Managing NIH T32 Training Grants: The Department, SPA and SFR Need to Be NSYNC

Transcription

1 Managing NIH T32 Training Grants: The Department, SPA and SFR Need to Be NSYNC Lori Wallin, Grants & Contracts Officer, Pediatrics Kristin Lien, Finance Professional, Sponsored Financial Reporting Jason Jacobs, Principal Grant & Contract Administrator, Sponsored Projects Administration

2 Today s Agenda Recap of key points from 2014 s Let s Play 20 Questions Team Management Activity Codes Supported in xtrain Walk through a 5-year T32 Scenario Questions Be on the lookout for scattered boyband trivia

3 Recap Institutional Training Grants, Fellowships, Institutional Career Development Awards all different mechanisms that support trainees from high-school to jr. faculty, each with a designated mentor(s) Some of the above are National Research Service Awards (NRSAs) with additional rules/requirements Most provide funding in four major categories: 1) stipend/salary, 2) tuition & fees, 3) travel, and 4) supplies/health insurance/other Trainees and fellows receive stipends, CDAs pay salary/fringe Institutional awards provide a specific # and type of slots per year cannot exceed the approved number of slots at any time, and cannot change the type without permission Trainees must be officially appointed/activated (NIH uses xtrain) and later officially terminated Trainees are not considered UMN employees but are treated similarly for benefits such as vacation/holiday pay, sick leave, parental leave, etc.

4 Band (Team) Members It is essential that the PI work with a team of multiple staff people, each with specific expertise, to successfully manage a training award All need to be aware of the responsibilities of the other team members Communications, shared documents, and periodic check-ins throughout the year will greatly reduce the risk of unwanted consequences Teams will likely include: PI Trainees Training Grant Steering Committee Accountant HR Specialist Pre-award Coordinator Education Coordinator (e.g., grad program, postdoc program, medical fellowship) SPA Grant Administrator SFR Accountant Some of the above will likely be New Kids on the Block and need some assistance from other team members to get NSYNC

5 Activity Codes Supported in xtrain (Current # at UMN) Activity Codes Supported in xtrain F30 (8) KL2 (2) T01 (0) T42 (1) R25 (8) F31 (15) K12 (1) T02 (0) T90 (1) R90 (1) F32 (9) KM1 (0) T03 (0) TL1 (0) RL5 (0) F33 (0) T15 (1) TU2 (0) RL9 (0) T32 (32) T34 (0) T35 (1)

6 Is There a Dream Scenario for a T32? Receive Notice of Award from sponsor with plenty of lead time Appoint trainees for the budget period on time (and re-appoint on time in periods 2-5) Fill all slots at the $-level budgeted Payroll would be set up perfectly for each trainee Spend all funding every year Prepare progress report two months prior to next budget period with no issues to resolve Prepare FFR within 90 days of the end of each budget period with no issues to resolve

7 T32 Dream Scenario (cont ) This means: Nobody starts late Nobody leaves early Nobody is put onto the grant retroactively crossing calendar years Nobody has a baby Nobody decides to train in Brazil without getting permission (you fill in more) THIS WILL NEVER HAPPEN!

8 Sample T32 Budget (as proposed) DIRECT COST BUDGET BP1 BP2 BP3 BP4 BP5 TOTAL Slot 1 Trainee 30,000 40,000 30,000 40,000 30,000 Slot 2 Trainee 40,000 50,000 40,000 50,000 40,000 Stipends Slot 3 Trainee 50,000 60,000 50,000 60,000 50,000 SUBTOTAL 120, , , , , ,000 Tuition/Fees* Travel* Trainee-related Exp.* Slot 1 Trainee 4,500 4,500 4,500 4,500 4,500 Slot 2 Trainee 4,500 4,500 4,500 4,500 4,500 Slot 3 Trainee SUBTOTAL 9,000 9,000 9,000 9,000 9,000 45,000 Slot 1 Trainee 1,000 1,000 1,000 1,000 1,000 Slot 2 Trainee 1,000 1,000 1,000 1,000 1,000 Slot 3 Trainee 1,000 1,000 1,000 1,000 1,000 SUBTOTAL 3,000 3,000 3,000 3,000 3,000 15,000 Slot 1 Trainee 7,850 7,850 7,850 7,850 7,850 Slot 2 Trainee 7,850 7,850 7,850 7,850 7,850 Slot 3 Trainee 7,850 7,850 7,850 7,850 7,850 SUBTOTAL 23,550 23,550 23,550 23,550 23, ,750 TOTAL 155, , , , , ,750 *Does not need to be allocated/spent evenly per trainee

9 Appointing (and re-appointing) Trainees in xtrain Train's 2001 album, Drops of Jupiter contained the lead single "Drops of Jupiter (Tell Me)", which won two Grammy Awards in 2002.

