1. HR Forum: Connecting HR… Serving the Duke Community
February 14, 2012
9 a.m. – 10:30 a.m.
Duke Medical Center Board Room

2. Agenda Flu Vaccination Update Retirement Plan Fee Disclosure
Conflicts of Interest
“Why I Want to Quit” Campaign
Update
Hire Process Update (Electronic I-9 and E-verify)
Travel Reimbursements
The Little School at Duke
New Cancer Center Open House
Recognition Opportunities
Announcements
Flu Vaccination Update – George Jackson
Retirement Plan Fee Disclosure – Sylvester
Conflicts of Interest - Brian Lowinger
“Why I Want to Quit” Campaign - Paul Grantham
Update – Jane Pleasants
Hire Process Update (Electronic I-9 and E-verify) – Bill Marchese
Travel Reimbursements – Robin Miller
The Little School at Duke – Denise Evans / Kyle
New Cancer Center Open House – Kyle?
Recognition Opportunities – Kyle
Announcements - Kyle

3. Flu Vaccination Program: Progress Report
HR Forum
Flu Vaccination Program: Progress Report

4. Number Vaccinated Sets Record
19,300 employees have been vaccinated 59% of Duke University vaccinated/exempt

5. Influenza Vaccination & Exemption Rate
Entity
Benchmark Source
Vision (2020 Vaccination & Exemption Rate)
FY12
Actual 2/8/12
FY12 Red Flag
Meets
FY12 Exceeds
Methodology
99% Confidence Interval
Stepped Target to 2020
FY13 Meets Target
DHCH
CDC
Healthy
People
94.1
79.6
60%
67%
71%
PRMO
61.2
49%
53%
58%
Labs
65.6
54%
59%
63%
DUH
82.0
78%
79%
81%
DUAP/DPC
83.5
66%
74%
DRH
82.8
76%
80%
DASC
95.6
82%
91%
DRaH
86.8
92%
94%
PDC
81.0

6. Retirement Plan Fee Disclosure
HR Forum
Retirement Plan Fee Disclosure

7. Retirement Plan Fee Disclosures

8. Conflicts of Interest at Duke: 2012 Update, New Policy, New Disclosure Form
Institutional Ethics & Compliance Program

9. FINANCIAL COI POLICY Approved by Duke Board of Trustees in May 2011
Applies to certain staff:
Above a certain job code threshold: generally it is job level 12, with exceptions based on title and duties
Certain departments: Procurement, Athletics, Audit, Counsel, Compliance
Expertise: legal, financial, IT, radiology, social work, nurse practitioners, compliance, etc.
HR-related duties: supervising, hiring, firing, etc.
Exercises independent discretion that could bind DU or DUHS
Supersedes Conflict of Interest and Commitment Policy for Officers and Employees with Administrative Responsibilities (2007)
Institutional Ethics & Compliance Program
Duke University

10. WHEN?
On March 1, 2012, you and many of your employees will receive an requesting that you submit a disclosure form
Duke is decentralized. IECP soon will send out lists of employees who must submit, and will request the names of those who should be on the list too
Institutional Ethics & Compliance Program
Duke University

11. WHY REPORT? Duke requires it
Increasing focus by Congress and regulators
New bills and hearings on Capitol Hill, e.g. Research Participants Protection Modernization Act of 2011 (HR 2625)
NIH finalized COI regulations for the first time since 1995
Physicians Payment Sunshine Act NPRM
Many more
Keep Duke out of the front pages
Institutional Ethics & Compliance Program
Duke University

12. WHAT IS REPORTED? FCOI Policy and Disclosure Form address:
Financial conflicts of interest
Stocks, intellectual property rights, royalties, outside compensation, gifts, consulting fees, etc.
Applies to immediate family members too!
Nepotism
Family members who work with you at Duke
Business relationship with a relative who does business with Duke
Commitment of time to outside endeavors
Outside boards (directors, trustees, advisory), fiduciary duties, speaking bureaus
The appearance of influence or potential influence is important to consider when deciding what might or might create a conflict
Institutional Ethics & Compliance Program
Duke University

