that govern the
treatment of program income.
H. Reporting Procedures
The following documents are critical to the process of establishing
the payment of stipends and other costs, as well as the determination
of possible payback service. Failure to submit the required forms
in a timely manner may result in an expenditure disallowance or
a delay in any continuation funding for the award.
1. Statement of Appointment (Form
PHS 2271)
a. Grantee Submission
The institution must submit this form to the NIH awarding office
prior to or at the start of each trainee's appointment or reappointment.
No stipend or other allowance may be paid until the appointment
form has been submitted. If the support covers the individual's
initial 12 months of postdoctoral support, a signed Payback Agreement
must also be submitted. It is important to note that the information
on the Statement of Appointment and the Termination Notice is
the basis for determination of the length or amount of an individual's
payback requirement. An accurate social security number should
be included on the Statement of Appointment and all other documents.
The program director and the institutional financial officials
should coordinate the information reported on the Statement of
Appointment. It should be treated as a financial document for
obligating costs (stipends) which later are reflected on the Termination
Notice and as part of the total costs in the Financial Status
Report. A supply of Statement of Appointment Forms (PHS 2271)
is provided to the program director by the awarding office. In
FY96, NIH began piloting the electronic receipt of the information
on the PHS 2271. A number of grantee institutions are currently
testing this system.
b. Interim Revisions
Any changes or corrections involving a trainee appointment under
an institutional grant, such as, name, permanent mailing address,
period of training, stipend support, must be reported by the training
program director to the awarding office on an amended PHS-2271
at the time of the change.
2. Payback Agreement (Form PHS 6031)
A National Research Service Award Payback Agreement must be signed
by each postdoctoral individual for whom the appointment covers
his/her initial 12 months of postdoctoral NRSA support. If the
individual has already received 12 months of postdoctoral support
under any NRSA grant or award, this form is not required. No
Payback Agreement is required for predoctoral or prebaccalaureate
trainees. For detail on NRSA payback, see Section IV.
3. Termination Notice (Form PHS 416-7)
The Termination Notice (Form 416-7) is the basis (along with the
Statement of Appointment Form) for validating the total period
of NRSA support and the amount of payback obligation (if any)
for each NRSA trainee. For an institutional award, the awarding
office sends the program director a supply of Termination Notices
on an annual basis. The program director is responsible for the
submission of a Termination Notice on each trainee immediately
upon the termination of his/her support.
4. Consecutive Support
If a trainee switches from one NRSA grant mechanism to another,
including from one awarding office to another, the requirement
for payback service incurred is deferred until the total NRSA
support is completed. All Statement of Appointment forms are
reviewed to determine if previous NRSA support has been provided.
I. Progress Reports, Financial Status
Reports, and Changes in the Project
1. Progress Reports
Progress reports must be submitted with all applications for non-competing
continuation support in accordance with the instructions accompanying
the application forms. Incomplete or inadequate progress reports
may be returned for revision and may result in a delay of continued
support. In addition, a final progress report must be submitted
to the awarding office within 90 days after the end of a final
competing segment of a project period.
2. Financial Status Report (FSR)
A FSR is required for all institutional grants no later than 90
days after the close of each budget period. This report will
document the financial status of the grant according to the official
accounting records of the grantee institution. Trainee stipends
and tuition are obligated for the full 12-month appointment from
the budget period in which the appointment is initiated. Portions
of stipends and tuition that extend beyond the budget period are
carried over as unliquidated obligations. However, the report
for the final budget period must have no unliquidated obligations
and must indicate the exact balance of unobligated funds.
3. Changes in the Project
a. Changes in the program objectives as they relate to the area
of research training for which the grant was approved require
prior approval from the NIH awarding office.
b. Where absence of the program director is expected to exceed
a continuous period of more than three months, plans for the conduct
of the program during his or her absence must be approved in writing
by the awarding office. Any proposed change of program director
must be requested by the grantee institution and be approved in
writing by the awarding office following review of the nominee's
qualifications and re-evaluation of the project in the light of
the proposed change.
c. Institutional grants are not transferred from one domestic
institution to another except under most unusual circumstances.
Such a change will generally be approved only if all of the major
benefits attributable to the original grant can be transferred
and there is no negative impact on trainees active in the program.
