NIH Grants Policy Statement
(12/03)
Part II: Terms and Conditions of NIH Grant Awards
Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities -- File 2 of 5
Insurance Requirements
Immediately upon completion of construction, a
nongovernmental grantee shall, at a minimum, provide the same type of insurance
coverage as it maintains for other property it owns, consistent with the
minimum coverage specified below. “Completion of construction” means either the
point at which the builder turns the facility over to the grantee (e.g., the
date of the final acceptance of the building) or the date of beneficial
occupancy, whichever comes first.
If title to real property
acquired with NIH grant funds vests in the grantee, the following minimum
insurance coverage is required:
l Title
insurance policy that insures the fee interest in the real property for an
amount not less than the full appraised value of the property. When the Federal
participation in the construction of real property covers only a portion of a
building, title insurance should cover the total cost of the facility to
prevent liens on the unsecured portion from having an adverse impact on the
portion with a Federal interest. In those instances where the grantee already
owns the land, such as a building being constructed in the middle of a campus
setting, in lieu of a title insurance policy, the grantee may provide evidence
satisfactory to the NIH awarding office, such as legal or title opinion, that
it has good and merchantable title free of all mortgages or other foreclosable
liens to all land, rights of way, and easements necessary for the project. In
instances where a grantee is given land by the State, if the State recently
acquired the land in a land swap transaction, the grantee should obtain title
insurance. However, if the State has owned the land for a considerable period
of time, title insurance would not be necessary; a copy of the State documents
giving the land to the grantee would be sufficient. If the grantee must buy the
land on which to build, a legal opinion would not be sufficient; title
insurance must be obtained in order to protect the Federal interest in the
building to be constructed.
l Physical
destruction insurance policy that insures the full appraised value of the
facility from risk of partial and total physical destruction. When the Federal
participation in the construction or renovation of real property covers only a
portion of a building, the insurance should cover the total cost of the
facility, because any damage to the building could make the building unusable
and could thus affect the Federal interest. The insurance policy is to be
maintained for the duration of the Federal interest in the property (usually 20
years) (see “Real Property Management Standards—Use
and Disposition” in this section). The cost of insurance coverage after the
period of grant support must be borne by a source other than the grant that
provided the funds for the construction or renovation. The grant account will
not remain active for this purpose.
Governmental grantees may follow their own insurance
requirements. Federally owned property provided to a grantee for use need not
be insured by the grantee.
Within 5 days of completion or beneficial occupancy, the
grantee shall submit, to the GMO, a written statement signed by the AOO
assuring that the grantee has purchased the required insurance policies on the
NIH-funded facility and will maintain the insurance coverage at the full
appraised value of the facility throughout the period of Federal interest as
specified in the NGA.
The NIH awarding office may waive one or both of the
requirements above if the grantee shows that it is effectively self-insured
against the risks involved. The term “effectively self-insured” means that the
grantee has sufficient funds to pay for any damage to the facility, including
total replacement if necessary, or to satisfy any liens placed against the
facility. If the grantee claims self-insurance, the grantee must provide to NIH
assurance that it has sufficient funds available to replace or repair the
facility or to satisfy all liens. This certification should state the source of
the funds, such as the organization’s endowment or other special funds set
aside specifically for this purpose.
RUTH L. KIRSCHSTEIN NATIONAL RESEARCH
SERVICE AWARDS [17]This section includes general information about and
application requirements for Kirschstein-NRSA individual fellowships and
institutional research training grants. For Kirschstein-NRSA individual
fellowships, this section includes coverage of the public policy requirements concerning
human subjects, including data safety and monitoring requirements; inclusion in
research of women, minorities, and children; human embryonic stem cells; animal
welfare; recombinant DNA molecules and human gene transfer; responsible conduct
of research; and acknowledgment of funding. The detailed coverage of these
public policy requirements is found in Subpart A. For institutional research
training grants, other requirements of Subpart A also apply; this section of
Subpart B mentions the applicable requirements with cross-references to Subpart
A.
Section 487 of the PHS Act (42 U.S.C. 288) provides
authority for NIH to award Kirschstein-NRSA individual fellowships to support
predoctoral and postdoctoral training of individuals to undertake biomedical,
behavioral, or clinical research at domestic and foreign, public and private
institutions (profit and non-profit). Section 487(a)(1)(B) authorizes
Kirschstein-NRSA institutional research training grants and limits
institutional Kirschstein-NRSA support to training and research at public and
non-profit private entities. The legislation requires recipients to pay back to
the Federal government their initial 12 months of Kirschstein-NRSA postdoctoral
support by engaging in health-related biomedical, behavioral and/or clinical
research, research training, health-related teaching, or any combination of
these activities. (See “Payback
Reporting Requirements” in this section). The regulations at 42 CFR
Part 66 apply to these awards.
The Kirschstein-NRSA program is conducted in compliance with
applicable laws that provide that no person shall, on the grounds of race,
color, national origin, handicap, or age, be excluded from participation in, be
denied the benefits of, or be subjected to discrimination under any program or
activity (or, on the basis of sex, with respect to any education program or
activity) receiving Federal assistance. Applicant organizations are required to
have appropriate Assurance of Compliance forms filed with HHS’s OCR before a
grant may be made to that institution. The NIH awarding office should be
contacted if there are any questions concerning compliance. (See “Public Policy Requirements and Objectives—Civil Rights”
for detailed requirements.)
Individual Fellowships
The Kirschstein-NRSA program helps ensure that a diverse
pool of highly trained scientists is available in adequate numbers and in
appropriate research areas to carry out the Nation’s biomedical and behavioral
research agenda. Under this authority, NIH awards individual postdoctoral
fellowships (F32) to promising applicants with the potential to become
productive, independent investigators in fields related to the mission of the
NIH ICs. Some specialized individual pre-doctoral fellowships (F31 and F30),
Senior Fellowships (F33), and other unique fellowship programs also are
provided under this authority. For individual predoctoral fellowships, NIH ICs
have differing requirements. Thus specific PAs and RFAs should be consulted for
guidance.
Kirschstein-NRSA fellowships are awarded as a result of
national competition for research training in specified health-related areas.
All NIH ICs except FIC and NLM award Kirschstein-NRSA fellowships. FIC and NLM
have unique funding authorities for fellowships that are not under the
Kirschstein-NRSA authority.
Kirschstein-NRSA fellowships may be made for research
training in areas that fall within the missions of the NIH ICs. Applications
that do not fit these areas will be returned. Research training of physicians
has been increasingly emphasized. The HHS Secretary is required by law, in
taking into account the overall national needs for biomedical research
personnel, to give special consideration to physicians who agree to undertake a
minimum of 2 consecutive years of biomedical, behavioral, or clinical research
training. NIH recognizes the critical importance of training clinicians to
become researchers and encourages them to apply. For those who have a health
professional degree, the proposed training may be used to satisfy a portion of
the degree requirements for a master’s degree, a doctoral degree, or any other
advanced research degree program.
The Kirschstein-NRSA fellowship must be used to support a
program of research training. It may not support studies leading to M.D., D.O.,
D.D.S., D.V.M., or other similar health professional degrees or to support the
clinical portion of residency training. Research trainees in clinical areas are
expected to devote full time to the proposed research training and to confine
clinical duties to those that are part of the research training.
