The Agency for Healthcare Research and Quality (AHRQ) awards National Research Service Award (NRSA) institutional training grants to academic institutions to develop health services research training opportunities. Awards allow selected trainees to gain 1 or more years of training and experience in applying research methods to the evaluation of health services.
Details on NRSA policy guidelines, useful in the administration of ongoing awards, can be found in the NIH Grants Policy Statement (12/03).
Official Requests
Prior Approval
Position (Slot) Allocations
Student Appointments and Payback Requirements
Budget/Fiscal Questions
Noncompeting Continuation Applications and Reports
Appointment and Termination Forms
Publications
Additional Information
To whom do we submit official requests regarding appointments, terminations, use of funds, etc.?
All official requests must be co-signed by an authorized business official. Request should be submitted formally to your Grants Management Specialist and include as a reference the grant number and Principal Investigator (PI). You are encouraged to discuss the nature of the request prior to that with your project officer. Please factor in sufficient time for a response, particularly toward the end of the current grant year. In other words, requests made, particularly those involving budgets, should be officially received by March 31.
To whom should questions stemming from our Office of Special Projects be directed?
All questions coming from your business office (Office of Special Projects) should be directed to grants management, not to the project officer on the grant.
In what situations is prior approval from AHRQ needed?
Examples of requests requiring prior approval include but are not limited to the following:
No prior approval is needed for the following:
What is the relationship between annual position allocations and students supported on a grant?
Annual slot allocations include the total number of students who can be supported with funds provided in a given year. It includes both continuing and new appointees. If all slots are encumbered with continuing students, no new students can be appointed.
A training grant has a budget start date of July 1. Do all trainees have to be appointed by July 1? What does a grantee do if a trainee doesn't start until September 1—must the appointment be restricted to 10 months?
Trainees can be appointed at any time during a budget period, for an entire 12-month period. In doing so, the entire 12-month stipend and tuition is charged to the current year. Thus, an appointment made in a prior budget period can technically overlap into the next budget period. Since the entire 12-months of stipend and tuition is charged to the grant at the time of the appointment, the unexpended balances stemming from travel and other training related expenses should be reported on the FSR as unobligated—not as unliquidated.
It is important to note that students appointed as late as June 30 of a given grant year have their salary capped at the level established for the grant year in which they were last appointed or re-appointed to the grant. They are not entitled to receipt of any newly announced stipend increases available to students who are initially appointed or reappointed the next day (which is the beginning of the new grant year award). Also, if a student is on a grant six months or less in an award period, ½ of the TRE funds associated with that student revert back to the government in the form of unobligated balances.
A training grant is awarded with five predoc and three postdoc positions. Can the grantee substitute a predoc for a postdoc?
This may be allowed with prior consultation, an official request submitted, and approval granted. We normally allow it if it is within the scope of what programs were approved for and does not cost extra. Due to funding limitations, only in exceptionally rare circumstances would approval be granted if the situation were reversed and additional funds from the agency were needed.
If a student leaves the program early within a given year, can a new student be appointed to the vacated slot?
Generally, when a student vacates a slot within a given year of appointment, a new student cannot be appointed to the vacated slot and unused funds become unobligated. In exceptional circumstances if the position is vacated early in the appointment year and the program can demonstrate sufficient funds from the current award year are available in the grant to fully-support an additional student, a request can be made in writing to grants management requesting approval to fill the vacated slot. Approval is not guaranteed. In order to consider the request, a specific person has to be named who will fill the vacated slot. The newly identified person will initially be appointed for the time-period remaining to complete the planned program of training. The request must include a statement assuring that the individual will be immediately reappointed in the subsequent year.
Is there a way to procure an additional slot on a training grant for a member of an underrepresented minority group when all of the slots are already filled?
At present, the AHRQ T32 does not have minority supplements.
What is the procedure to follow if a student goes on a leave of absence, regarding his/her termination and possible reappointment upon returning?
When a student needs to take a leave of absence, documentation to suspend the period of appointment must be completed by submitting an amended statement of appointment and a termination notice. If the student returns to the program within the same fiscal-year cycle of the grant to which he/she was appointed, a new reappointment form is completed and submitted. The student then simply completes his/her training, based on funding-levels provided to him/her prior to departure. However, if the student does not plan on returning to the program until the grant year following that to which he/she was most recently appointed or reappointed, the policy differs. In such situations, the program needs to use one of its available slots in the forthcoming year for the student and any unused funds accruing from the previous year go into the program's unobligated balances.
Can a trainee be appointed to a grant if he/she has applied for his /her green card but has not received it yet?
No. For training grants, citizenship requirements must be met at the time of the appointment.
Does a trainee have to pay taxes on stipends?
