1. Closeout Project Update & Phase 1 Tech Launch April 28, 2016 ORS Quarterly Meeting Valerie Abbott RACI

2. Agenda Closeout as of July 2016 Release of Phase 1 tech tools Current clean close statistics Reminders & Resources 2

3. Closeout as of July 2016 3

4. 4 Jan 2016 July 2015July 2014 Barrier Resolution and Tech Tools Rollout Closeout Project: What’s New Closeout Tasklist MANDATORY Town Hall Meetings: Clean Close Concept Introduced Barriers Addressed: RSSA, formerly OSA Parent/Child Project Management Internal Billing Late Final Peer Invoices Tuition Remission Payroll Access including Cross Org Unit Management Sept 2013 … Automated Closeout Tech Tools Federal Regulatory Changes Announced Short-Term Tools Go Live: Projects Approaching End Date Report Project Obligations Report Payroll Access Tools and Reports Workflow Status Reports by Cost Object No Cost Extension Request Form Clean Close & Phase I Tech Enhanced ZF114 Tasklist v4 Extended Closeout Docs Due Date for ‘120 Day Projects’ Final Subrecipient Invoices: Change in Review Process … July 2017 Phase I Tech: Modified iForms Workflow Transfer Off Tool ZF114 Discontinued

5. All allowable activity posted to ledger Timely submission of closeout documents Successful Closeout July 2016 Expectation at Closeout 5 Achievable with: Proactive planning & resource allocation Initiation of closeout process 90 days prior to project end Grant Managers proactively resolve outstanding issues Submission of closeout documents by dept indicates: All appropriate activity for the WBSE has posted to the general ledger The final financial report/invoice is ready to be finalized and submitted to the sponsor Elimination of ZF114 Dashboard reports assist management by: Providing submission data Identifying trends Detailing future deadlines for resource planning.

6. Phase 1 Tech Tools 6

7. Modified iForms Workflow (coming soon) 7 Modified iForms Workflow alerts GMs to iForms activity on closing WBSEs and provides opportunity to correct errors prior to ledger posting. Applies to all WBSEs, including 293-xxxx and 393-xxxx GM1/GM2 inserted into iForms workflow if: ‒WBSE is more than 30 days past Project End Date ‒Effort on WBSE is impacted (%, $, or GL change) ‒GM1 or GM2 is NOT the iForm initiator

8. Applicable to these types of iForms: Modified iForms Workflow 8 Cost Distribution Change Supplemental Pay Manual Salary Cost Transfer Non-Compensatory (electronic) Hire Transfer

9. Late Activity and Transfer Off 9 Any transactions posted after the submission of the closeout documents will be identified as late activity. Effective July 1, 2016 Triggered by submission of closeout documents Late activity will be included or excluded in Transfer Off Tool −Transfer Off Tool is only activated for reportable sponsored projects (2xx/3xx, excluding 29x/39x)

10. All late activity requires analysis and will be broken into 2 categories based on criteria of Transfer Off tool: Late Activity and Transfer Off 10 Excluded from the Transfer Off process −Payroll −Subrecipient Invoices −Credits −Require analysis and possible action Included in the Transfer Off process −All other expense types −Automatically removed from closing WBSE & posted to backstop code Transfer Off postings Subrecipient Invoices Credits Payroll

11. Email Notifications to GM1/GM2 of closing WBSE 11 Impacted WBSE Late Transaction Details Transfer Off Details The Late Postings email details all late activity, whether transferred off or not (shown below) −A similar notification will be sent to FRP1/FRP2 or GM1/GM2 of backstop if transfer off occurs Late Activity and Transfer Off

12. Transactions Excluded in the Transfer Off ProcessTransactions Included in the Transfer Off Process Late Activity and Transfer Off 12 Remain on the ledger until manual action is taken to remove the posting (i.e. iForm to reallocate payroll) The Late Activity Quick Reference will be available for reference Contact the Implementation Teams for assistance This notice requires analysis of expense and determination if any additional action needs to be taken Late Activity ALWAYS requires analysis. Follow up action may or may not be required.

13. Proactive Project Management Preventing Late Activity 13 Understand your Closeout Timeline −Presubmission closeout notifications Communicate with your parent/child/sub departments and institutions Use Closeout Tools and Reports −Duke@WORK −SAP −Closeout Resources website Proactive management reduces the risk of late activity

14. Approaching closeout due date Recipient: GM1 & Dept Admin Criteria: approx. 1 week prior to due date Includes: Project details from ZF600 Directory of resources Payroll obligations Procurement obligations Workflow Status Report pending items iForms Workflow Status Report pending items 1 week past closeout due date Recipient: GM1 & Dept Admin Criteria: approx. 5-7 days past closeout due date Includes: Project details from ZF600 Directory of resources Payroll obligations Procurement obligations Workflow Status Report pending items iForms Workflow Status Report pending items 2+ weeks past closeout due date Recipient: GM1, Dept Admin & Associate Dean Criteria: > 2 nd Past due notice Includes: forwarded 1 week past due notice with reminder of deadline. Implementation Team may also contact GM1/DA by phone to expedite the submission. Project End Date Approaching Project End Date Closeout Docs Due Date 30 days Prior to Project End Date Sponsor Due Date Project End DateApproaching Closeout Due Date 30 Days Past Project End Date Past Closeout Due Date Approaching end date Recipient: GM1 Criteria: approx. 30 days prior to project end date Includes: Project details from ZF600 Directory of resources Project end Recipient: GM1 Criteria: approx. 10 -15 days of project end date Includes: Project details from ZF600 Directory of resources Payroll obligations 30 days past end date Recipient: GM1 Criteria: approx. 30 days after project end date* Includes: Project details from ZF600 Directory of resources Payroll obligations Procurement obligations Workflow Status Report pending items iForms Workflow Status Report pending items *If 30 days past project end overlaps with 1 week prior to closeout due date notice, it will not be sent. PAMC Presubmission Notifications 14

15. Clean Close Statistics (dashboard reports) 15

16. 16

17. PAMC – March 2016 17

18. PAMC – March 2016 18

19. 19 PAMC – March 2016

20. Reminders & Resources 20

21. Assess your post award management practices and update to prepare for closeout prior to project ending Reminders 21 Evaluate your readiness for the upcoming changes Meet with your implementation team to discuss the new initiatives and how they impact your unit Actively participate in the communications being distributed to the RA community Attend ORS/RCC meetings and other venues providing details on upcoming changes Discuss expectations and impact with Faculty Communicate implementation impact with Business Managers to address any possible risks

22. Closeout Reference Documents Resources 22 All closeout resources & guidance in a single location http://finance.duke.edu/raci/closeout/resources/index.php http://finance.duke.edu/raci/closeout/resources/index.php Implementation Team Outreach Proactive notices as projects approach end dates and closeout due dates Cookies & Closeouts! Open sessions 2x/month Meetings with individual departments to provide information and support tailored to your specific needs

23. Questions? 23