10 Appointing (and re-appointing) Trainees in xtrain era Commons User name is key to using xtrain To use xtrain users must be registered in the era Commons with a valid era Commons User name. For all roles but Trainee, to create an era Commons user name contact [email protected] For Trainees, the PI or Assistant can initiate the era Commons User name in xtrain or the PI or Assistant can [email protected] with the Trainee name, X.500 and request Trainee role

11 Appointing (and re-appointing) Trainees in xtrain To start the xtrain process, the PD/PI or Assistant (you) opens the xtrain link

12 From the Grant summary page follow the link to the Trainee Roster

13 Creating a new appointment

14 Identify Trainee link opens the door to add Trainees

15 How to set up a Trainee account

16 Trainee set up

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20 An error will occur, for example, if a trainee attempts to enter 98 Degrees in the personal profile! (After rejecting a series of names (including Just Us and Next Issue), the group decided on "98 Degrees" describing body temperature and their music.)

21 Step #1 To create New Appointments the PD/PI or Asst (you) starts with the PI Trainee Roster

22 PD/PI or Assistant (you) completes their portion of the form

23 Action keys on PHS 2271 form for PD/PI (keys are customized by form and role)

24 Step #2: The Trainee side of the equation

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26 Important Note: The trainee can change the stipend level, so be sure to audit after trainee returns the 2271 form. Also, be sure to check with your HR specialist for appropriate stipend level.

27 Ode to Backstreet Boys: Don t let your 2271 be Incomplete! Incomplete (2005) was the band s last big hit in the U.S. appearing on the comeback album Never Gone.

28 Important Note: If sending in a payback agreement for a foreign student, you must also attach a notarized copy of the Trainee s Green Card. Send both to the Grants Management specialist as indicated on the Notice of Award.

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30 Cannot re-appoint until funding for the next year has been awarded

31 Trainees and Payroll Example: Level 3 postdoc beginning September 8, 2014, ending September 7, 2015 $48, annual stipend $4, monthly stipend ($48,192 / 12) $ daily stipend ($48,192 / 365) $1, bi-weekly stipend ($48,192 / 26.1 pay periods) depending on start date, this may be 26 or 26.2 pay periods If supplemental funds will be provided to the trainee from a non-sponsored account, the supplement is set up using the same UNS job code (e.g., 9560).

32 There were no unfilled slots in this segment. Spending the Funding (or not) - What Really Happens 3 postdoctoral trainees (at pretend levels of $30,000, $40,000, $50,000 and $60,000 corresponding to experience levels of 3, 4, 5, and 6) [This is where some trainees turn from Boyz II Men] Trainee #3 started 6 months late in bp1 (and therefore he and future trainees in that slot always start at least 6 months late in this segment), and he did not spend his $1,000 travel funding during bp1 (only 6 months of his appointment overlapped with bp1 dates) $4,500 tuition was budgeted for each of Trainees #1 and #2, Trainee #1 used $7,500, Trainee #2 did not use any, therefore $1,500 unused. Trainee-related expenses were awarded at $23,550 ($7,850 x 3) but we had $3,000 unspent at the end of bp1 In bp4, Trainee #1-2 takes unpaid leave for the full month of May for a concert tour; and Trainee #2-3 cannot start until June 1, or the last month of bp5

