1. CPRIT Awards & Management
Leanne B. Scott, Director, Sponsored Programs
and
Chryll Batiste, Manager, Grants & Contracts Accounting
Baylor College of Medicine, Houston, Texas

2. AGENDA CGMS Website Contract Documents and Award Process
Management Issues
Financial – Quarterly FSR / Invoicing
Annual Reports
Change Requests
No Cost Extensions
Closeout
Questions
AGENDA

3. Not only the PI, but any admin who needs to help with financial or programmatic reporting should have a login

4. After an Award is made, then you get a new Tab called “My Grants”
Acronyms:
CARS = CPRIT Application Receipt System
CGMS = CPRIT Grants Management System

5. Home shows your To Do List
You may not realize that action needs to be done if the document or form is not assigned to you
Click on the actual grant number to see all the various sub Tabs, the actions that are needed, and who they are currently assigned to
Likewise you may need to Delegate action to other people listed in the Contacts
Home shows your To Do List

6. Managing the SO Cue Cue needs to be Actionable items
Need to monitor it at least weekly
Add Contacts of additional Grants Contract/Office of Sponsored Programs Official: at least 2 - for Programmatic and Financial reports management
Delegate web forms to be completed and then item is sent back for final approval
Follow progress in the View/Hide Notes
Managing the SO Cue

7. Delegate Future Documents
After the Annual FSR is approved, the CGMS system auto-generates ALL the next year’s annual reports: AIR, HUB, SAD, etc.
The SO To Do List just gets too long to manage
Have 2nd person in SPO staff create a login and Delegate the reports that are not due for a year to them
Then every quarter move the next set back into the active To Do List Cue

8. Grant Tabs Grant Info = Summary
Contacts = MUST be added or cannot do anything online
Documents = Programmatic items
Correspondence = only CPRIT uses it, use internal
BUDGET = Financial items – many subtabs
Progress Reports = has it’s own set of subtabs
Change Requests = only appears after awarded
Grant Tabs

9. Budget Sub-Tabs Budget Summary Details for each Year
Personnel Level of Effort – Have to keep updated
Financial Status Reports – Submit quarterly to be reimbursed
Payments – additional summary info
Other Financial Reports: AIR, HUB, RSR and SAD
Budget Sub-Tabs

10. CPRIT Help and Guides
Additional Information and Guides are available from the CPRIT website
ALSO their help desk can be reached by phone or

11. Accepting the Award
STEP 1

12. 10 Documents
There are 10 documents in total that need to be completed and that will compile into the final Research Contract
They start in the Signing Official (SO) cue and then get Delegated to PI or Admin
CGMS records date and time stamps of the approvals
PI should always Verify and send to SO for final approval and then it goes to CPRIT

13. SPO (Sponsored Programs Office) reviews and approves the following right away:
Base Contract: Checking for correct PI, dates and amount of funding Attachment C1 – Assurances and Certifications Attachment D – IP and Revenue Sharing Attachment E – Reporting Requirements

14. Attachment A
Scope of Work (SOW) and Timeline will auto fill from the Application but PI needs to Verify it is correct
Existing Awards will have to add the new style of Goals and Objectives as a Change Request
Call SPO first if you think you need to change your Aims

15. PI needs to fill in 3 documents
Negotiate Budget Summary for all years. Auto fills from application. Changes should be Justified. The total number of characters and spaces in the Justification cannot exceed Don’t cut and paste from Word, use a simple text processer so hidden characters will not be present.
Negotiate Personnel Level of Effort. Anyone being paid off the grant should be listed and be added to the BRAIN proposal, and be on the RCOI Assurance letter. If TBA from the application are now known, they should be added at this time. Enter TBA in the online system or you will not be able to invoice for that position when you fill it.
Duplication of Effort and Project Overlap Form. The PI has to choose one answer, and send to SO to then approve and submit to CPRIT.
PI needs to fill in 3 documents

16. Final Steps SPO Approves CPRIT Activates
Final CPRIT approved Budget comes back for confirmation as Attachment B
SPO will prepare and submit Attachment C2 – Matching Compliance Certification once the final budget has been approved.
Executive Officer is notified to review all the Contract Documents
Once his approval is received, then the online status of the grant is changed to Active, and SPO funds the proposal and Accounting sets up an account.
Final Steps

17. Build a Complete Contract
Use Adobe to combine the various pdf document files into one complete contract
“All Contract Documents Approved”
Base Contract
Attachment A = SOW
Timeline
Attachment B = Budget
Attachment C2 = Matching
C, D and E (previously combined)
No negotiating the basic contract documents, so you can use the same set for awards within the same type ie. Research vs Prevention vs Recruitment
Build a Complete Contract

18. Managing the Award
STEP 2

19. Each report or document is considered programmatic, financial or other change request
In general: Programmatic > Financial > Change requests.
If something is overdue it will hold up everything else regardless of #2.
CPRIT Rules to Live By

20. You can have multiple reports/requests working at once.
Ex: Prog Rep and FSR can go in together
But those that depend on approval of another will be disapproved or will sit in CPRITs cue until it is cleared
And you cannot submit the Report when a Request is waiting, so Catch 22!
Timing is Everything