J. Other Terms and Conditions
1. Leave
a. Vacations and Holidays
Trainees may receive the same vacations and holidays available
to individuals in comparable training positions at the grantee
or sponsoring institution. Trainees shall continue to receive
stipends during vacations and holidays. At academic institutions,
the time between semesters or academic quarters is generally considered
an active part of the training period.
b. Sick Leave and Other Leave
Trainees may continue to receive stipends for up to 15 calendar
days of sick leave per year. Under exceptional circumstances,
this period may be extended by the awarding office in response
to a written request from the training program director or the
sponsor. Sick leave may be used for the medical conditions related
to pregnancy and childbirth.
c. Parental Leave
Trainees may also receive stipends for up to 30 calendar days
of parental leave per year for the adoption or the birth of a
child when those in comparable training positions at the grantee
or sponsoring institution have access to paid leave for this purpose.
Either parent is eligible for parental leave. For trainees,
the use of parental leave must be approved by the training program
director.
A period of terminal leave is not permitted and payment may not
be made from grant funds for leave not taken.
d. Unpaid Leave
Individuals requiring extended periods of time away from their
research training experience, which could include more than 15
calendar days of sick leave or more than 30 calendar days of parental
leave must seek approval from the awarding office for an unpaid
leave of absence. Approval for a leave of absence must be requested
in advance by the training grant program director and be countersigned
by an authorized institutional official.
During a leave of absence, documentation to suspend the period
of appointment must be completed by submitting an amended Statement
of Appointment Form and a Termination Notice. These forms should
be submitted to the awarding office at the beginning of the leave.
At the resumption of NRSA support, the reappointment must be
documented on another Statement of Appointment Form.
2. Termination
A training grant may be terminated prior to its normal expiration
date at the written request of the recipient, or by the Director,
NIH, if it is found that the recipient has materially failed to
comply with the terms and conditions of the award or to carry
out the purpose for which it was made. In the event an award
is terminated for cause, the Director, NIH, shall notify the awardee
in writing of this determination, the reasons therefore, the effective
date, and the right to appeal the decision.
3. Publications
Trainees are encouraged to submit reports of their findings for
publication to the journals of their choice. Responsibility for
direction of the project should not be ascribed to NIH. However,
awarding office support must be acknowledged by a footnote in
language similar to the following: "This Investigation was
supported by National Institutes of Health, National Research
Service Award (number) from the (awarding office)." In addition,
it is now mandated that all grantees funded with Federal dollars,
in whole or in part, acknowledge Federal funding when issuing
statements, press releases, requests for proposals, bid solicitations
and other documents. Grantees are required to state (1) the percentage
and dollar amounts of the total program or project costs financed
with Federal money, and (2) the percentage and dollar amount of
the total costs financed by nongovernmental sources.
4. Copyright
Except as otherwise provided in the conditions of the award, when
publications or similar copyrightable materials are developed
from work supported by NIH the author is free to arrange for copyright
without awarding office approval. Any such copyrighted material
shall be subject to royalty-free, nonexclusive, and irrevocable
license to the Government to reproduce them, translate them, publish
them, use and dispose of them, and to authorize others to do so
for Government purposes.
5. Patents
No training grant made by NIH primarily to an awardee for educational
purposes will contain any provision giving NIH any rights to inventions
made by the awardee.
6. Disposition of Professional Fees
Fees resulting from clinical practice, professional consultation,
or other comparable activities performed pursuant to the purpose
of the award may not be retained by the trainee/fellow. Such
fees will be assigned to the grantee institution for disposition
in accordance with NIH policy on grant-related (program) income
(see
"Administrative Requirements Management
Systems and Procedures
Program Income"
in Part II of this policy statement). The term "professional fees"
does not apply to honoraria, fees for scholarly writing, delivery
of occasional outside lectures, or service in an advisory capacity
to public or private non-profit organizations. These fees, if
within institutional policy, may be retained by the awardee.
7. Human Subjects/Animal Welfare/Recombinant
DNA
a. Human Subjects
The HHS regulations for the protection of human subjects provide
a systematic means, based on established, internationally recognized
ethical principles, to safeguard the rights and welfare of individuals
who participate as subjects in research activities supported or
conducted by the HHS. If the applicant organization has an approved
Assurance of Compliance on file with OPRR but, at the time of
application, plans for the involvement of human subjects are so
indefinite that Institutional Review Board (IRB) review and approval
are not feasible, the grantee should check "Yes" and
insert "Indefinite" on the face page of the application.
If an award is made, human subjects may not be involved until
a certification of IRB approval or designation of exemption has
been submitted.
