ARCHIVED - NIH Grants Policy Statement (10/03)
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
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
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.)
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.
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.
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.
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).
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.
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.
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.
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.
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.
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.
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
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.
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.
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.
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://oba.od.nih.gov/oba/rac/guidelines_02/NIH_Guidelines_Apr_02.htm.
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 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 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 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
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,
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:
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.
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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