Predoctoral training. Individuals must have received,
as of the activation date of their Kirschstein-NRSA pre-doctoral fellowship
award, a baccalaureate degree and must be enrolled in and training at the
postbaccalaureate level in a program leading to the award of a Doctor of Philosophy
of Science (Ph.D. or Sc.D.) or a combined clinical degree and Ph.D. degree such
as M.D./Ph.D.
Postdoctoral training. Before a Kirschstein-NRSA
postdoctoral fellowship award can be activated, individuals must have received
a Ph.D., M.D., D.O., D.C., D.D.S., D.V.M., O.D., D.P.M., Sc.D., Eng.D., Dr.
P.H., D.N.S., N.D., Pharm.D., D.S.W., Psy.D., or equivalent doctoral degree
from an accredited domestic or foreign institution. Also acceptable is a
statement by an AOO of the degree-granting institution that all degree
requirements have been met.
Senior fellows. As of the beginning date of their
award, senior fellows must have received a doctoral degree (as specified in “General—Degree Requirements—Postdoctoral Training”)
and must have had at least 7 subsequent years of relevant research and
professional experience. The senior fellowship is awarded to provide
opportunities for experienced scientists to make major changes in the direction
of their research careers or to broaden their scientific backgrounds by
acquiring new research capabilities. In addition, these awards will enable
individuals beyond the new investigator stage to take time from regular
professional responsibilities to enhance their capabilities to engage in
health-related research. Senior fellowships are made for full-time research
training. Health professionals may use some of their time in clinical duties as
part of their research training. More information on the senior fellowship
program can be found in the NIH Kirschstein-NRSA Senior Fellows (F33) program
announcement available on the NIH website at http://grants.nih.gov/training/nrsa.htm -
fellowships.
The individual to be trained must be a citizen or a
noncitizen national of the United States or have been lawfully admitted for
permanent residence by the time of award. Noncitizen nationals are people, who,
although not citizens of the United States, owe permanent allegiance to the
United States. They generally are people born in outlying possessions of the
United States (e.g., American Samoa and Swains Island). Individuals who have
been lawfully admitted for permanent residence must have a currently valid Alien
Registration Receipt Card (I-551) or other legal verification of such status.
For example, if an individual has the proper validation on his/her passport, a
notarized photocopy of the passport could suffice. Because there is a 6-month
limitation on this validation, it is the responsibility of the sponsoring
institution to follow up and ensure that the individual receives the I-551
before the 6-month expiration date.
An individual expecting to be admitted as a permanent
resident by the earliest possible award date listed in the Kirschstein-NRSA
individual fellowship program announcement may submit an application for a
fellowship. The submission of documentation concerning permanent residency is
not required as part of the initial application. Any applicant selected to
receive an award must provide a notarized statement of admission for permanent
residence prior to award.
Applicants who have been lawfully admitted for permanent
residence, i.e., have an Alien Registration Receipt Card or other legal
verification of such status, should check the Permanent Resident box in the
citizenship section on the face page of the fellowship application. Applicants
who have applied for and have not yet been granted admission as a permanent
resident should check the same box, but should write in the word “pending.”
Individuals on temporary or student visas are not eligible
to apply for Kirschstein-NRSA individual fellowships.
General. Before submitting a Kirschstein-NRSA
individual fellowship application, the applicant must identify a sponsoring
institution and an individual who will serve as a sponsor (also called mentor
or supervisor) and supervise the training and research experience. The
sponsoring institution may be domestic or foreign, public or private (for-profit
or non-profit), including the NIH intramural programs, other Federal
laboratories, and units of State and local governments. The applicant’s sponsor
should be an active investigator in the area of the proposed research who will
directly supervise the candidate’s research. The sponsor must document in the
application the training plan for the applicant as well as the availability of
staff, research support, and facilities for high-quality research training. In
most cases, postdoctoral fellowships support research training experiences in
new settings in order to maximize acquisition of new skills and knowledge.
Therefore, postdoctoral applicants proposing training at their doctoral
institution or at the institution where they have been training for more than a
year must document thoroughly the opportunity for new training experiences
designed to broaden their scientific backgrounds.
Foreign sponsorship. An individual may request
support for training abroad. In such cases, the applicant is required to provide
detailed justification for the foreign training, including the reasons why the
facilities, the mentor, or other aspects of the proposed experience are more
appropriate than training in a domestic setting. The justification is evaluated
in terms of the scientific advantages of the foreign training as compared to
the training available domestically. Foreign training will be considered for
funding only when the scientific advantages are clear.
Both civil service employees and PHS commissioned officers
at NIH are permitted to compete for predoctoral and postdoctoral fellowships.
The proposed training should be primarily for career development rather than
for the immediate research needs of NIH. The employee’s supervisor must
disassociate himself/herself from the review and award process.
Successful NIH applicants for predoctoral or postdoctoral
fellowship awards must either resign from NIH or take LWOP before activating
the award. (There is no obligation or commitment by NIH or the fellow for future
employment at NIH upon termination of the fellowship.)
NIH does not restrict career military personnel from
applying for Kirschstein-NRSA individual fellowship awards while on active
military duty. At the time of application, the applicant’s branch of the
military service should submit a letter endorsing his/her application and
indicating willingness to continue normal active duty pay and allowances during
the period of the requested fellowship. If an award is made, the institutional
allowance and necessary tuition and fees permitted on a postdoctoral program
will be paid by NIH. However, stipends, health insurance, and travel allowances
are not allowable charges to a Kirschstein-NRSA individual fellowship for
career military personnel. Payment of concurrent benefits by NIH to active duty
career military awardees is not allowed.
Each applicant must submit an application using the PHS
416-1. At least three letters of reference on his or her behalf also must be
submitted. The major emphasis of the application should be the research
training experience and broadening of scientific competence. The application
must include the sponsor’s Facilities and Commitment Statement. By signing the
face page of the application, the applicant indicates that he or she has read
the payback information and will meet any payback provisions required under the
law as a condition for accepting the award.
Applicants and sponsoring institutions must comply with
policies and procedures governing such requirements as civil rights; the
protection of human subjects, including data safety and monitoring
requirements; the humane care and use of live vertebrate animals; the inclusion
of women, minorities and children in study populations; human embryonic stem
cells; and recombinant DNA and human gene transfer research. (For a complete
list of applicable requirements, see Exhibit 2, “Public Policy Requirements
and Objectives” in Subpart A).
If an application is submitted in response to an IC-specific
PA or RFA, the applicant should identify the number of the PA or RFA on the
face page. This information will be used as a guide in the application
assignment process.
Concurrent applications. An individual may not
have two or more competing Kirschstein-NRSA individual fellowship applications
pending review concurrently. In addition, CSR will not accept for review any
application that is essentially the same as one already reviewed.
Application availability. Application forms and
instructions are available from the NIH website at http://grants.nih.gov/grants/forms.htm. Application form pages
are available in pdf-fillable and rtf formats. Further assistance is available
from GrantsInfo at 301-435-0714 or GrantsInfo@nih.gov.