33 Sample T32 Budget - Realistic DIRECT COST ACTUAL BP1 BP2 BP3 BP4 BP5 TOTAL NOTES Slot 1 Trainee 30,000 40,000 30,000 36,667 30,000 BP4: 1 m unpaid LOA Slot 2 Trainee 40,000 50,000 40,000 50,000 3,333 BP5: 11 m late start Stipends Slot 2 Trainee (encumb) 36,667 Slot 3 Trainee 25,000 30,000 25,000 30,000 25,000 Slot 3 Trainee (encumb) 25,000 30,000 25,000 30,000 25,000 BP1-5: 6m late start SUBTOTAL 120, , , , , ,667 Tuition/Fees* Slot 1 Trainee 7,500 4,500 4,500 4,500 4,500 Slot 2 Trainee - - 4,500 4,500 4,500 Slot 3 Trainee SUBTOTAL 7,500 4,500 9,000 9,000 9,000 39,000 BP1: 1500 unspent; BP2: 4500 unspent Travel* Slot 1 Trainee 1,000 1,000 1,000 1,000 1,000 Slot 2 Trainee 1,000 1,000 1,000 1,000 1,000 Slot 3 Trainee - 1,000 1,000 1,000 1,000 SUBTOTAL 2,000 3,000 3,000 3,000 3,000 14,000 BP1: $1000 unspent by Slot 3 Trainee-related Exp.* Slot 1 Trainee 7,850 7,850 7,850 7,850 7,850 Slot 2 Trainee 7,850 7,850 7,850 7,850 7,850 Slot 3 Trainee 4,850 7,850 7,850 7,850 7,850 SUBTOTAL 20,550 23,550 23,550 23,550 23, ,750 BP1: $3000 total unspent TOTAL 150, , , , , ,417 *Does not need to be allocated/spent evenly per trainee

34 Tracking Trainees (departmental perspective) NSYNC received its name after Justin Timberlake's mother commented on how "in sync" the group's singing voices were. The group's name is also a play on the last letter of each of the original members' names: JustiN, ChriS, JoeY, JasoN, and JC.

35 End of Budget Period Activity: Step by Step SFR reviews budget period data: Balances, encumbrances, deficits Department/Program reviews SFR findings, adjusts as necessary SFR prepares and submits the Federal Financial Report (FFR) annually "Step by Step" is the biggest-selling hit single from New Kids on the Block. The lead vocals were sung by Jordan Knight. Danny Wood sang "Step 1", Donnie Wahlberg sang "Step 2", Jordan Knight sang "Step 3", Joey McIntyre sang "Step 4", and Jonathan Knight sang "Step 5."

36 Amount reported as encumbered for year 1 automatically carries forward to the funding section for year 2

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38 What Can Be Encumbered on a Training Grant? Stipends Tuition Training Related Expenses Health Insurance Travel Yes Yes No No No We must report stipends as fully obligated in the year in which they were awarded. SFR uses the new trainee schedule to determine the amount of stipends to encumber per trainee We can encumber up to the full awarded amount of tuition per trainee, ONLY IF, we have encumbered stipends for that trainee as well. Once the tuition is encumbered, it is restricted to the stipend/tuition project and may not be rebudgeted out of this project. TREs are available for use for all trainees, it is up to the PI/Program Director to determine how these funds are distributed. Any unobligated balance from TREs will revert back to the agency annually. Institutionally we do not report a balance of health insurance as an unliquidated obligation. Health insurance falls under the TRE category, and is available for use by all trainees, it is not restricted to an individual trainee. Any balance will revert back to the agency. This amount also falls under the TRE category and is available for use for all trainees. Any unspent travel funds will revert back to the agency.

39 Deficits at the End of the Budget Period, What s Allowable, What s not? Unrestricted Project: Health Insurance, Travel, Trainee Related Expenses, Other Restricted Project: Stipends, Tuition Deficit On: Balance On: Allowable? Why? Unrestricted Project Restricted Project No Funds on the restricted project may not be rebudgeted out of the project, deficit on unrestricted project will need to be removed Restricted Project Unrestricted Project Unrestricted Project No Balance Yes No Restricted Project No Balance No Funds on the unrestricted project may be rebudgeted, since you cannot add additional trainee slots, this would most likely cover a deficit on tuition No balance available, must remove deficit No balance available, must remove deficit

40 What the Department Should Review Below are some items that the department should review after they have received the Award Summary Workbook from the SFR Accountant All current appointed trainees are listed on the New Training Schedule Tab Trainee appointment dates are correct, ie check for early terminations Trainee stipend amounts are correct, ie check for amendments that may have been made to the annual stipend amount that SFR might have missed Verify that SFR has encumbered the correct number of days/months for trainees that require an encumbrance If there are unfilled slots, the balance of the stipend, tuition, health insurance, TREs must be returned verify that there is sufficient balance to be returned