In many instances, trainees supported by institutional training
grants will be participating in research supported by research
project grants for which the IRB review is already completed or
an exemption is already designated. This review or exemption
designation is sufficient, providing the research would not be
substantially modified by the participation of a trainee. The
appropriate grants must be identified along with their IRG review
dates or exemption designation.
For additional information on human subjects requirements, please
refer to the Individual NRSA application kit or contact the Office
for Protection from Research Risks, National Institutes of Health,
6100 Executive Blvd., Suite 3B01, Mail Stop Code 7507, Bethesda,
MD 20892-7507, Telephone: (301) 496-7041.
b. Vertebrate Animals
The PHS Policy on
Humane Care and Use of Laboratory Animals
requires that grantee institutions (foreign or domestic) proposing
to use vertebrate animals file a written Animal Welfare Assurance
with the Office for Protection from Research Risks (OPRR), establishing
appropriate policies and procedures to ensure the humane care
and use of live vertebrate animals involved in research activities
supported by NIH. If the applicant organization has an approved
Assurance of Compliance on file with OPRR but, at the time of
application, plans for the involvement of vertebrate animals are
so indefinite that Institutional Animal Care and Use Committee
(IACUC) review and approval are not feasible, the grantee should
check "Yes" and insert "Indefinite" on the
face page of the application. If an award is made, vertebrate
animals may not be involved until verification of the IACUC approval
date has been submitted to the NIH awarding office.
In many instances, trainees supported by institutional training
grants will be participating in research supported by research
project grants for which the IACUC review is already completed.
This review is sufficient, providing the research would not be
substantially modified by the participation of a trainee. The
appropriate grants must be identified along with their IACUC review
dates.
For additional information on vertebrate animals requirements,
please refer to the PHS 398 application kit or contact the Office
for Protection from Research Risks, National Institutes of Health,
6100 Executive Blvd, Suite 3B01, Mail Stop Code 7507, Bethesda,
MD 20892-7507, Telephone: (301) 496-7163.
c. Recombinant DNA
The current NIH Guidelines for Research Involving Recombinant
DNA Molecules and announcements of modifications and changes
to the Guidelines are available from the Office of Recombinant
DNA Activities, National Institutes of Health, Bethesda, MD 20892.
All research involving recombinant DNA techniques that is supported
by the HHS must meet the requirements of these Guidelines.
IV. Payback Reporting Requirements
for Recipients
A. Purpose and Background
The National Research Service Award (NRSA) legislation requires
some recipients of support to pay back the Federal Government
by engaging in health-related biomedical or behavioral research
including the direct administration or review of health-related
research, health-related teaching, or any combination of these
activities. Recent policy changes have significantly broadened
the definition of "health-related." See Section C.1.a.(3)
for a complete interpretation.
The National Institutes of Health (NIH) Revitalization Act of
1993, signed into law on June 10, 1993, includes provisions in
Section 1602 that substantially modify the service payback requirement
for individuals supported by the NRSA. For research training
grants, these new provisions are applicable to all new appointments
or re-appointments on or after June 10, 1993. For individual
fellowships, these provisions apply to all fellowship awards beginning
on or after June 10, 1993. For competing fellowships, the award
beginning date refers to the award activation date.
An individual who was appointed to a research training grant or
who had a fellowship award activated before June 10, 1993 would
be governed by the service payback provisions in effect at the
time of the appointment or award until the end of that appointment
or budget period.
B. Implementation
The incurrence of a payback obligation for an NRSA recipient is
solely dependent upon when NRSA support was received.
1. Prior to August 13, 1981
Prior to August 13, 1981 (enactment of the Omnibus Reconciliation
Act), a payback obligation existed for all prebaccalaureate, predoctoral,
and postdoctoral support received.
2. Effective August 13, 1981
Effective August 13, 1981, a 12-month legislative allowance
waiving payback obligation for the first 12 months of support
was enacted for all predoctoral and postdoctoral trainees/fellows.
This legislation provided that all trainees/fellows who were
not in delinquent status on that date received the allowance (this
was retroactive to the beginning of the NRSA program). Individuals
in delinquent status continued to have a payback obligation for
all support received. This legislative change also eliminated
the payback obligation for prebaccalaureate recipients.
Historically, short-term trainees supported by the T35 mechanism
(NRSA Short-Term Training) incurred no payback obligation. However,
for short-term trainees supported within a T32 program, the period(s)
of support accrued and ultimately counted toward the total NRSA
support.