Kirschstein-NRSA individual fellowship applications undergo
a review process that takes 5 to 8 months. The appendix to this section shows
the annual schedule for application receipt, review, and award.
Each new and competing continuation application will be
evaluated for scientific merit by an NIH SRG. Review criteria include the
candidate’s previous academic and research performance and the potential to
become an important contributor to biomedical, behavioral, or clinical science;
the quality of the training environment and the qualifications of the sponsor;
the merit of the scientific proposal and its relationship to the candidate’s
career plans; and the value of the proposed fellowship experience. In
determining scientific merit and the priority score, when applicable, the SRG
also considers plans for the protection of human subjects from research risks;
the inclusion of women, minorities, and children in research; and the care and
use of vertebrate animals in the proposed research.
Kirschstein-NRSA individual fellowship applications receive
a secondary level of review by IC staff. Criteria used in making award
decisions include the SRG’s recommendation concerning the overall merit of the
application, the relevance of the application to the IC’s research training
priorities and program balance, and the availability of funds.
Shortly after the initial review meeting, each candidate
receives a mailer that includes the SRG recommendation/priority score and the
name and telephone number of a PO in the assigned NIH IC. A copy of the summary
statement is automatically forwarded to the applicant as soon as possible.
The PO will notify the applicant about the final review
recommendation. The applicant should direct any questions about initial review recommendations
and funding possibilities to the designated IC PO, not to the SRA of the SRG.
An NRFA will be issued to applicants selected for funding.
No fellow may receive more than 5 years of aggregate
Kirschstein-NRSA support at the predoctoral level and 3 years of aggregate
Kirschstein-NRSA support at the postdoctoral level, including any combination
of Kirschstein-NRSA support from institutional research training grants and
individual fellowships.
Any exception to the maximum period of support requires a
waiver from the NIH awarding office based on review of a justification from the
individual and sponsoring institution. The fellow must make the request in
writing to the NIH awarding office. The fellow’s sponsor and an AOO must endorse
the request. The request must specify the amount of additional support for
which approval is sought. Individuals seeking additional support beyond the
third year of postdoctoral support are strongly advised to consult with their
PO before submitting a waiver request.
Some generally recognized categories under which NIH may
grant exceptions include the following:
l Physicians/clinicians.
Individuals requiring additional time to complete training, either as
participants in a combined M.D./Ph.D. program or as clinicians (e.g.,
physicians, dentists, veterinarians) who are completing postdoctoral research
training, may anticipate favorable consideration of a request for waiver of the
time limitation. This action is contingent upon an assurance of the recipient’s
good academic standing and justified need for the exception.
l Interruptions
(break in service). Requests for additional time also will be considered if
an event unavoidably alters the planned course of the research training, if the
interruption has significantly detracted from the nature or quality of the
planned research training, and if a short extension would permit completion of
the training as planned. Such events include sudden loss of the preceptor’s
services or an accident, illness, or other personal situation, which prevent a
fellow from effectively pursuing research training for a significant period of
time. Requests for extension of support also will be considered if a short
additional period would provide the fellow an opportunity to use an exceptional
training resource directly related to the approved research training program.
Requests for additional time that do not arise from either
of the above-described circumstances will be considered only if they are
accompanied by an exceptionally strong justification.
All fellows are required to pursue their research training
full time, normally defined as 40 hours per week or as specified by the
sponsoring institution in accordance with its own policies. Under unusual or pressing
personal circumstances, a fellow may submit a written request to the NIH
awarding office to permit less than full-time training.
Written requests for part-time training will be considered
case by case and must be approved by the NIH awarding office in advance of each
budget period. The circumstances requiring part-time training might include
medical conditions, disability, or pressing personal or family situations such
as a child or elder care. Part-time training will not be approved to accommodate
other sources of funding, job opportunities, clinical practice, clinical
training, or for responsibilities associated with the fellow’s position at the
sponsoring institution.
Each written request from the fellow must be countersigned
by the sponsor and an AOO and must include documentation supporting the need
for part-time training. The written request also must include an estimate of
the expected duration of the period of part-time training and assurances that
the fellow intends to return to full-time training when that becomes possible
and intends to complete the proposed research training program. Individuals may
not engage in Kirschstein-NRSA support for less than 50 percent effort.
Individuals unable to devote 50 percent effort will be required to take a leave
of absence from Kirschstein-NRSA fellowship support.
NIH will issue a revised NRFA and the 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 fellows.
The NIH IC will notify the individual of the intention to
make an award and confirm the plans for the start of fellowship support. The
NRFA allows the individual to begin the fellowship immediately on or after the
issue date, but permits up to 6 months for the individual to make final
arrangements, such as the completion of degree requirements, final coordination
with the sponsor, and, if necessary, a move to the sponsoring institution. The
fellow must start the period of training under the award by the latest
activation date as shown on the NRFA, i.e., 6 months from the award issue date.
The activation period may be extended in unusual circumstances. Written
requests for extensions should be submitted by the fellow, and must be
countersigned by the sponsor and the AOO.
The Activation Notice must be submitted to the NIH awarding
office as of the day the fellow begins training. A Payback Agreement also must
be completed and submitted but only by postdoctoral fellows in their first 12
months of Kirschstein-NRSA postdoctoral support. See “Reporting Requirements—Activation Notice” and “Reporting Requirements—Payback Agreement” in
this section. A stipend may not be paid until the forms are submitted and the
fellow begins training. If necessary for payroll purposes, the Activation
Notice and Payback Agreement may be submitted up to 30 days before the start
date. However, any change in the planned activation start date must be reported
immediately to the sponsoring institution’s business office and to the NIH
awarding office. If an award is conditioned upon completion of degree
requirements, the fellow must submit, with the Activation Notice, proof of
completion by the degree-granting institution.
Individual fellowship support generally is approved for
consecutive years of training. The initial award usually is for 12 months.
Subsequent periods of approved fellowship training are consecutive with the
first year of support and are usually in 12-month increments (budget periods).
Awards for less than 12 months will be prorated accordingly. If a fellow
decides not to activate the award, or to terminate early, he or she should notify
the institution’s business office, the sponsor, and the NIH awarding office
immediately, in writing. NIH will make any necessary adjustments in the stipend
and other costs, including the institutional allowance.
Domestic. Non-Federal sponsoring institutions receive
an award for the stipend, institutional allowance, and tuition and fees (when
applicable). The institution directly pays the fellow and disburses all other
awarded costs.
Federal laboratories. Fellows training at Federal
laboratories are paid stipends directly by the NIH awarding office through
NIH’s OFM. Reimbursement to the fellow for appropriate expenditures from the
institutional allowance also is coordinated by the NIH awarding office and paid
through OFM.
Foreign. Fellows training at foreign sites receive
stipends directly from NIH’s OFM. However, the institutional allowance is
awarded to and disbursed by the sponsoring institution.
Stipends
A stipend is provided as a subsistence allowance for Kirschstein-NRSA
fellows to help defray living expenses during the research training experience.
