Training Grants

The University of Washington (UW) receives training grants from federal and non-federal agencies. Training grants support pre-doctoral and post-doctoral research training experiences. The primary federal agencies providing training grants are the National Institutes of Health (NIH), Health Resources and Services Administration (HRSA) and the Office of Education (ED).

Some special regulations for NIH National Research Service Awards (NRSA) include:

  • Separation must be maintained between trainee and other costs.
  • Statement of Appointment (SOA) forms are required for each trainee for each year of support.
  • Termination Notice are required for each trainee at end of the entire appointment period.
  • Tuition is awarded at 60% up to a maximum of $16,000 for pre-doctoral trainees and a maximum of $4,500 for post-doctoral trainees.
  • Trainee related expenses, including health insurance, are funded at $4,200 per pre-doctoral trainee and $7,850 per post-doctoral trainee.
  • Trainee health insurance is subject to Facilities and Administrative (F&A) costs.

Non-NRSA training grants may have different policies depending on the award and the sponsor. Please see the Training Grant Matrix

Process Overview for NRSA

Separation of Costs

Separation of costs is an important issue in training grant compliance and management. These requirements differentiate training grants from research  grants. Training grant awards categorize funds as either trainee funds, other funds and indirect costs.

Trainee funds are restricted for trainee cost categories only:

  • Stipends
  • Tuition

The other funds are allocated, but not restricted, to be used for other cost categories:

  • Trainee travel
  • Other trainee related expenses
    • e.g. staff salaries, consultant costs, equipment, research supplies, and travel expenses for the training faculty
  • Indirect Costs

Trainee Cost Categories

The University has set up expenditure object codes for trainee cost categories. Trainees must NOT be paid under any other object codes on NRSA awards.

These object codes are:

  • 01-50: Post-doctoral research trainees (with benefits)
    • Post-doctoral research trainees are always paid in object code 01-50.
  • 01-90: Pre-doctoral research trainees (with benefits)
    • Pre-doctoral research trainees will be paid in object code 01-90 if all of the following criteria are met:
      • The trainee must remain registered for 10 credit hours or more each quarter during the academic year and 2 credit hours or more during the summer quarter.
      • The trainee's monthly stipend must exceed $800.
      • The trainee must be paid 5 out of 6 pay periods.
  • 08-02: Pre-doctoral research trainees (not eligible for benefits)
    •  Pre-doctoral research trainees not meeting all of the above criteria will be paid in object code 08-02.
  • 08-05: Tuition/fees paid to UW
    • Tuition forms authorize the 08-05 payments for trainees. Information and forms available from Student Fiscal Services.

Other Cost Categories

All expenditure object codes that are not identified in the trainee cost categories shown above are considered other costs.

Re-budgeting

Re-budgeting occurs when funds are moved within and between categories. Sponsor regulations allow re-budgeting from other cost categories into trainee cost categories and re-budgeting within other cost and within trainee cost categories. Sponsor regulations do NOT allow re-budgeting from trainee cost categories into other cost categories. In other words, leftover trainee funds cannot be used for other purposes. See example in the Training Grant Workshop.

Tuition/Benefit Shortfall

Refer to the Training Grant Workshop

Obligated Trainee Costs

Obligated trainee costs are defined by NIH as follows:

The amount of the stipend, tuition and fees for each full period of appointment must be obligated from funds available at the time the individual begins training unless other instructions are furnished by the awarding office.

When a trainee is appointed to the training grant, there must be enough money to pay for their entire appointments, not just enough money to pay for the portion of their appointments up to the budget end date. Refer to example in the Training Grant Workshop.

F&A Costs

The F&A cost rate on training grants is typically 8%. Tuition and equipment are exempt from F&A costs.

Department Responsibilities

Appointment Process for NIH NRSA Institutional Training Grants:

  • NIH indicates in the Notice of Grant Award (NOGA or NGA) the number of post-doctoral and pre-doctoral trainee slots allowed. Statement of Appointment (SOA) forms are filled out for all trainees in xTrain within the eRA Commons.
  • Determine Stipend Level:
    • Post-doctoral trainees - determine when they received PhD and calculate the number of years experience.
    • Pre-doctoral - are one set amount.
    • Refer to NIH current allowed stipend amounts.

Caution: When trainees are added at the end of a grant, old stipend levels must be used and trainees must be paid at the old rate for the entire period of their appointment. Departments must make sure that the stipends awarded match the amount allowed by the award. Any stipends awarded above the allowed amount must be paid from a non-federal source.

Ensure that:

  • Stipends are coded either 01-50 for post-doctoral trainees or 01-90/08-02 for pre-doctoral trainees.
    • Coding trainee salary as anything else on the training grant causes unallowable benefits to be charged AND can cause tax implications for trainees.
  • Trainees have been paid the appropriate stipend amounts.
  • General closing requirements are satisfied.

GCA Responsibilities

  • Prepare Outstanding Trainee Obligations (OTO) worksheet based on submitted SOA forms. The worksheet will be forwarded to the department for concurrence. At this time, the department should add the tuition estimates for continuing trainees to include in the OTO.
  • Prepare the SF425- Federal Financial Report.
  • Close the budget and carry over the trainee obligations and unexpended balance per award documentation.

Over-Expenditures

If there is an over-expenditure at the time of closing, GCA will take the following action:

Non-Competing Award: GCA will move it forward with departmental concurrence or the department may provide a non-federal budget for the transfer.

Competing Award: The department must transfer the cost overrun to a non-federal budget or obtain sponsor approval to transfer the cost overrun to the continuation budget.

References

Contacts

Please direct all communication regarding these budgets to GCA via GrantTracker

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