CPRIT Awards &
Management
Leanne B. Scott, Director, Sponsored Programs
and
Chryll Batiste, Manager, Grants & Contracts Accounting
Baylor College of Medicine, Houston, Texas
CGMS Website
 Contract Documents and Award Process
 Management Issues
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Financial – Quarterly FSR / Invoicing
Annual Reports
Change Requests
No Cost Extensions
Closeout
Questions
AGENDA
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Not only the
PI, but any
admin who
needs to help
with financial
or
programmatic
reporting
should have a
login
https://cpritgrants.org
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
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
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Home shows your To Do List
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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
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
Grant Info = Summary
Contacts = MUST be added or cannot do anything online
Documents = Programmatic items
Correspondence = only CPRIT uses it, use internal email
BUDGET = Financial items – many subtabs
Progress Reports = has it’s own set of subtabs
Change Requests = only appears after awarded
Grant 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
CPRIT Help and
Guides
Additional Information and
Guides are available from the
CPRIT website
http://www.cprit.state.tx.us/f
unded-grants/granteeresources/
ALSO their help desk can be
reached by phone or email:
866-941-7146
help@cpritgrants.org
Accepting the Award
STEP 1
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
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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
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
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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
5000. Don’t cut and paste from Word, use a simple text
processer so hidden characters will not be present.
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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.
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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
SPO Approves
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Final CPRIT approved
Budget comes back for
confirmation as
Attachment B
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SPO will prepare and
submit Attachment C2
– Matching Compliance
Certification once the
final budget has been
approved.
Final Steps
CPRIT Activates
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.
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Use Adobe to combine the various pdf
document files into one complete contract
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Email “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
Managing the Award
STEP 2
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.
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CPRIT Rules to Live By
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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!
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Timing is Everything
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Monthly Monitoring
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Quarterly Invoicing
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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!
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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
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Financial Status Reports (FSR)
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.
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Rebudgeting Requests
Change - Not Otherwise Specified
Requests: Certain items like equipment
or travel that were not originally in the
budget or wish to increase must be preapproved by CPRIT before these charges
can be incurred.
 Contact Postaward Office first if you want
to do any Financial Changes.
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Changes to Travel or Equipment
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.
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Carry Forward Requests
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1) How do the carry forward of funds fit into
the scope of the project? Briefly explain.
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2) Will the carry forward funds materially
change the nature, performance level, or
project scope or work plan? If yes, briefly
explain.
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3) Will the carry forward of funds affect your
ability to meet your performance measure
projection? If yes, briefly explain.
3 questions for Justification
Annual Reports
STEP 3
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.
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Progress Reports
Progress Report Tabs
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.
Finance Approves
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Annual Inventory
Report (AIR)
Historically
Underutilized
Businesses (HUB)
Budget Verification
Revised Contract
Attachment B Budget
SPO Approves
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Single Audit
Determination (SAD)
Form
Revenue Sharing
Report (RSR) Form
Revised Contract
Attachment C Part2 Matching Compliance
Certification
Other Annual Reports
Change Requests
STEP 4
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.
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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
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
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PLOE Changes
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
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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
Close Out
STEP 5
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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)
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ALL other Reports are like Progress Reports
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IP report form — may submit after closeout
Revenue sharing form — may submit after
closeout
◦ Final annual inventory report
◦ Final HUB report
Takes the Team!
PI, Admin, SPO, Acct and Licensing
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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
Any tips to share?
 Best practices?
 Things to avoid?
 War stories?
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Audience Advice
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Financial Questions such as FSR, HUB,
AIR, Carry Forward or Rebudgeting
◦ Chryll Batiste, Manager Accounting
◦ cbatiste@bcm.edu
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Programmatic Questions such as Contract,
Reports, Special Documents or NCE
requests
◦ Leanne Scott, Director, Sponsored Programs
◦ lbscott@bcm.edu
Questions?