It is not provided as a condition of employment with either the Federal
government or the sponsoring institution. Stipends must be paid in accordance
with stipend levels established by NIH, which are based on a 12-month full-time
training appointment. In the event of early termination, the stipend will be
prorated according to the amount of time spent in training, and NIH will issue
a revised NRFA. No departure from the standard stipend provided by NIH under
the fellowship may be negotiated by the sponsoring institution with the fellow.
Stipend levels are updated
nearly every year. When increases are approved, they are published in the NIH
Guide for Grants and Contracts. Current levels are posted at http://grants.nih.gov/training/nrsa.htm. The NIH awarding
office will adjust fellowship awards on their anniversary dates to include the
currently applicable stipend amount.
General information related
to stipends follows:
l
Predoctoral. One stipend level is used for all
pre-doctoral candidates, regardless of the level of experience.
l
Postdoctoral. The stipend level for the entire
first year of support is determined by the number of full years of relevant
postdoctoral experience when the award is issued. Relevant experience may
include research experience (including industrial), teaching assistantship,
internship, residency, clinical duties, or other time spent in a health-related
field beyond that of the qualifying doctoral degree. Once the appropriate
stipend level has been determined, the fellow must be paid at that level for
the entire grant year. The stipend for each additional year of Kirschstein-NRSA
support is the next level in the stipend structure and does not change
mid-year.
l
Senior fellows. The amount of the
Kirschstein-NRSA stipend to be paid must be commensurate with the base salary
or remuneration that the individual receiving the award would have been paid by
the institution with which he or she has permanent affiliation on the date of
the fellowship award. In no case shall the stipend award exceed the current
Kirschstein-NRSA stipend limit set by NIH. The level of Kirschstein-NRSA
support will take into account concurrent salary support provided by the
institution and the policy of the sponsoring institution. NIH support does not
provide fringe benefits for senior fellows.
NIH awards an institutional allowance to help support the
costs of training. The specific levels of allowance for predoctoral and
postdoctoral support, including those for individuals training at Federal
laboratories, for-profit organizations, or foreign institutions, are published
in the NIH Guide for Grants and Contracts. They also are available on
the NIH website at http://grants.nih.gov/training/nrsa.htm#fellowships.
For postdoctoral fellowships, costs for tuition and fees, where appropriate,
will be awarded independent of the institutional allowance. (See “Allowable and Unallowable Costs—Tuition and Fees”
in this subsection for details on tuition reimbursement.)
The institutional allowance is a fixed amount. Expenditures
under institutional allowances are not subject to NIH prior-approval
requirements, and the institution is not required to account for these
expenditures on an actual cost basis.
Except for fellows at Federal training sites, consistent
with NIH policy governing the type of expenditures appropriate for the
institutional allowance, the sponsoring institution authorizes the expenditure
of the institutional allowance on behalf of the fellow according to the
institution’s policy. The institution is entitled to expend up to the full
institutional allowance upon official activation of the award. However, if an
individual fellow is not in a training status for more than 6 months of the
award year, only one-half of that year’s institutional allowance may be charged
to the grant. The NRFA will be revised and the balance must be refunded to NIH.
For fellows at Federal training sites, the NIH awarding
office authorizes the expenditure of the allowance. Payment is made through
NIH’s OFM.
The type of sponsoring
institution dictates what costs may be charged to this category and how the
funds are to be administered:
l
Non-Federal public and private non-profit institutions
(domestic and foreign). The allowance is intended to defray expenses for
the individual fellow such as research supplies, equipment, travel to
scientific meetings, and health insurance and to otherwise offset, insofar as
possible, appropriate administrative costs of training. Funds are paid directly
to and administered by the sponsoring institution.
l
Federal laboratories. The allowance is intended
to cover the costs of scientific meeting travel, health insurance, and books.
Funds are administered by the NIH awarding office and disbursed by OFM.
l
For-profit institutions. The allowance is
intended to cover the costs of scientific meeting travel, health insurance, and
books. Funds are paid directly to the sponsoring institution for disbursement
to the fellow.
The following are guidelines
for the use of the institutional allowance:
l
Travel. Payment for travel to scientific
meetings is appropriate when it is necessary for the individual’s training and
when the costs are incurred within the period of grant-supported training.
For fellows at Federal
laboratories, reimbursement of travel costs must be in accordance with current
Federal travel regulations.
Funds may not be expended to cover
the costs of travel between the fellow’s place of residence and the domestic
training institution, except that the sponsoring institution may authorize the
cost of a one-way travel allowance in an individual case of extreme hardship.
l
Health insurance. A fellow’s health insurance
is an allowable cost only if applied consistently to all people in a similar
training status regardless of the source of support. Family health insurance is
an allowable cost for fellows who have families and are eligible for family
health insurance coverage at the sponsoring institution. Self-only health
insurance is an allowable cost for fellows without families. Health insurance
can include coverage for costs such as vision and/or dental care if consistent
with organizational policy.
l
Extraordinary costs. Additional funds may be
requested by the institution when the training of a fellow involves
extraordinary costs for travel to field sites remote from the sponsoring
institution or accommodations for fellows who are disabled, as defined by the
Americans with Disabilities Act. The funds requested for extraordinary costs
must be reasonable in relationship to the total dollars awarded under a
fellowship and must be directly related to the approved research training
project. Such additional funds shall be provided only in exceptional
circumstances that are fully justified and explained by the institution.
Tuition
and Fees
Currently NIH offsets the combined cost of tuition and fees
for Kirschstein-NRSA postdoctoral fellows at the following rate: 100 percent of
all costs up to $3,000 and 60 percent of costs above $3,000. Any change in this
formula is published in the NIH Guide for Grants and Contracts.
For postdoctoral fellows, costs associated with tuition and
fees are allowable only if they are required for specific courses in support of
the research training. Health insurance is not included in this budget item
because it is part of the institutional allowance.
For predoctoral fellows, the award of tuition and fees
(including health insurance) may vary depending on the policy of the NIH
awarding office. Specific programmatic guidelines should be consulted for
guidance.
When tuition, fees, and insurance are awarded as a separate
budget item, these funds may not be rebudgeted into any other budget category
without written prior approval from the NIH awarding office.
For fellows at foreign training sites, in addition to the
institutional allowance, awards may include a single economy or coach
round-trip travel fare. No allowance is provided for dependents. U.S. flag air
carriers must be used to the maximum extent possible when commercial air
transportation is the means of travel between the United States and a foreign
country or between foreign countries. This requirement shall not be influenced
by factors of cost, convenience, or personal travel preference.
Employee Benefits
Since Kirschstein-NRSA fellowships are not provided as a
condition of employment with either the Federal government or the sponsoring
institution, institutions may not seek funds, or charge individual fellowship
awards, for costs that normally would be associated with employee benefits (for
example, FICA, workman’s compensation, and unemployment insurance).
Stipend
Supplementation
Kirschstein-NRSA fellows receive stipends to defray living
expenses. Stipends may be supplemented by an institution from non-Federal funds
provided this supplementation does not require any additional obligation from
the fellow. An institution can determine the amount of stipend supplementation,
if any, it will provide according to its own formally established policies
governing stipend support. These policies must be consistently applied to all
individuals in a similar status regardless of the source of funds. Federal
funds may not be used for stipend supplementation unless specifically
authorized under the terms of the program from which funds are derived. Under
no circumstances may PHS funds be used for supplementation.