3. Effective June 10, 1993 (NIH Revitalization
Act):
a. Predoctoral Recipients
For predoctoral trainees beginning appointments and for
predoctoral fellows activating awards on or after June
10, 1993, no payback obligation is incurred. Thus a Payback Agreement
Form (PHS 6031) is no longer required.
b. Postdoctoral Recipients
For postdoctoral recipients, a payback obligation is incurred
for the first 12 months of NRSA support with the 13th and subsequent
months of postdoctoral support serving to pay back this
obligation on a month by month basis. A Payback Agreement Form
(PHS 6031) is still required but only for the initial 12-month
postdoctoral support period.
The requirements established by the Revitalization Act also provide
that the 13th and subsequent months of postdoctoral NRSA supported
research training will be used to discharge any prior
postdoctoral NRSA service payback obligation. See Section
IV.C.1.c., Initiation of Payback Service, for detailed changes
effective with the Act.
c. Short-term Training
Any predoctoral short-term training would not incur a payback
obligation. Postdoctoral short-term training would incur a payback
obligation. Any support would accrue along with any subsequent
postdoctoral support until the first twelve months was established.
At that point, the 13th and subsequent months of support would
serve to offset the obligation on a month-by-month basis. In
the event that subsequent postdoctoral support was not received,
the individual would have an obligation which would have to be
paid back in the traditional manner.
C. Payback
The NIH awarding office generally assumes responsibility for handling
payback activities once the Termination Notice has been submitted
and accepted. For some awarding offices, the NIH NRSA Payback
Service Center assumes this responsibility. Established in the
National Institute of General Medical Sciences effective October
1, 1995, the Payback Service Center personnel represent the NIH's
experts in the NRSA Payback arena. For those awarding offices
participating in the Center, the authorities normally delegated
to the awarding office are automatically delegated to the Chief,
NRSA Payback Service Center.
Most NRSA recipients eventually fulfill their payback obligation
by engaging in activities which are determined to be acceptable
service. Some recipients fulfill their obligation via financial
payback. On rare occasions waivers of the payback obligation
are granted.
As indicated in Section IV.B above, the amount of a payback obligation
incurred is solely dependent upon when NRSA support was received.
Timing of NRSA support is also a factor on the type of service
that qualifies as acceptable payback.
1. Service Payback
a. Definitions
For the purpose of fulfilling the NRSA service payback obligation,
the following definitions apply:
(1) Research
Research is defined as an activity which involves the design of
experiments, development of protocols, and collection and interpretation
of data. In addition, review of original research or administration
of original research which includes providing scientific direction
and guidance to research may be acceptable if a doctoral degree
and relevant research experience is required for individuals filling
such positions. Such research can be conducted in an academic,
government, commercial or other environment in either a foreign
or domestic setting.
In addition, when consistent with the cumulative amount, type,
and frequency of research or research training experiences, functions
which involve analytic or other technical activities conducted
in direct support of research, as defined above, will also satisfy
the service payback obligation.
(2) Teaching
Teaching is an instructional activity that takes place in an organized
educational or other instructional environment. Activities classified
as teaching are generally carried out in a formal didactic setting
but other activities will be considered if they are consistent
with the certifying institution's policy on the definition of
teaching responsibilities. Such teaching can be conducted at
universities, professional schools, research institutes, teaching
hospitals, primary schools, secondary schools or colleges. When
calculating hours of teaching per week, it is permissible to include
three hours of preparation time for each hour of direct instruction.
Acceptable teaching activities must have a biomedical or health-related
relevance.
(3) Health-Related
This incorporates a broad range of activities related to the description,
diagnosis, prevention or treatment of disease from the most basic
biomedical or behavioral research to the most applied or clinical
research. In addition to fields usually considered to be directly
related to human disease, activities in other fields such as agriculture,
environmental sciences, biotechnology, and bioengineering will
also be considered health related.
b. Time Commitment
All acceptable activities must be undertaken for periods that
average at least 20 hours per week. Total employment in such
activities averaging less than 20 hours per week cannot be counted
towards fulfilling the obligation except in cases of disability
or other pressing personal or family circumstances such as child
care or elder care responsibilities. It is not permissible for
individuals otherwise engaged in full-time employment to engage
in service payback activities at effort levels below 20 hours
per week.
