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

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

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

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

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

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 Tabs 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 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

CPRIT Help and Guides Additional Information and Guides are available from the CPRIT website http://www.cprit.state.tx.us/funded-grants/grantee-resources/ 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

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

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 5000. 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

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

Build a Complete Contract Use Adobe to combine the various pdf document files into one complete contract 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. CPRIT Rules to Live By

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

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)

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

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

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

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

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. Progress Reports

Progress Report Tabs

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.

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

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.

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 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

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

Close Out STEP 5

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

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

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

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