An individual may use Federal educational loan funds or VA
benefits when permitted by those programs as described
in this subsection.
Compensation
NIH recognizes that Kirschstein-NRSA fellows may seek
part-time employment incidental to their training program to offset further
their expenses. Funds characterized as compensation may be paid to fellows only
when there is an employer-employee relationship, the payments are for services
rendered, and the situation otherwise meets the conditions for compensation of
students as detailed in “Cost
Considerations—Selected Items of Cost—Salaries and Wages—Compensation of
Students.” In addition, compensation must be in accordance with
organizational policies applied consistently to both federally and
non-federally supported activities and must be supported by acceptable accounting
records that reflect the employer-employee relationship agreement. Under these
conditions, the funds provided as compensation (salary, fringe benefits, and/or
tuition remission) for services rendered, such as teaching or laboratory
assistance, are not considered stipend supplementation; they are allowable
charges to Federal grants, including PHS research grants. However, NIH expects
that compensation from research grants will be for limited part-time employment
apart from the normal training activities. Compensation may not be paid from a
research grant that supports the same research that is part of the fellow’s
planned training experience as approved in the Kirschstein-NRSA individual
fellowship application.
Under no circumstances may the conditions of stipend
supplementation or the services provided for compensation interfere with,
detract from, or prolong the fellow’s approved Kirschstein-NRSA training
program. Fellowship sponsors must approve all instances of employment on
research grants to verify that the circumstances will not detract from or
prolong the approved training program.
Concurrent Benefits
A Kirschstein-NRSA individual fellowship may not be held
concurrently with another federally sponsored fellowship or similar Federal
award that provides a stipend or otherwise duplicates provisions of the
Kirschstein-NRSA award.
Educational
Loans or GI Bill
An individual may accept concurrent educational remuneration
from the VA (GI Bill) and Federal educational loan funds. Such funds are not
considered supplementation or compensation. Postdoctoral fellows also may be
eligible to participate in the NIH Loan Repayment Program. Information on this
program is available at http://www.lrp.nih.gov/.
Taxability of Stipends
Section 117 of the Internal Revenue Code applies to the tax
treatment of scholarships and fellowships. Degree candidates may exclude from
gross income (for tax purposes) any amount used for course tuition and related
expenses such as fees, books, supplies, and equipment required for courses of
instruction at a qualified educational organization. Nondegree candidates are
required to report as gross income any monies paid on their behalf for stipends
or any course tuition and fees required for attendance.
The taxability of stipends in no way alters the relationship
between Kirschstein-NRSA fellows and sponsoring institutions. Kirschstein-NRSA
stipends are not considered salaries. In addition, recipients of
Kirschstein-NRSA individual fellowships are not considered to be in an
employee-employer relationship with NIH or the sponsoring institution solely as
a result of the Kirschstein-NRSA award. The interpretation and implementation
of the tax laws are the domain of the IRS and the courts. NIH takes no position
on what the status may be for a particular taxpayer, and it does not have the
authority to dispense tax advice. Individuals should consult their local IRS
office about the applicability of the law to their situation and for
information on their tax obligations.
Form 1099
Although stipends are not considered salaries, this income
is still subject to Federal and, sometimes, State income tax. Such income may
be reported by the sponsoring institution on IRS Form 1099, Statement of
Miscellaneous Income. Normally, the business office of the sponsoring
institution will be responsible for annually preparing and issuing IRS Form
1099 for fellows paid through the institution (fellows at domestic non-Federal
institutions). Sponsoring institutions are not required to issue a Form 1099,
but it is a useful form of documentation of income received and a reminder to
the fellow that some tax liability may exist. Fellows are reminded that, even
if the sponsoring institution does not issue a Form 1099, they still are required
to report Kirschstein-NRSA stipends as income. NIH will issue a Form 1099 for
each fellow training at a Federal or foreign laboratory and receiving a stipend
check from the U.S. Treasury.
The submission of the forms described in this subsection is
critical to establishing and paying stipends and other costs and determining
possible payback service. All of these forms are available in pdf-fillable and
rtf formats at http://grants.nih.gov/grants/forms.htm.
The NIH awarding office may provide copies of applicable forms with the NRFA or
reference this website in the NRFA.
Activation Notice
Immediately upon the initiation of training, the individual
must complete and sign the Ruth L. Kirschstein Individual Fellowship Activation
Notice (Form PHS 416-5), obtain the signature of the AOO, and forward the
notice along with the Payback Agreement (required only for postdoctoral fellows
in their first 12 months of Kirschstein-NRSA support) to the NIH awarding
office.
For Kirschstein-NRSA fellows paid directly by NIH, the
Activation Notice is required at the start of each award year. The form should
not be submitted before the fellow actually begins training. Stipend checks are
issued when both the Activation Notice and the Payback Agreement (required only
for postdoctoral fellows in their first 12 months of Kirschstein-NRSA support)
are received by the NIH awarding office.
For fellows whose stipend is paid through the institution,
the Activation Notice is required for the initial year only. The Activation
Notice may be submitted up to 30 days before the individual begins training if
necessary for payroll purposes. However, the institution must not release any
funds until the individual has started training. Furthermore, if the individual
does not begin research training on the day indicated, the institution must
notify the NIH awarding office immediately. Competing continuation awards must
be activated on the day following the end of the last budget period of the
previous award.
Payback Agreement
A Ruth L. Kirschstein National Research Service Award
Payback Agreement (Form PHS 6031) that covers the initial 12 months of
Kirschstein-NRSA postdoctoral support must be signed by each person who is to
receive an individual postdoctoral fellowship. This form is not required if the
individual has already received 12 months of postdoctoral Kirschstein-NRSA
support under any Kirschstein-NRSA institutional research training grant or
fellowship award. For details on Kirschstein-NRSA payback, see “Payback Reporting Requirements” in
this section.
No Payback Agreement is required for predoctoral fellows.
The Ruth L. Kirschstein National Research Service Award
Termination Notice
(Form PHS 416-7) (along with the Activation Notice and the NRFA) is the basis
for validating the total period of Kirschstein-NRSA support and establishing
the amount of payback obligation for each Kirschstein-NRSA fellow. For
individual fellowships, a reminder of this reporting requirement may be sent to
the fellow by the NIH awarding office before the scheduled termination date.
For early terminations, the completed form will be required immediately upon
receipt of notification from the fellow or an AOO. The lack of timely and
accurate information on this form could adversely affect the payback process.
For additional information on early termination, see “Changes
in the Project” in this section.
If a fellow switches from one Kirschstein-NRSA grant
mechanism to another (e.g., from an institutional research training grant to an
individual fellowship or from one NIH IC to another), the requirement for
payback service incurred is deferred until the total period of Kirschstein-NRSA
support is completed. All fellowship applications are reviewed to determine if
previous Kirschstein-NRSA support has been provided.