If less than 20 hours commitment per week is permitted, the total
period of service obligation will be prorated. For example, an
individual who owes 12 months of service and can devote only 10
hours per week to service payback activities due to a disability
will be required to engage in such service for 24 months. These
exceptions are rare and must receive prior approval from the awarding
office.
c. Initiation of Payback Service
(1) Support Received Prior to NIH
Revitalization Act
For NRSA recipients who incurred a payback obligation from support
received prior June 10, 1993, payback service must be performed
following completion of NRSA support. No amount or type of activity
prior to or during the period of NRSA support will satisfy the
NRSA service payback obligation. However, payback service may
be initiated immediately after termination from NRSA if the research
or teaching activities meet the criteria cited above.
(2) Support Received Post-NIH Revitalization
Act
Beginning with awards operating under the NIH Revitalization Act
(appointments on or after June 10, 1993), service payback obligations
for postdoctoral recipients may be discharged in the following
ways:
(a) By receiving an equal number of months of postdoctoral NRSA
support beginning in the 13th month of such postdoctoral NRSA
support;
(b) By engaging in an equal number of months of health-related
research, training and/or teaching averaging more than 20 hours
per week.
(c) Trainees and fellows beginning appointments for the 13th and
subsequent month of POSTDOCTORAL NRSA support on or after June
10, 1993 will be engaging in service which will also satisfy prior
postdoctoral NRSA service payback obligation. Post-award
service in non-NRSA supported health-related research, training,
and/or teaching, is creditable toward any NRSA service payback
obligation.
(d) Individuals who have completed their predoctoral NRSA training
and have an existing NRSA service payback obligation are still
required to engage in service payback or make financial repayment.
Postdoctoral NRSA support may not be used to satisfy an
existing predoctoral payback obligation.
d. Source of Funding
The source of funds supporting an individual's service payback
activity is not restricted beyond the fact that for predoctoral
payback activities it must not be supported by NRSA. An individual
could be supported by a PHS grant or from any non-NRSA Federal
or non-Federal source. Unpaid service is also permitted.
e. Timing of Service Obligation
An individual must begin to undertake the payback service requirement
within two years after the termination date of the individual's
NRSA support unless an extension of time to begin payback has
been approved by the awarding office (see Section IV.C.4.a).
2. Alternative Service
Alternative service in lieu of research and teaching was deleted
by the Omnibus Budget Reconciliation Act of 1981. Individuals
who entered the NRSA program on or after August 13, 1981, the
date the Act was signed, are not eligible for alternative service.
Individuals who entered the NRSA before August 13, 1981 are governed
by the alternative service provisions in effect when their appointment
started. Additional information concerning alternative payback
service is available from the awarding office.
3. Financial Payback
a. Policy and Principal Calculation
If any individual to whom the requirement for service is applicable
fails to undertake or perform such services, the United States
Government shall be entitled to recover from the individual the
amount determined in accordance with the following formula plus
interest:
A = O (t-s)
(t)
Where "A" is the amount the United States is entitled
to recover, "O" is the sum of total amount paid to the
individual under the National Research Service Award support;
"t" is the total number of months in service obligation,
and "s" is the number of months of such obligation served.
The total paid to the individual under institutional grants and
individual awards at domestic, non-federal sponsoring institutions
is considered to be the stipend only. The total paid an individual
under a fellowship award at a foreign sponsoring institution includes
the payment for the round trip travel costs. The total paid an
individual under a fellowship award at a Federal sponsoring institution
includes any money expended from the institutional allowance provided
for such purposes as health insurance, travel, tuition, and fees.
b. Interest & Interest Rate Calculation
NIH computes interest on the principal amount beginning on the
date the U.S. became entitled to recover stipends. The interest
rate is the rate fixed by the Secretary of the Treasury after
taking into consideration prevailing consumer rates of interest.
Accordingly, interest may be accruing on any NRSA obligation
if the two-year grace period has passed, or if deferment has expired,
or if service has terminated before completion of the payback
obligation. The Department of the Treasury certifies NRSA interest
rates on a quarterly basis. Interest is computed on a 360 day-a-year
basis and is applied through the date of receipt. Any outstanding
amount will continue to bear interest at the initial rate set
by the Secretary of the Treasury until financial payback is complete.
Determination of the "date" which sets the applicable
rate of interest is dependent upon the type of NRSA account received
for collection. If Financial Payback is Voluntary, the signature
date of the notification of voluntary payback is the "date"
that determines the interest rate as well as the initiation of
the three year repayment period. If Financial Payback is Involuntary,
the "date" which determines the interest rate and the
three-year repayment period is the date of expiration of the two-year
period following the termination of NRSA support. For example,
if during June 1991, OFM received an account reflecting January
31, 1989 as the termination date of NRSA support, the Government,
lacking any documentation to the contrary, becomes entitled to
financial payback effective February 1, 1991. The rate of interest
applicable is determined based on the February 1, 1991 date and
the total NRSA obligation is required to be fulfilled by January
31, 1994.
