SPA Deadline

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SPA Deadline ...

    Harvard Medical School Sponsored Programs Administration

     Training Grant Procedures

Training Grants

Research training grants are an important piece of the funding that the Sponsored Programs

    Administration (SPA) office helps to facilitate. These grants most often are from one of the National

    Institutes of Health. Proposals for training grants are completed by a Principal Investigator (PI) at

    Harvard Medical School (HMS) or a PI at a HMS affiliate hospital. When a PI at an affiliate hospital

    applies for a training grant they must have an appointment at HMS and must have approval from the Dean

    for Academic and Clinical Programs.

For each training grant awarded to the institution, HMS receives a certain number of “slots” to appoint

    eligible trainees. Each “slot” is given to a selected individual selected by the training program director.

    The training program director is usually the PI that applied for the award. Training grants support pre-

    doctoral, post-doctoral, and short-term research training experiences. An award may give one “slot” to support a single trainee in one of these categories, or may reward multiple “slots” supporting a number of

    trainees in multiple categories.

SPA’s procedures for reviewing and processing training grants are described below:

    Responsible Parties and Definitions:

    Principal Investigators (PIs) have the ultimate responsibility for overseeing the award. This includes developing the proposal, determining what trainees will be appointed, and monitoring the trainees.

    Departmental Administrators (DA) may work with the PI to help with the proposal development and to ensure all the appropriate administrative detail has been taken care of. The Department Administrator is

    the primary point of contact for SPA. The Department Administrator also collects the required forms and

    signatures from the PI and trainees. These forms include the Statement of Appointment, Payback

    Agreement (for the first year of post-doc funding), Certificate of Completion of Human Subject and

    Animal Training, Participation Agreement (if not already on file) and Termination Notice.

The Sponsored Programs Administration (SPA) office shall review information received from the

    department to ensure it is correct. After reviewing this information for accuracy, SPA provides

    institutional endorsement on forms requiring signature. SPA sends the forms and information to the

    appropriate parties and initiates the award set-up process. Assistant Director (AD) and Senior Sponsored

    Research Administrator (SRA) are responsible for the award set up process.


    A. Proposing for Trainee Grants

    1. Principal Investigator/Department Administrator Responsibilities:

    ? Prepare the proposal and submit it to SPA for review.

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? Complete the Proposal Routing Form and Conflict of Interest forms including all

    appropriate signatures.

    ? Submit a complete, final draft of the proposal for SPA review.

    ? Submit any additional forms required by the sponsor to SPA.

    2. SPA Responsibilities:

    ? Complete a thorough review of the proposal as outlined in the Proposal P&P


    ? Provide institutional endorsement when the proposal review is completed.

    ? If the department is submitting the proposal: Make one copy of the proposal and

    return the ORIGINAL to the department administrator. This copy will be placed in

    the folder.

    ? If SPA is submitting the proposal: Make the necessary number of copies to be sent to

    the sponsor and one additional copy to be placed in the folder. Submit the

    ORIGINAL proposal including all other necessary documentation and copies to the


    B. Award Set-up Stage

    1. Principal Investigator/Department Administrator Responsibilities:

    ? Complete a Statement of Appointment Form (2271) for each trainee. The

    Statement of Appointment Form includes biographical data on the trainee and the

    stipend level for the period of appointment. The training program director submits

    this form to SPA at the time of the initial appointment and subsequent

    reappointments of each trainee. If a training grant is not federal there may be another

    type of form or letter that the sponsor requests; this is also submitted to SPA for


    ? Submit all necessary forms to SPA, these forms may include: Participation

    Agreement (if not already on file), Human Subject and Animal Training

    Certification, and Payback Agreement (for the first year of post-doc funding).

    2. SPA Responsibilities:

    ? When the Notice of Grant Award (NGA) or other award notification documentation

    is received, the Operations Administrator (OA) records it in the Grants Management

    Application Suite (GMAS) and notification is sent to the department.

    ? The Senior SRA or Assistant Director (AD) responsible for the department prepares

    the necessary GMAS entries in accordance with NGA to establish account string and

    produce an Action Memo. The Action Memo is then sent to the Department


    ? After the main account is set up trainees can be appointed to the award. SPA will

    receive Statement of Appointment (PHS 2271) forms from the department as they

    wish to appoint trainees. Trainees can be appointed to an award throughout the

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     Training Grant Procedures

    budget period until all of the “slots” have been filled. When the Statement of

    Appointment is received it is reviewed for accuracy. This review includes:

    a. Line 1 (PHS Grant Number) Review the PHS grant number to ensure it is

    complete and accurate (ex: 1 R01 AG06832-01).

    b. Line 4 (Type of Action) If “New” is checked in this area SPA checks the

    trainee’s status as a pre or post-doc. Look at the date of graduation in the

    “Education” section and calculate the number of years. This will allow

    you to look up the stipend level and determine if a Payback Agreement is

    needed. Payback Agreements are necessary for new post-doc


    c. Line 5 (Prior Support) If a Pre-doc is requesting appointment after 5

    years, or post-doc after 3 years, a waiver of the time limit is needed.

    d. Line 8 (Citizenship) It is important that this box is checked. If

    “Permanent Resident of U.S.” is marked, a notarized copy of the “Non-

    resident Alien” card MUST be provided. To be appointed to a training

    grant an individual must be a citizen or non-citizen national (ex: in

    possession of a currently valid Alien Registration Receipt Card I-551, or

    some other legal verification of such status). Individuals on temporary or

    student visas are not eligible.