41 Amount listed under f. Federal share of unliquidated obligations is the amount that we are reporting as an encumbrance this amount will be carried forward to the next budget period. Amount listed under h. Unobligated balance of Federal funds is our unobligated balance, this is the amount that SFR will deobligate from the budget an Award Mod will be added on the Award Profile to show the amount that has been closed out from the budget

42 Requesting Carryforward In general, the NIH does not approve carryover of unexpended funds on training grants. Reason: The NIH approves a maximum number of slots per year and each year the University gets new funding for the same number of slots. You cannot have more slots in a future year because you did not fill them in the previous year. Exception: The NIH may have approved a Post-Doc funded at level 2, but the U of MN chooses to hire a Post-Doc at level 5. In this case, the NIH might approve a carryover request. In most cases, if funding is unexpended in a previous year, the NIH will use the unexpended dollars as an offset in a future year.

43 The End of a 5-Year Segment This line is where SFR will record an awarded offset on the Award Summary Worksheet The amount encumbered on the final report for this 5-year segment will automatically be carried forward to the next segment. In the future, the new segment will be issued on a new Contract/Project due to PMS issuing a new DOCID Current Year s unobligated balance Prior year s unobligated balance: 12,681.35, less 5, issued as offset, remaining prior year balance 6, Total unobligated balance of federal funds at the end of the 5 year segment

44 What is an Offset? An offset is when the funding agency uses part of a prior year s balance to fund the current year. Once the agency has used a prior year s balance as an offset, this balance is no longer available. Below is an example of how an offset would look on a Notice of Award. Total Federal Funds approved for this period Less unobligated balance this is the offset amount that was awarded for use in this period Amount of new funding this period The total amount of 384,158 is available for use, but only $296,766 is new federal funding. $87,392 was awarded as offset, meaning this balance is no longer available to us.

45 The Termination Notice (TN) is used to document the termination of appointments on Training Grants

46 PI or Assistant begins the process in xtrain

47 Modify the termination date (if termed early) and choose a BO from the list of individuals available

48 PD/PI or Assistant (you) reviews and routes the form to trainee

49 Step #2 The trainee enters or confirms the majority of the information on the form and routes to PI

50 Step #3 Termination is routed by PI to the BO (SFR)

51 Trainee s appointment has reached its end date and they will not be reappointed Yes NIH requires term notices to be submitted through xtrain within 30 days of trainee s appointment end date Trainee Terminates Early Yes Please process in xtrain as soon as possible. SFR relies heavily on the information in xtrain to be accurate for financial reports. We may over-report for a trainee if we are not aware that they termed early Trainee Paid Parental Leave No Trainees are allowed up to 60 days (8 weeks) of parental leave. As long as they are receiving a stipend payment from the project throughout their leave, they do not need to be termed Trainee Un-Paid Parental Leave, or Un-Paid Other Leave Yes Process a term notice for the trainee based on their last paid day prior to their unpaid leave. Once the trainee returns, you can appoint them (new) again. Unpaid leaves typically require prior approval from the GMO at NIH. Please confirm that the trainee s early term notice has been fully approved in xtrain before you appoint them again

52 SFR s Review of Termination Notices SFR reviews a trainee s stipend payments after they have terminated from the award (Bye, Bye, Bye) we do not complete a full review for a termination notice for unpaid leave if the trainee will be appointed again. When the term notice gets routed to us, we complete an excel form as shown below. This section will capture all appointments the trainee had on the training grant This total comes from the 2 nd tab of the workbook titled stipends. SFR pulls all stipends paid on the training grant for the trainee and compares the amount paid to the amount awarded This calculation shows if the trainee has been overpaid or underpaid if an adjustment is needed the SFR accountant will send their review on to the departmental accountant to let them know that the trainee requires an adjustment.

53 Other Items of Interest Parental leave or other unpaid leave not the same for all trainees, work with HR Fellowships: Sponsor must be set up in xtrain ; only terminations done in xtrain (not appointments) Institutional Career Development Awards: Appointments coincide with grant bp anniversary dates (if starting mid-bp, only partial appointment is made at one time). Also, for early terminations, must amend appointment and route through xtrain prior to routing TN. Termination notices do not route through SFR. See document posted with this session s slides: Train Wrecks: Has This Happened to You in xtrain? We are looking for more stories.

54 Questions? Helpful Links NIH NRSA Training Grants FAQs NIH NRSA Fellowships FAQs NIH Kirschstein NRSA Stipend Levels NIH xtrain FAQs

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