The amount to be recovered financially, as determined from the
Termination Notice plus applicable interest, shall be paid to
the United States within the three-year period following such
date.
4. Extensions of Payback
The National Research Service Award legislation and the promulgating
regulation (42 CFR Part 66) authorize the Secretary to make exceptions
to certain requirements under the Act.
a. Extensions of the Two-Year Period
to Initiate Payback
Frequently, an APAC is returned requesting an extension of the
two-year period to initiate payback. Indication of valid plans
to initiate payback soon after the two-year grace period may be
good reason to grant an extension.
b. Basis for Extensions
The awarding office may extend the period for undertaking payback
service or permit breaks in continuous service. These determinations
are based on the following criteria:
(1) an extension or break in service is necessary so the individual
may complete his or her research or clinical training;
(2) the individual is unable to complete the requirements within
the specified period because of a temporary disability; or
(3) completion by the individual of the requirement within the
specified period would involve substantial hardship to the individual
and that failure to extend the period would be against equity
and good conscience.
Reasons for an extension or break in service include such things
as completing residency training, where clinical teaching or research
are not an integral part of their training, or individuals seeking
employment that would fulfill the payback requirements.
Requests must be made in writing (separate letter or Annual Payback
Activities Certification (APAC)) to the awarding office, specifying
the need for additional time and the length of the required extension.
c. Extension to Complete Payback
Service
The awarding office may approve or disapprove requests to extend
the period of payback service or permit breaks in continuous service.
Decisions to permit breaks in service are based on the criteria
described in Section IV.C.4.b above.
5. Waiver
a. Policy
The National Research Service Award legislation and the promulgating
regulation (42 CFR Part 66) authorize the Secretary to make exceptions
to certain requirements under the Act. For waiver requests, NIH
may waive, in whole or in part, the payback obligation, upon determination
that compliance by the individual is impossible or would involve
substantial hardship, and enforcement of the obligation to that
individual would be against equity and good conscience.
b. Waiver Criteria
Requests for waivers should be made in writing to the awarding
office and explain the need for the waiver according to the following
criteria:
(1) Compliance by an individual will be deemed impossible if the
individual is permanently and totally disabled;
(2) In determining whether compliance would involve substantial
hardship to the individual and would be against equity, the Director,
NIH (or designee) shall take into consideration:
(a) the individual's financial resources and obligations at the
time of request for a waiver;
(b) the individual's estimated future financial resources and
obligations;
In rare cases, the following might also be considered:
(c) the reasons for the individual's failure to complete the requirements
within the prescribed period, such as problems of a personal nature;
(d) the extent to which the individual has engaged in payback
activities;
(e) whether the individual has received sufficient training to
be qualified to perform such activities;
(f) the lack of employment opportunities appropriate to the individual's
education and training; and
(g) any other extenuating circumstances.
(3) Any obligation of any individual toward payback will be canceled
upon death of the individual.
D. Certification of Payback Activities
1. Annual Payback Activities Certification
(Form PHS 6031-1)
a. Annual Certification
Payback service is certified through the use of the Annual Payback
Activities Certification (APAC) form (PHS 6031-1). Individuals
with an outstanding payback obligation, must complete an APAC
annually until their payback obligation is fulfilled.
The APAC is sent by NIH approximately one year after the completion
of NRSA support, if an individual has incurred a payback obligation.
Payback service may be initiated within the first 12 months of
termination even though trainees/fellows have up to 24 months
to initiate payback. There is no penalty to those individuals
who do not initiate payback within the first 12 months; however,
it is critical that they complete an APAC form to ensure contact
is maintained and addresses are current.
On this form, the individual will report the activity in which
he or she was engaged for the preceding 12 months, within the
specified "reporting period". These forms are to be
returned within 30 days of the reporting period end date to:
Data Management Control Section, OER
National Institutes of Health
Rockledge II, Room 1010
6701 Rockledge Drive MSC 7715
Bethesda, MD 20817-7715
Forms are then forwarded to the awarding office who will then
review the activity and make a decision on its acceptability and
inform the former trainee/fellow of the decision. This process
will continue annually until the individual's total payback obligation
is satisfied.
b. Change of Address
Any change in the mailing address of a NRSA recipient must be
reported promptly to the awarding office until the service obligation
is fully discharged.