21. Financial Status Reports (FSR)
Monthly Monitoring
Accounting should run monthly reports for each grant and monitor that spending is in the correct categories and has not exceeded the approved budget.
CPRIT requires amounts to match to the penny!
Quarterly Invoicing
Keep good back up records such as travel documents, equipment or subcontract invoices, quotes or contracts
Submit copies of any invoices over $750 to Accounting
Financial Status Reports (FSR)

22. Moving funds between existing categories is allowable so long as it does not exceed 10% of the total award.
You still have to submit a revised budget and justification to CPRIT or they will not allow the charges when the FSR gets submitted.
Changes greater than 10% will require approval by CPRIT.
Rebudgeting Requests

23. Changes to Travel or Equipment
Change - Not Otherwise Specified Requests: Certain items like equipment or travel that were not originally in the budget or wish to increase must be pre- approved by CPRIT before these charges can be incurred.
Contact Postaward Office first if you want to do any Financial Changes.
Changes to Travel or Equipment

24. Carry Forward Requests
Annually, AFTER the last FSR has been approved for the last year, THEN you can Request Carry Forward.
It is not automatic. In addition to the budget numbers, a Justification that includes answers to 3 questions must be submitted.
After approval, THEN you can Rebudget funds into different categories if needed.
Carry Forward Requests

25. 3 questions for Justification
1) How do the carry forward of funds fit into the scope of the project? Briefly explain.
2) Will the carry forward funds materially change the nature, performance level, or project scope or work plan? If yes, briefly explain.
3) Will the carry forward of funds affect your ability to meet your performance measure projection? If yes, briefly explain.
3 questions for Justification

26. Annual Reports
STEP 3

27. SPO requires a Non-competing proposal to monitor compliance issues like protocols and COI on an annual basis.
The online Report and the “N” proposal should be submitted together and will be approved together.
CPRIT report should be submitted right after the year ends in order to allow time for all the approvals to occur.
Progress Reports

28. Progress Report Tabs

29. Do NOT change Status from Draft to Complete until you are really done
Do NOT change Status from Draft to Complete until you are really done. Similar to the Application stage, SPO will have to help you unlock.
View Notes and Comments is a useful feature to see the routing history of any document as well as any comments made by reviewers.

30. Other Annual Reports Finance Approves SPO Approves
Annual Inventory Report (AIR)
Historically Underutilized Businesses (HUB)
Budget Verification
Revised Contract Attachment B - Budget
Single Audit Determination (SAD) Form
Revenue Sharing Report (RSR) Form
Revised Contract Attachment C Part2 - Matching Compliance Certification
Other Annual Reports

31. Change Requests
STEP 4

32. ORDER is Important!
Have to do changes well before anything is due so there is time for it to be approved. Otherwise, a pending Request can prevent a Report from being submitted.

33. Contract Amendment Change Request: To Change the PI, or any terms found in the Contract, then an Attachment F to the contract will be created and then after approval by all parties becomes an Amendment to the Contract.
Programmatic Changes

34. Change in Key Personnel Level of Effort: People can be added, deleted and the percent of effort on the project changed by updating the online table and providing a Justification. Includes ALL investigators.
CPRIT defines Key, everyone else is Other
Key: PI, Co-I and SubPI
Non-Key Personnel Changes or changes in Effort: You can upload the form found on the CPRIT website in the Ad Hoc Documents section.
This form has to be signed by the ASO
Allows you to update post docs, students, techs, TBAs and such
PLOE Changes

35. No Cost Extension No Cost Extensions will only be allowed for 6 months
You can only request them between 90 to 30 days before the end date.
Requires an Attachment F Amendment to the Contract so many steps to approve
No funds are available until after FSR and Carry Forward is approved
Takes about 3 months to put in place
No Cost Extension

36. Close Out
STEP 5

37. Takes the Team! PI, Admin, SPO, Acct and Licensing
Final FSR is due 90 days after end date
(quarterly due 90 days after)
Final Progress Report is due 90 days after
(annual due 60 days after)
ALL other Reports are like Progress Reports
Final annual inventory report
Final HUB report
IP report form — may submit after closeout
Revenue sharing form — may submit after closeout
Takes the Team! PI, Admin, SPO, Acct and Licensing

38. SUMMARY BCM In-House Deadlines
Monthly monitoring of expenses
Quarterly FSR due 30 days after the quarter end date
Quarterly Prevention reports due 7 days after the quarter end date
Annual Reports due 15 days after end of grant year
NCE Request 60 days before end date
SUMMARY BCM In-House Deadlines

39. Audience Advice Any tips to share? Best practices? Things to avoid?
War stories?
Audience Advice

40. Financial Questions such as FSR, HUB, AIR, Carry Forward or Rebudgeting
Chryll Batiste, Manager Accounting
Programmatic Questions such as Contract, Reports, Special Documents or NCE requests
Leanne Scott, Director, Sponsored Programs
Questions?