The interpretation and implementation of the tax laws is the domain of the IRS. AHRQ takes no position on the status of a particular taxpayer, nor does it have the authority to dispense tax advice. Some modest guidance is provided in the NRSA Guidelines on stipend taxability. Refer to Section III.1.F—Taxability of Stipends.
Is a Payback Agreement required for all "New Appointment" postdoctoral trainees?
Only if the appointment is their initial 12 months of postdoctoral NRSA support. If the trainee received any other NRSA postdoctoral support that totals 12 months, on either another training grant or fellowship, a payback agreement would not be required.
What satisfies payback requirements?
The following types of activities satisfy payback responsibilities:
What are the time commitments involved in payback requirements?
All acceptable activities must be undertaken for periods that average at least 20 hours per week. Total employment in such activities averaging less than 20 hours per week cannot be counted toward fulfilling the obligation except in cases of disability or other pressing personal or family circumstances, such as child care or elder care responsibilities. It is not permissible for individuals otherwise engaged in full-time employment to engage in service payback activities at effort levels below 20 hours per week.
If less than 20 hours commitment per week is permitted, the total period of service obligation will be prorated.
Ruth L. Kirschstein National Service Award (NRSA) Stipend Increase and other Budgetary Changes Effective for Fiscal Year 2004 can be found at: http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-04-023.html
Stipends must be paid in accordance with the stipend levels set by in the NIH Guide announcement released February 5, 2004, for the Ruth L. Kirschtein Stipend Increase and Budgetary Changes. No departure from the standard stipend schedule as provided from the grant may be negotiated by the grantee institution with the trainee. For appointments of less than 12 months, the stipend will be prorated.
Can a trainee be supported on an AHRQ or NIH research grant at the same time they are supported on a NRSA Grant?
Public Health Service (PHS) funds may not be used to supplement an NRSA stipend. Furthermore, trainees are required to devote full-time effort to the training program. Under no circumstances may the conditions of the employment interfere with, detract from, or prolong the trainee's approved NRSA training program.
Can stipends be supplemented?
Programs can provide supplementation of student stipends to defray the cost-of-living, as long as it carries no additional obligation from the student, and is accordance with the institution's policies and is uniformally applied to all students in a similar category. Under no circumstances can PHS funds or Federal funds (unless specifically authorized for such use) be used for this.
Are students eligible for additional compensation?
Additional compensation is income accruing to the student from employment. It requires the establishment of an employer/employee relationship with the student. 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, it is expected that compensation from research grants will be for limited part-time employment apart from the normal full-time training activities.
Compensation may not be paid from a research grant that supports the same research that is part of the trainee's planned training experience. Furthermore, under no circumstances may the conditions of the employment interfere with, detract from, or prolong the trainee's approved NRSA training program. In addition, such compensation must be in accordance with institutional policies where the student is located and has to be consistently applied across all qualified individuals.
Do training grants have pre-award cost authority?
Polices governing expenditure of funds on training grants are those permitted in the PHS Grants Policy Statement. This would apply to both pre and post award expenditures of all cost stipends, tuition, trainee travel and training related expenses. However, it must be noted that stipends and tuition costs may not be charged to the grant before the appointment is actually made. Since an appointment period cannot start before the budget period, grantees may not use preaward costs for either stipends or tuition.
When can the period of appointment begin for a trainee who received support from a supplemental award?
The budget period for the supplement should be the same as the parent award. If a trainee is appointed using supplemental funds, the grantee can make the appointment effective prior to the actual receipt of the supplemental funds, but within the budget period start and end dates, and use preaward costs.
Are grantees required to use the same tuition formula for actual expenditures?
No. The formula is used for award calculation purposes only. Funds are awarded in a lump sum and grantees are free to expend these as best meet their actual needs.
What is the rebudgeting?
Rebudgeting involves the re-allocation of funds available within a particular budget period.
What are the general guidelines with regard to rebudgeting?
It depends on the specific cost. Section III.G.3 of the NRSA Guidelines addresses the rebudgeting of funds. Overall the following guidelines apply:
The grant covers $3,000 of tuition plus 60 percent of the balance. Is it permissible to use Training Related Expenses (TRE) funds to cover part of the remainder of the tuition?
The grant covers 100 percent of the combined costs of tuition, fees and health insurance up to $3,000 and 60 percent of the balance. Yes this is permissible. Rebudgeting of funds awarded in lump sum for TRE does not require AHRQ prior approval.
A postdoctoral individual got his Ph.D. two months ago. What is the appropriate stipend level?
The first level is "0" years of experience.
What are unobligated funds?
Unobligated funds are unspent funds which accumulate across grant years.
What is the general policy of AHRQ with regard to use of carryover funds?
Reported unobligated balances will be generally used to offset future year costs of the grant. For example if a program files a financial status report on September 30, 2003, indicating that $50,000 in accumulated funds unspent funds were available through the closeout of the previous year of the grant on June 30, 2002, these funds will be used to offset the total approved amount of the grant for FY 2004 awards made on July 1, 2004.