2. Breaks in NRSA Support
Sometimes a trainee/fellow will have a period of non-NRSA support
between two NRSA awards. An appropriate activity performed during
this period of time may count for payback purposes toward the
first NRSA award. If the non-support period is six months or
longer, the individual receives an Annual Payback Activities Certification
(APAC) form through the regular mechanism. However, if the break
is less than six months, an APAC will not be automatically mailed.
If acceptable payback service was performed during the break,
the individual may complete an APAC, which can be obtained from
the awarding office, to document the payback service.
3. National Health Service Corps
Occasionally, an NRSA recipient will have previously been a National
Health Service Corps (NHSC) scholar. Legislation provides authority
for holders of both awards to pay back the obligation of the two
sources of support concurrently. Therefore, activities which
qualify as NRSA payback will also serve as payback for the NHSC
obligation. However, no Legislative Allowance is provided for
NHSC service; e.g., 36 months of NRSA support (prior to June 10,
1993) and 36 months of NHSC support would require 24 months of
NRSA payback service and 36 months of NHSC service respectively.
The awarding office monitors both obligations until they are
both satisfactorily completed.
APPENDIX 1-NRSA FINANCIAL
PROVISIONS
Costs are normally provided based on a 12-month budget period.
Awards for less than 12 months are prorated accordingly.
A. STIPENDS
Reference: NIH Guide for Grants and Contracts.
Annual stipend levels apply to all individuals receiving support
through Institutional or Individual NRSA grants and are published
in the NIH Guide for Grants and Contracts. These levels
also apply to Minority Access to Research Career (MARC) and Career
Opportunities in Health (COR) programs. Supplementation, or retroactive
adjustments, with NRSA funds to accommodate changes in stipend
levels is unallowable. Note, the annual level for postdoctoral
recipients is determined by the number of full years of relevant
postdoctoral experience at the time of the appointment/award.
B. TRAINING RELATED EXPENSES (TRE) - Institutional
Training Grants
Sometimes referred to as "Above the Line Costs" or "Other
Expenses", TRE funds are awarded to help defray the costs
of other training related expenses such as staff salaries, consultant
costs, equipment, research supplies and staff travel. TRE is
generally requested in a lump sum, based on the number of trainees
requested in the application, and entered on the budget page without
further stipulation. Current levels are up to $1,500 per year
for each predoctoral trainee, and up to $2,500 per year for each
postdoctoral trainee. The training related expenses for specialized
programs such as MARC & COR are referenced in the specific
program announcements.
C. INSTITUTIONAL ALLOWANCE - Individual Fellowships
Reference:
NIH Guide for Grants and Contracts, Vol. 26,
No. 1, January 10, 1997
Provided annually to help defray the costs for the individual
fellow. Section II.G.2.a.(1) describes in detail what are considered
acceptable costs for individual fellowships depending on the training
site. Note however, beginning in FY97, for postdoctoral fellowships,
tuition & fees (except health insurance), when applicable,
are no longer included as part of the institutional allowance.
That cost will be awarded in accordance with the tuition policy
described below. The cost of self-only health insurance itself
will continue to be charged to the Institutional Allowance.
1. For new, competing fellowships, funded in FY 97 and henceforth,
institutional allowance will be provided for all years as follows:
Predoctoral: Up to $4,000. Note, many awarding offices provide
individual predoctoral fellowships with a reduced institutional
allowance (usually $2,000) since costs for tuition, fees and health
insurance are awarded separately. Specific program announcements
and/or awarding offices should be contacted for guidance.
Postdoctoral: Up to $4,000 (For fellows at non-federal, non-profit,
or foreign institutions)
Up to $3,000 (For fellows at Federal laboratories or for-profit
institutions)
2. For non-competing fellowships funded in FY97, institutional
allowance will continue to be awarded at levels previously determined.
For those grants involving tuition & fees (including health
insurance), these costs will continue to be paid under the previous
policy guidelines. For postdoctoral fellows these costs will
continue to be part of the institutional allowance. For predoctoral
fellows, specific programmatic guidelines should be consulted.