Progress reports must be submitted for non-competing
continuation support in accordance with the instructions accompanying the
Progress Report for Continuation Support (Form PHS 416-9). Progress report
forms and instructions are available from the NIH website at http://grants.nih.gov/grants/forms.htm. Report form pages are
available in pdf-fillable and rtf formats. Inadequate or incomplete progress
reports may be returned to the fellow for revision and may result in a delay of
continued support. For Kirschstein-NRSA individual fellowship awards, the final
progress report is required as part of the Termination Notice.
An annual or final FSR is not required on Kirschstein-NRSA
individual fellowship awards.
Changes in the Project
Individual fellowship awards are made for training at a
specific institution under the guidance of a particular sponsor. The approval
of the NIH awarding office is required for a transfer of the award to another
institution, a change in sponsor, or a project change. As part of the approval
process, if a fellow sponsored by a domestic non-Federal institution requests a
transfer to another domestic non-Federal institution before the end of the
current award year, the initial institution may be requested to continue to pay
the stipend until the end of the current year. Disposition of the institutional
allowance is negotiable between the two sponsoring institutions. No Activation
Notice is required from the new sponsoring institution.
Transfers involving Federal or foreign sponsoring
institutions require unique administrative procedures and approvals. Because
each transfer varies depending on individual circumstances, the sponsoring
institution should contact the NIH awarding office for specific guidance.
Any proposed change in the individual’s specified area of
research training must be reviewed and approved in writing by the NIH awarding
office to ensure that the training continues to fall within the scientific area
of the original peer-reviewed application.
When the sponsor is going to be absent for more than 3
months, an interim sponsor must be named by the institution and approved in
writing by the NIH awarding office.
Leave
Vacations and holidays. Kirschstein-NRSA fellows may
receive the same vacations and holidays available to individuals in comparable
training positions at the sponsoring institution. Fellows shall continue to
receive stipends during vacations and holidays. At academic institutions, the
time between semesters or academic quarters generally is considered an active
part of the training period.
Sick leave and other leave. Kirschstein-NRSA
fellows 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 NIH awarding office in response to a written request from the sponsor,
countersigned by an AOO. Sick leave may be used for medical conditions related
to pregnancy and childbirth.
Parental leave. Kirschstein-NRSA fellows may 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. The use of parental leave
requires approval by the sponsor.
Terminal leave. A period of terminal leave is not
permitted, and payment may not be made from grant funds for leave not taken.
Unpaid leave. Individuals requiring extended periods
of time away from their research training experience, that is, more than 15
calendar days of sick leave or more than 30 calendar days of parental leave,
must seek approval for an unpaid leave of absence. Approval for a leave of
absence must be requested in advance from the NIH awarding office. Fellows must
provide a letter of support from the sponsor, countersigned by an AOO, and must
advise the NIH awarding office of the dates of the leave of absence. Upon
approval of the request, the NIH awarding office will issue a revised NRFA
extending the ending date of the current budget period by the appropriate
number of days or months of unpaid leave time. Recipients are precluded from
spending award funds during the leave of absence.
During a leave of absence, documentation to suspend the
award and/or the accrual of service for calculating the payback obligation must
be completed by the sponsoring institution. When the fellowship is eventually
terminated, the leave of absence must be clearly documented on the Termination
Notice.
NIH may terminate a Kirschstein-NRSA individual fellowship
before its normal expiration date if it determines 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. If an award is terminated for
cause, NIH will notify the fellow in writing of the determination, the reasons
for the determination, the effective date, and the right to appeal the
decision.
NIH also may terminate an award at the request of the
sponsoring institution or the recipient. The NIH awarding office must be
notified immediately if a sponsoring institution wants to terminate an
individual fellow or the fellow decides to terminate training before the
scheduled expiration date.
If a Kirschstein-NRSA fellowship is terminated early, the
stipend must be prorated according to the amount of time spent in training, and
the NRFA will be revised. The balance of any institutional allowance (at least
one-half) must be refunded if the training has been for 6 months or less.
Publications and Sharing
of Research Results
NIH supports the practical application and sharing of
outcomes of funded research. Therefore, recipients of Kirschstein-NRSA
fellowships should make the results and accomplishments of their activities
available to the research community and to the public at large. The sponsoring
institution should assist the fellow in such activities, including the
potential commercialization of inventions. No restrictions should be placed on
the publication of results.
Kirschstein-NRSA fellows are encouraged to submit reports of
their findings to the journals of their choice for publication. Responsibility
for direction of the project should not be ascribed to NIH. However, NIH awarding
office support must be acknowledged by a footnote in language similar to the
following: “This research was supported by the National Institutes of Health
under Ruth L. Kirschstein National Research Service Award (number) from the
(name of NIH IC).” In addition, Federal funding must be acknowledged as
provided in “Public Policy Requirements
and Objectives—Availability of Information—Acknowledgment of Federal Funding.”
Except as otherwise provided in the conditions of the award,
when a publication or similar copyrightable material is developed from work
supported by NIH, the author is free to arrange for copyright without approval
of the NIH awarding office. Any such copyrighted materials shall be subject to
a royalty-free, nonexclusive, and irrevocable license to the Federal government
to reproduce them, translate them, publish them, and use and dispose of them,
and to authorize others to do so for Federal government purposes.
Fellowships funded primarily for educational purposes are
not subject to invention reporting requirements nor does NIH have any rights to
inventions under those awards (as specified in 37 CFR 401.1(b)).
Kirschstein-NRSA fellows training at NIH represent an exception to this policy.
Those fellows are subject to the provisions of EO 10096 and NIH determines
the disposition of rights to any invention conceived or actually reduced to
practice during the period of the fellowship.
Fees resulting from clinical practice, professional
consultation, or other comparable activities performed pursuant to the purpose
of the award must be assigned to the sponsoring institution for disposition in
accordance with established organizational policy. 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, which, if permitted by organizational policy, may be
retained by the fellow.
Kirschstein-NRSA individual fellowship awards involving use
of human subjects must comply with the requirements for their protection (see “Public Policy Requirements and Objectives—Requirements
Affecting the Rights and Welfare of Individuals as Research Subjects, Patients,
or Recipients of Services—Human Subjects”). For additional information on
human subjects requirements, refer to the Kirschstein-NRSA individual
fellowship application instructions (http://grants.nih.gov/grants/funding/416/phs416.htm)
or contact OHRP (see contact information in Part III).
Monitoring Plan and Data and Safety
Monitoring Board
Research involving clinical trials must include provisions
to ensure the safety of participants and the validity and integrity of the
data. A monitoring plan establishes the overall framework for data and safety
monitoring. It should describe the entity that will be responsible for
monitoring and how adverse events will be reported to IRBs, NIH, and FDA. The
frequency of monitoring will depend on potential risks, complexity, and the
nature of the trial.
NIH specifically requires the establishment of DSMBs for
multi-site clinical trials involving interventions that entail potential risks
to the subject and, generally, for Phase III clinical trials. Although Phase I
and Phase II clinical trials also may use DSMBs, smaller clinical trials may
not require this type of oversight, and alternative monitoring plans may be
appropriate.
Fellows also should refer to the NIH Policy for Data and
Safety Monitoring at http://grants.nih.gov/grants/guide/notice-files/not98-084.html,
“Public Policy Requirements and
Objectives—Requirements Affecting the Rights and Welfare of Individuals as
Research Subjects, Patients, or Recipients of Services—Data and Safety
Monitoring” in Subpart A, and the instructions in the PHS 416-1
application.