Can unobligated funds be automatically carried forward?
For training grants at the AHRQ, expanded authorities do not apply, thus automatic carryover of an unexpended balance is not permitted. For these grants, carryover of any monies would require awarding component prior approval.
Can estimated unobligated funds be requested to support additional positions within a grant prior to the filing and verification of financial statement reports (FSRs)?
No.
Can grantees request that unobligated funds be used to support additional, approved slots?
Yes, if:
Do travel and training-related-expenses associated with individual students appointed late in the grant year carry over during the entire duration of their annual appointment?
Only stipend, tuition, and fees can be obligated for the full 12-month appointment from the date in which the appointment is initiated. Charges for travel and TRE are only made to the grant when the expenditures are incurred. Once the budget period ends, any unexpended TRE and travel funds are not available. When a trainee is appointed on June 30, 2002, they are only entitled to use travel and TRE from that fiscal year on that one day. Further, if a student is on a grant less than six months in an award period, ½ of the TRE funds associated with that student revert back to the government in the form of unobligated balances.
An award included stipends for two postdocs at Level 1. The actual trainees are one at Level 1 but the other is at a Level 3. What can be done?
Each agency or institute deals with this issue differently. Generally, AHRQ expects grantees to rebudget to accommodate this type of change within the total amount already awarded, given limited funding available. If the change is known prior to the effective start of the grant year and a request is made and received sufficiently in advance, and funds are available, AHRQ may approve such requests.
Can the cost of pizza and soda served at a seminar or meeting be charged to the training grant?
No. Described in this manner, these would be considered entertainment costs and as such are unallowable.
Can the cost of recruiting trainees be charged to the training grant?
Excerpt from the PHS Grants Policy Statement: "Project funds may not be used for a prospective trainee's travel costs to or from the grantee institution for the purpose of recruitment. However, other costs incurred in connection with recruitment under training or manpower programs, e.g., advertising, may be allocated to a grant-supported project according to the provisions of the applicable cost principles concerning recruitment costs.
When are Financial Status Reports (FSRs) due?
Financial Status Reports (FSRs) are due by September 30. If the FSR is late, a program runs the risk of not receiving its approved request for the following year.
Can the salary/benefits of the program director and/or the co-director be charged to the training grant?
Training related expense can be used to help defray such costs as staff salaries. However, such charges must meet the test of allocability and reasonableness.
In the noncompeting application, what should the grantee request for tuition/health insurance?
Tuition and health insurance benefits are reimbursed at the level established in the baseline year of the current 5-year cycle of the grant. Requests for reimbursement of any escalations in tuition and insurance levels cannot be included in noncompeting continuation applications and will not be reimbursed.
What number of slots should grantees include in their noncompeting continuation applications?
A grantee should request the number pre-negotiated with his/her project officer. Prior to submission of the noncompeting continuation application, the project officer will be in contact with the applicant with regard to the number of slots which can be requested, as well as the level of postdocs.
What should be included in noncompeting continuation applications?
Grantees should include the following in their noncompeting continuation applications:
Please make sure that all information on these forms is complete, accurate, and legible and that all signatures are obtained. The appointment dates should correspond to the actual dates of a student's appointment and be consecutive (with no date skipping) for continuing students. Salary levels should be accurate and correspond to the appropriate level of postdoc, noting that for the first year after completion of a doctoral degree, the level is "0," not "1."
Please notify AHRQ's Office of Communications and Knowledge Transfer (OCKT) as soon as one of your trainees has a manuscript accepted for publication. This advanced notice gives OCKT the opportunity to determine whether AHRQ will issue a press release and/or other marketing efforts. Please provide OCKT with the following information:
Article Title
Journal Name
Publication Date
Copy of Manuscript (electronic version is preferred)
P.I. Name and Grant number (very important)
For further information, please send an E-mail to journalpublishing@ahrq.gov.
Contact your project officer:
Shelley Benjamin, M.S.W.
Office of Extramural Research, Education, and Priority Populations (OEREP)
540 Gaither Road, Suite 2000
Rockville, Maryland 20850
Telephone: (301) 427-1528
Fax: (301) 427-1561
SBenjamin@ahrq.gov
or
Brenda Harding, M.A.
Office of Extramural Research, Education, and Priority Populations (OEREP)
540 Gaither Road, Suite 2000
Rockville, Maryland 20850
Telephone: (301) 427-1527
Fax: (301) 427-1561
BHarding@ahrq.gov
Questions can also be submitted to training@ahrq.gov.
Current as of March 2004
Internet Citation:
Administration of AHRQ National Research Service Award Institutional Research Training Grants (T32s). March 2004. Agency for Healthcare Research and Quality, Rockville, MD. http://www.ahrq.gov/fund/training/nrsaadmin.htm
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