Predoctoral: Up to $4,000
Postdoctoral: Up to $3,000
D. TUITION AND FEES
References:
NIH Guide for Grants and Contracts, Vol. 25, No. 2, February
2, 1996
NIH Guide for Grants and Contracts, Vol. 25, No. 31, September
20, 1996
NIH Guide for Grants and Contracts, Vol. 26, No. 1, January
10, 1997
Beginning in FY96, the NIH announced a new policy for the reimbursement
of tuition costs. Note, applicant institutions are instructed
to continue to request the full amount of these costs in competing
applications. Awarding office staff will apply the reimbursement
formula at the time of an award.
1. Institutional Grants
a. For competing awards issued in FY96 and henceforth, combined
costs of tuition, fees and self-only health insurance are reimbursed
at the following per trainee rate: 100% of all costs up to $2,000
and 60% of costs above $2,000. Future years provide no escalation.
b. Non-competing awards funded in FY96 will continue to be reimbursed
at established levels until such time as they recompete.
2. Individual Postdoctoral Fellowships
a. For competing awards issued in FY97 and henceforth, when applicable,
tuition and fees (excluding health insurance) is reimbursed at
the following rate: 100% of all costs up to $2,000 and 60% of
costs above $2,000. Future years provide no escalation.
b. Non-competing awards funded in FY97 will continue to be reimbursed
at previously established levels.
3. Individual Predoctoral Fellowships
Reimbursement of tuition and fees (including health insurance)
varies among the NIH awarding offices. Therefore, specific program
announcements and/or awarding offices should be contacted for
guidance.
a. When tuition, fees and health insurance is awarded as a separate
cost, for competing awards issued in FY97 and henceforth, this
cost will be reimbursed at the following rate: 100% of all costs
up to $2,000 and 60% of costs above $2,000. Future years provide
no escalation.
b. Non-competing awards funded in FY97 will continue to be reimbursed
at previously established levels.
E. SHORT-TERM TRAINING - Students in Health Professional
School
Most short-term trainees are funded at the predoctoral stipend
level. The current monthly level is $958. Up to $125 per month
for each participating student may be requested to defray other
costs of training such as staff salaries, consultant costs, research
supplies, tuition, travel etc. Some NIH awarding offices provide
short-term training at the postdoctoral level as well. Specific
program announcements and awarding offices should be contacted
for guidance.
APPENDIX 2-RECEIPT, REVIEW,
AND AWARD SCHEDULE
Application Receipt Dates
|
Review and Award Schedule
|
|---|
| All Institutional National Research Service Awards* |
Scientific Merit
Review |
Advisory Council
Review |
Earliest Award |
| January 10 | June/July
| September/October | December
|
| May 10 | October/November
| January/February | April |
| September 10 | February/March
| May/June | July |
| | |
|
| Individual National Research Service Awards (Fellowships) |
|
Initial Review Dates |
Range of Likely
Start Dates
|
| April 5 |
| June/July | September/December
|
| August 5 |
| October/November | January/March
|
| December 5 |
| February/March | May/July |
*Some Institutes have only 1 or 2
receipt dates for Institutional Training Grants. They are:
| Institute/Center |
Application Receipt Date(s) |
|---|
|
| NIA | May 10 |
| NIAAA | May 10 |
| NIAID | September 10 |
| NIAMS | May 10 |
| NICHD | May 10 |
| NIDA | May 10 |
| NIDCD | May 10 |
| NIDR | September 10 |
| NEI | May 10 |
| NIEHS | May 10 |
| NHLBI | May 10 |
| NHGRI | May 10 |
| NIMH (except Office of AIDS) | May 10 |
| NINDS | May 10 |
| NINR | May 10 |
|
Applicants are encouraged to confirm
the application receipt dates by calling the appropriate Institute
or Center Review Office. Specific NRSA programs may change their
receipt dates to complement Institute workloads.
APPENDIX 3-NRSA
FORMS
Research Fellowship Activation Notices (PHS 416-5) are
automatically mailed with applicable Notice of Grant Awards.
Additional forms are available from the Grants Management Office
of the awarding IC.
Statement of Appointment Forms (PHS 2271) are automatically
mailed with applicable Notice of Grant Awards. Additional forms
are available from the Grants Management Office of the awarding
IC.
NRSA Payback Agreements (PHS 6031) are automatically mailed
with applicable Notice of Grant Awards. Additional forms are
available from the Grants Management Office of the awarding IC
NRSA Termination Notices (PHS 416-7) are automatically
mailed with applicable Notice of Grant Awards. Additional forms
are available from the Grants Management Office of the awarding
IC.
NRSA Annual Payback Activities Certifications (PHS 6031-1)
are automatically mailed annually to applicable recipients.
|
|