Pursuant to the NIH Revitalization Act of 1993 (Section 492B
of Public Law 103-43), NIH requires that women and members of minority groups
and their subpopulations be included in all NIH-supported clinical research
projects unless a clear and compelling justification is provided indicating
that inclusion is inappropriate with respect to the health of the subjects or
the purpose of the research (see “Public
Policy Requirements and Objectives—Requirements for Inclusiveness in Research
Design”).
Individuals proposing clinical research should read the
NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical
Research–Amended, October 2001, available on the NIH website at http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm.
Inclusion of Children as
Participants in Research Involving Human Subjects
NIH policy requires that children (individuals under the age
of 21) be included in all human subjects research conducted or supported by
NIH, unless there are scientific and ethical reasons not to include them (see “Public Policy Requirements and
Objectives—Requirements for Inclusiveness in Research Design”). Individuals
proposing research involving human subjects should read NIH Policy and
Guidelines on the Inclusion of Children as Participants in Research Involving
Human Subjects, available on the NIH website at http://grants.nih.gov/grants/funding/children/children.htm.
Human Embryonic Stem Cell Research
Criteria for Federal funding of research on hESC can be
found at http://stemcells.nih.gov/index.asp and at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-005.html.
Only research using hESC lines registered in the NIH Human Embryonic Stem Cell
Registry will be eligible for Federal funding (see http://escr.nih.gov).
It is the individual’s responsibility to provide the official NIH identifiers
for the hESC lines to be used in the proposed research (see “Public Policy Requirements and
Objectives—Requirements Affecting the Rights and Welfare of Individuals as
Research Subjects, Patients, or Recipients of Services”). Applications that
do not provide this information will be returned without review.
Responsible Conduct of Research
Kirschstein-NRSA individual fellowship applicants must
include, as part of their application, plans for obtaining instruction in the
responsible conduct of research, including the rationale, subject matter,
appropriateness, format, frequency, and duration of instruction. The amount and
nature of faculty participation must be described.
While NIH does not establish specific curricula or formal
requirements, applicants are encouraged to creatively tailor a plan to meet
their own needs in relation to the proposed research training. It may include
participating in formal activities, such as established courses (credit or
noncredit) either as an instructor or a student, or informal activities, such
as discussion groups. Possible coverage could include conflict of interest,
responsible authorship, policies for handling misconduct, data management, data
sharing, policies for the use of animals and/or human subjects, and
organizational (rather than individual) responsibilities for scientific
integrity.
No award will be made if an application lacks this
component.
Vertebrate Animals
Kirschstein-NRSA individual fellowship awards involving use
of vertebrate animals must comply with the requirements for their protection
specified in “Public Policy Requirements and
Objectives—Requirements Affecting the Right and Welfare of Individuals as
Research Subjects, Patients, or Recipients of Services—Animal Welfare.” For
additional information on vertebrate animals, refer to the Kirschstein-NRSA
individual fellowship application instructions or contact OLAW (see contact information in Part III).
Recombinant DNA Molecules
and Human Gene Transfer Research
Individuals receiving Kirschstein-NRSA fellowship awards
involving use of recombinant DNA molecules must comply with the requirements of
the NIH Guidelines for Research Involving DNA Molecules (see “Public Policy Requirements and Objectives—Ethical
and Safe Conduct in Science and Organizational Operations—NIH Guidelines for
Research Involving Recombinant DNA Molecules and Human Gene Transfer Research”).
The NIH Guidelines, available from NIH’s OBA (see Part III),
should be consulted for complete requirements for the conduct of projects
involving recombinant DNA techniques. A copy of the NIH Guidelines is available
at http://www4.od.nih.gov/oba/rac/guidelines/guidelines.html.
NIH will award Kirschstein-NRSA institutional research
training grants (T32, T34, and T35) 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. The purpose of the Kirschstein-NRSA program
is to help ensure that a diverse and highly trained workforce is available in
adequate numbers and in the appropriate research areas and fields to carry out
the nation’s biomedical and behavioral research agenda. The Kirschstein-NRSA
program supports predoctoral, postdoctoral, and short-term research training as
well as limited specialized support at the prebaccalaureate level. All NIH ICs
except FIC and NLM award Kirschstein-NRSA institutional research training grants.
FIC and NLM have unique funding authorities for training grants that are
separate from the Kirschstein-NRSA authority.
A domestic, non-profit public or private organization may
apply for a grant to support a research training program in a specified area(s)
of research. Support for predoctoral, postdoctoral, or a combination of
trainees may be requested. (Specific program announcements should be consulted
for IC guidelines.) Support for short-term training positions for students in
health-professional degree programs also may be requested as indicated in “Short-Term Research Training” in this
subsection. Each applicant institution must submit an application using the PHS
398 and appropriate instructions (see “Application
Requirements and Receipt Dates” in this subsection).
Kirschstein-NRSA institutional research training grants may
be made for research training in areas that fall within the missions of the NIH
ICs. Applications that do not fit these areas will be returned. An increased
emphasis has been placed on the research training of physicians. The HHS
Secretary is required by law, in taking into account the overall national needs
for biomedical research personnel, to give special consideration to physicians
who agree to undertake a minimum of 2 consecutive years of biomedical,
behavioral, or clinical research training.
The applicant institution must have a strong research
program in the areas proposed for research training and must have the staff and
facilities required to carry out the proposed program.
Trainees appointed to the training program must have the
opportunity to carry out supervised biomedical or behavioral research with the
primary objective of developing or extending their research skills and
knowledge in preparation for a research career.
Training Program Director
The training PD must be an individual with the skills,
knowledge, and resources necessary to organize and implement a high-quality
research training program at the recipient organization. The training PD at the
recipient organization will be responsible for the selection and appointment of
trainees to the Kirschstein-NRSA research training grant and for the overall
direction, management, and administration of the program. In selecting
trainees, the PD must make certain that individuals receiving support meet the
eligibility requirements set forth in this subsection.
A Kirschstein-NRSA institutional research training grant
must be used to support a program of research training. It may not support
studies leading to the M.D., D.D.S., D.V.M., or other clinical, health
professional training except when those studies are a part of a formal combined
research degree program, such as the M.D./Ph.D. Similarly, trainees may not
accept Kirschstein-NRSA support for clinical training that is part of residency
training leading to clinical certification in a medical or dental specialty or
subspecialty. However, clinicians are permitted and encouraged to engage in
Kirschstein-NRSA-supported full-time, postdoctoral research training even when
that experience is creditable toward certification by a clinical specialty or
subspecialty board.
Research trainees are expected to devote full time to the
proposed research training, devoting at least 40 hours per week to the program.
During the 40 hours per week required for research training, research trainees
who also are training as clinicians must devote their time to the research
training and must confine clinical duties to those that are an integral part of
the research training experience.