    e. Line 13 (Period of Appointment) The start date for the trainee must be

    within the budget period of the award.

    f. Line 14 (Education) This section is used to check the trainee’s status as a

    pre-doc or post-doc. A post-doc receives one year of experience for every

    FULL calendar year beyond the receipt date of their degree (Ph.D., M.D.,

    D.D.S). The first year as a post-doc is Level 0, after 1 year of experience

    the post-doc is Level 1, etc. This is used to verify the stipend level is

    correct; post-docs are paid a higher stipend for each year of experience.

    g. Line 18 (Support for Period of Appointment) This is one of the most

    important numbers to check when reviewing this form. To check this

    number you need to use the NRSA stipend guide. There is a different

    guide for each NIH fiscal year. The AD or Senior SRA looks at when the

    NGA was awarded to determine what year should be used. These guides

    are located on the NIH website at When you determine what

    guide to use for post-docs, look up the appropriate level based on the years

    of experience calculated using Line 13. Pre-docs all receive the same

    stipend level that is listed in the guide. For short-term appointments,

    determine the stipend level by going to the specific website for the institute

    or Sponsor. You will find a monthly stipend; a calculation is made based

    on the number of months and days of the appointment. The daily stipend is

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     Training Grant Procedures

    the number of days in the month divided by the monthly stipend; weekends

    are included in this calculation.

    h. Line 19 (Statement of Nondelinquency on Federal Debt) If “yes” is

    indicated contact the Director of SPA.

    i. Line 20a (Signature of Trainee) This line needs to be signed in blue or

    black ink by the trainee.

    j. Line 21a (Signature of Program Director) This line needs to be signed in

    blue or black ink by the Program Director.

? After the review is completed, the AD or Senior SRA fills out SPA’s Appointment of

    Trainees Summary Form. This form is located on the G drive. This form is placed in

    the folder and used as a reference when trainees are appointed to the award. The

    form keeps track of the number of trainees that have been appointed to the award.

    This enables the AD or Senior SRA to quickly determine if a training slot is available

    and answer questions from the department. If the periods of appointment do not

    overlap, a training slot may be allocated to more than one individual.

    ? In addition to the Statement of Appointment, for post-docs, federal training grants

    require that the trainee sign a Payback Agreement for their first year of funding.

    This agreement obligates the trainee to pay back the money given to them if they

    decide to terminate early. The Payback agreement is sent to the sponsor with the

    Statement of Appointment form. A T15 training grant is an exception to this and does not require a Payback Agreement. ? Sponsors require Human Subject and Animal Training Certification when

    research is being conducted on animals or humans. SPA collects this information

    from the department prior to the start of the appointment date and before any trainee

    funds are allocated, and submits it to the sponsor. Training must be completed before

    funds are awarded.

    ? HMS requires that all individuals conducting research sign a Participation

    Agreement. If this form is not on file SPA requests that this form is signed and sent

    to SPA. If a trainee is at an Affiliated Institution, a Participation Agreement is not


    ? After reviewing all the necessary training grant documents, SPA will provide the

    institutional signature on the face page of the proposal.

    ? The AD or Senior SRA creates one copy of all forms. The ORIGINAL is sent to the

    Grant Management Specialist listed on the NGA. One copy is scanned into GMAS

    and then placed in the folder.

    ? When a trainee is at an affiliate institution they are paid directly from the affiliate,

    after an agreement has been established between HMS and the affiliate institution.

    The AD or Senior SRA prepares and processes the relevant paperwork for the


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     Training Grant Procedures

    C. Termination of Training Grants

    1. Principal Investigator/Department Administrator Responsibilities:

    ? The department is responsible for notifying SPA and completing a Termination

    Notice (416-7) within 15 days of the end of the total period of support.

    2. SPA Responsibilities:

    ? When the Termination Notice is received from the department it is reviewed by SPA.

    This review includes:

    a. Line 2 (Fellowship or Training Grant No.) - Review the PHS grant

    number to ensure it is complete and accurate (ex: 1 R01 AG06832-


    b. Line 6 (Dates of NRSA Support Under This Award) Confirm that

    the start date is correct.

    c. Line 7 (Total NRSA Stipend Received and Number of Months

    Supported Under This Award) Check to make sure the correct

    month/day calculation was used. Also confirm that the correct

    stipend level was used for this calculation.

    d. Line 12 (Signature of Fellow or Trainee) Make sure that the trainee

    has signed here.

    e. Line 13 (Certification of Sponsor or Program Director) Make sure

    the appropriate individual has signed this space.

    f. Lines 14 (Business Official’s Verification of Items 6 and 7) – When

    this information has been reviewed and confirmed, this line endorsed

    by an institutional official.

    ? After SPA completes a review of the Termination Notice, the ORIGINAL is

    submitted to the Grant Management Specialist listed on the NGA. The Termination

    Notice is submitted within 30 days of the end of the total support period for each

    trainee. One copy is retained in SPA, scanned into GMAS, and placed in the folder.

    The AD or Senior SRA completes any necessary closeout documents and updates the

    appropriate information in GMAS. The Office of Sponsored Research (OSR) has the

    responsibility for the financial aspects of the award including completing the final

    financial statements as quickly as possible after the award has ended.

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