Quarterly Grant Managers Meeting November 18, 2013

1. Quarterly Grant Managers MeetingNovember 18, 2013 Office of Research Support

2. Agenda • ORS Updates • Awards and Compliance Position • The Vice Provost for Research • NIH Moves to Subaccount Reporting • Faculty Training and Development (RCC) • eRA@D

3. ORS Updates • New Awards and Compliance Specialist: • Jennifer Bolognesi • Department of Pediatrics • Institute for Genome Science and Policy • Department of Surgery

4. ORS Updates • The Vice Provost for Research: • James N. Siedow • After 12 years as Duke's vice provost for research, James N. Siedow has announced he will not seek reappointment after his term expires on June 30, 2014. • Office of Post Doctoral Services • Office of Export Controls • Office of Corporate Relations • Associate Vice Provost for Research Jay Golden • http://today.duke.edu/2013/11/siedowstepsdown

5. The Vice Provost for Research: Search Committee • John Harer, Mathematics - Chair; • Dan Kiehart, Dean of the Natural Sciences; • JungsangKim, Pratt School of Engineering; • Meta Kuehn, Biochemistry; • Subhrendu Pattanayak, Sanford School of Public Policy; • Kenneth Spenner, Sociology; • Michael Therien, Chemistry; • Eric Toone, Vice Provost and Director, Innovation & Entrepreneurship Initiative; • Hans Van Miegroet, Art, Art History & Visual Studies; • Jennifer West, Pratt School of Engineering.

6. Duke University Expenditures

7. Campus Expenditures

8. NIH Moves to Subaccount Reporting

9. NIH Moves to Subaccount Reporting • What does it mean? • Currently pooled accounts. • Don’t know balance until quarterly reports are submitted. • NIH needs to “shut off” the grant and re-open it in a separate account. • Duke will need to submit a “Final” Financial Report to establish the balance in the new account. • There are implications down stream. • More on this later: COGR and FDP.

10. Faculty Training and Development

11. Faculty Training and Development • Continuing education module is available. • Management of sponsored programs have become increasingly complex in recent years. • Module provides guidance and important reference information related to compliance rules and regulations. • Per Duke University requirements, all individuals with leadership roles in sponsored projects are required to complete this module and to pass the associated assessment. • No new award will be established until these requirements have been met.

12. Faculty Training and Development • Leadership roles are defined as: • Principal Investigators • Project Leaders • Core Leaders • Project Directors • Multiple Principal Investigators/co‐ Principal Investigators • PI Fellows. • These are Sponsored Program System (SPS) terms. • Department Grant Managers are familiar with assignment of these roles in SPS and are able to assist in determining if the continuing education module is required.)

13. Faculty Training and Development • Sponsored Programs at Duke University • The Role and Responsibility of Principal Investigators and Project Directors (PI/PD) in managing sponsored projects • Managing Sponsor Requirements • Most Common Risks in Financial Management of Sponsored Projects • Conflicts of Interest • Special Guidance: • How to Determine if a Charge is Allowable • Allocability of Charges (picking the correct fund code) • Clerical and Administrative Costs • Effort Commitment and Effort Reporting • Subrecipient Monitoring • Additional Resources

14. Most Common Risks in Financial Management • Unallowable charges made to sponsored projects - There are multiple rules and regulations governing what may be charged to sponsored projects. Most are specific to the project’s sponsor. The Grant Manager has been trained in understanding these regulations and can assist. • Inappropriate allocation of charges to grants (allocability) – Sponsors require that charges are allocated appropriately to sponsored programs and that adequate documentation exists to substantiate the charges. This means that costs should never be charged to sponsored projects if they are not specifically necessary on/for that project • Excessive and Untimely Cost Transfers – Cost transfers usually occur to correct errors/costs incorrectly assigned to sponsored projects. Excessive numbers of cost transfers may be an indicator of poor project management, and are often identified by auditors for further review.

15. Most Common Risks in Financial Management • Last Minute Spending – Federal regulations require costs to be directly allocable (useful and necessary) to the project. Non-federal sponsors generally have the same expectation: their funds should be spent on items that are directly beneficial to the project. It is difficult to justify last minute expenses that may not directly relate to stated project goals. • Significant Over and Under Spending – As with cost transfers, over/under spending may be an indicator of poor financial management. • Late Reporting – Sponsors require timely and accurate reports. PI/PD’s are responsible for programmatic reporting and should ensure that their grant management staff prepare and submit financial reports as required. • Effort– Effort must accurately reflect (as closely as possible) actual effort expended on the sponsored project. Inaccurate salary allocation is one of the biggest audit risks.

16. Faculty Training and Development • Individuals will have until January 6, 2014 to complete the new FY 2014 module; until that time, individuals who have already completed the 2011 module may still establish new awards. • After January 6, 2014, records of the 2011 module will be removed and the new FY 2014 module will be required. • http://finance.duke.edu/research/training/index.php?crs=307&trn=26

17. Faculty Training and Development

18. RACI and WBSE Requests • When the PI, co-PI(s) or PI-Fellow(s) have not completed RCC training, • When the PI, co-PI(s) or PI-Fellow(s) do not have up-to-date COI disclosures on file, and • When the award is a contract that will require significant negotiation.

19. eRA@D • Meredith Woods