Predoctoral Training
Predoctoral research training is for individuals who have a
baccalaureate degree and are enrolled in a doctoral program leading to either a
Ph.D., a comparable research doctoral degree, or a combined clinical degree and
Ph.D, such as M.D./Ph.D. Students enrolled in health-professional programs that
are not part of a formal, combined program (i.e., M.D./Ph.D.), and who wish to
postpone their professional studies to gain research experience, also may be
appointed to a Kirschtein-NRSA institutional research training grant.
Predoctoral research training must emphasize fundamental training in areas of
basic biomedical and behavioral sciences.
Postdoctoral
Training
Postdoctoral research training is for individuals who have
received a Ph.D., D.V.M., D.D.S., M.D., or comparable doctoral degree from an
accredited domestic or foreign institution. Research training at the
postdoctoral level must emphasize specialized training to meet national
research priorities in the biomedical, behavioral, or clinical sciences.
Kirschstein-NRSA institutional research training grants are
a desirable mechanism for the postdoctoral training of physicians and other
health professionals who may have had extensive clinical training but limited
research experience. For such individuals, the training may be a part of a
research degree program. In all cases, health-professional postdoctoral
trainees are to engage in at least 2 years of research, research training, or
comparable experiences beginning at the time of appointment, since the duration
of training has been shown to be strongly correlated with post-training
research activity.
Short-Term Research Training
Short-term research training
includes the following:
l Students
in health professional schools. NIH offers two short-term training
programs: those that are part of a traditional institutional research training
grant (T32) and those that exclusively support short-term trainees (T35).
Short-term research training experiences of 2 to 3 months are available to
students in health-professional schools under both mechanisms. All short-term
training must be full time. Unless otherwise stated, the requirements that
apply to institutional research training grants also apply to short-term
research training. Current stipend levels are published in NIH Guide for
Grants and Contracts.
l T32.
T32 (Kirschstein NRSA-Institutional Research Training Grant) applications may
include a request for short-term positions reserved specifically to provide
full-time health-related research training experiences during the summer or
other “off-quarter” periods. Such positions are limited to medical students,
dental students, students in other health-professional programs, and graduate
students in the physical or quantitative sciences. Short-term appointments
under institutional research training grants are intended to provide health-professional
students with opportunities to participate in biomedical or behavioral research
in an effort to attract these individuals into research careers.
To be eligible for short-term predoctoral research training
positions, students must be enrolled and in good standing and must have
completed at least one quarter in a program leading to a clinical doctorate or
a masters or clinical doctorate degree in a quantitative science, such as
physics, mathematics, or engineering, before participating in the program.
Individuals already matriculated in a formal research degree program in the
health sciences, holding a research doctorate or master’s degree, or a combined
professional and research doctorate normally are not eligible for short-term
training positions. In schools of pharmacy, only candidates for the
Pharm. D. degree are eligible for short-term positions.
Short-term positions should be requested in the application
for approval at the time of award. Short-term research training positions
should last at least 8, but no more than 12, weeks. Health-professional
students and students in the quantitative sciences selected for appointment
should be encouraged to obtain multiple periods of short-term, health-related
research training during the years leading to their degrees. Such appointments
may be consecutive or may be reserved for summers or other “off-quarter”
periods.
Since some NIH ICs do not support short-term research
training positions under the T32 or support them on a limited basis only, applicants
are urged to contact the appropriate NIH IC before requesting short-term
research training positions as part of a T32 application.
T35. Several NIH ICs provide short-term research
using a separate training grant mechanism (T35). The program intent and student
eligibility requirements are similar to those indicated for the T32. However,
since this Kirschstein-NRSA funding mechanism is used by only a few NIH ICs,
interested applicants are encouraged to contact specific ICs for details.
NIH offers two distinct programs for prebaccalaureate
training under the auspices of the Kirschstein-NRSA undergraduate support
mechanism (T34). Both programs are designed to support students from
institutions with a substantial minority enrollment.
NIGMS administers the MARC U*STAR program. This program is
designed to support selected junior/senior undergraduate honors students at
baccalaureate colleges and universities.
NIGMS recognizes that there are differences in
organizational environments and missions. Therefore, the emphasis of this
program is on the specific objectives and measurable goals that the applicant
institution sets.
Information about the program
is available at http://www.nigms.nih.gov/funding/trngmech.html#ustar
or through the following:
MARC Program Branch,
NIGMS
Room 2AS.37D
45 Center Drive MSC-6200
Bethesda, MD 20892-6200
Telephone:
301-594-3900
Fax: 301-480-2753
E-mail: tolivera@nigms.nih.gov
NIMH administers the COR
Program. The intent of this program is to provide focused undergraduate
research and research training experiences in scientific disciplines related to
mental health. An applicant institution (a 4-year college or university) must
propose a 2-year COR Honors Undergraduate Program for which 6 to 10 highly
talented third- and fourth-year undergraduate students will be selected.
Students will be provided with mentored research training experiences designed
to stimulate their entry into advanced research training programs leading to
the doctoral-level or M.D. research career degrees. For more information on
this program, contact:
COR Program
Office for Special Populations/NIMH
6001 Executive Blvd.
Suite 8125
MSC-9659
Bethesda, MD 20892-9659
Telephone: 301-443-2847
Fax: 301-443-8022
E-mail: rmays@mail.nih.gov
The individual to be trained must be a citizen or a
noncitizen national of the United States or have been lawfully admitted for
permanent residence at the time of appointment. Noncitizen nationals are
people, who, although not citizens of the United States, owe permanent
allegiance to the United States. They generally are people born in outlying
possessions of the United States (e.g., American Samoa and Swains Island).
Individuals who have been lawfully admitted for permanent residence must have a
currently valid Alien Registration Receipt Card (I-551) or other legal
verification of such status. For example, if an individual has the proper
validation on his/her passport, a notarized photocopy of the passport could
suffice. Because there is a 6-month limitation on this validation, it is the
grantee’s responsibility to follow up and ensure that the individual received
the I-551 prior to the 6-month expiration date.
A notarized statement verifying possession of permanent
residency documentation must be submitted with the Statement of Appointment
(PHS Form 2271). Individuals on temporary or student visas are not eligible for
Kirschstein-NRSA support.
Application
Requirements and Receipt Dates
The application for Kirschstein-NRSA institutional research
training grants is the PHS 398, which contains special instructions for those
grants. Application forms, instructions, and related information may be
obtained from http://grants.nih.gov/grants/forms.htm.
For further assistance, contact GrantsInfo (telephone: 301-435-0714; e-mail: GrantsInfo@nih.gov).
Some NIH ICs receive training grant applications three times
each year; however, most ICs have one receipt date only. Information on
IC-specific receipt dates is available in the NIH Guide for Grants and
Contracts in the NIH-wide T32 PA or in RFAs issued by the individual NIH
ICs. For a list of the standard receipt dates and review cycle, see the appendix to this section.
(Also see http://grants.nih.gov/training/nrsa.htm - inst).
Applicants are encouraged to contact the appropriate NIH
staff before preparing and submitting an application. Applications (except
those assigned to NIGMS, NICHD, NEI, NIDCR, or NINR) for funding requesting
$500,000 or more in direct costs for any year must include a cover letter
identifying the NIH staff member within one of the NIH ICs who has agreed to
accept assignment of the application.
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