13. YOUR ROLE
If you receive the to report, then you must complete the form, even if you do not think you have a conflict!
Answering “yes” to any question is o.k., all forms will be reviewed and the most common follow-up scenario are:
Determination that no conflict exists
Follow-up questions to learn more
Cautionary s on what not to do going forward
Management plan
Managers
Oversight of any COI management plan put in place
We will follow up with employees to clarify responses
We will follow up with you if your employee is non-responsive
Institutional Ethics & Compliance Program
Duke University

14. QUESTIONS?
For questions regarding Conflict of Interest, please contact:
Brian Lowinger, J.D.
Compliance concerns can be reported to the Duke Institutional Ethics & Compliance Office at or to
Issues can be reported anonymously to the Duke Compliance & Fraud Hotline at
Institutional Ethics & Compliance Program
Duke University

15. Tobacco Cessation Campaign
HR Forum
Tobacco Cessation Campaign

17. Why do you want to quit? Send us your high-resolution photo by Feb. 29
Campus mail: HR Communications Box 90496
Be entered into drawing for
30-minute chair massage
$300 LIVE FOR LIFE dollars
Click poster to download and print

18. HR Forum

19. Timeline
Progress to Date
Lessons Learned
Expected Progress in CY2012

20. Timeline - Pilots Launch in Spring 2011
Launch in several research intensive departments in Spring 2011
Pilot Departments
Biology
Electrical and Computer Engineering
Immunology
Institute for Genome Science & Policy (IGSP)
Pediatrics (Neonatology)

21. Department Roll-out of Buy@Duke
Immunology
May
2011
Biology
July
IGSP
September
CEE & CEINT
Cell Biology
DHVI
Mech.
Engineering
January 2012
And
Forward
Biochemistry
Neurobiology
Pharmacology
Mol. Genetics
NSOE
Physics
Chemistry
BME
P&N
Neonatology
ECE
April 2011
June
2011
August
2011
October
2011
November
2011
December
2011
A project re-boot was executed in November 2011 by the RACI Steering Committee to accelerate the pace of implementation.

22. Progress to Date

23. Progress to Date

24. Progress to Date Basic Science Departments # of Users Cell Biology 152
# of Users
Cell Biology
 152
Biochemistry and IBSD
 112
Immunology
  63
Neurobiology
 135
Pharmacology & Cancer Biology
  23
Molecular Genetics and Microbiology
 108
Clinical Science Departments
Medicine-CHGV
  6
Medicine-Section of Medical Genetics
  25
Pathology - Research
Medicine - DHVI
 125
Pediatrics-Neonatology
  9
Centers
Institute for Genome Science & Policy
  41
Center for Human Genome Variation (CHGV)
  7
Pratt School of Engineering
Engineering - Office of Dean
  3
Civil and Environmental Engineering
  76
Electrical and Computer Engineering
 201
Mechanical Engineering and Material Scie
  35
Biomedical Engineering
Nicholas School
  39
Arts & Science Departments
Biology
 100
Chemistry
  4
Physics
  1
Psychology and Neuroscience

25. Key Enablers to a Successful Implementation
Expectations and Advice from Research Procurement Advisory Team
Communication
Reinforce the “total” value of the tool and how it fits in with the broader initiatives to redesign research administration
Flexibility
Each lab is different. The system must be able to conform to the needs of an individual lab.
Turn Around Time
Front end approvals could be the bottleneck in a system where the faculty expect and need delivery quickly. We must set up an approval workflow that can consistently be executed efficiently.

26. Key Enablers to a Successful Implementation
Ease of Use
Familiarity with shopping basket model
Significant user interface and testing by folks who do the work everyday
Robust Content/Catalogues with Duke Pricing
22 vendors represent 80% of the supply spend in research labs
Vendors are continually improving their E-commerce capabilities
Continuous Improvement
Advisory Team will provide feedback and direction
Pilot groups will become the program experts and shape the larger implementation

27. Lessons Learned 4 Pillars of Project Reboot in the Fall of 2011
Standardize as much as possible – the cohort approach
Focused support resources – dedicated Procurement help desk
Dedicated training support
Technology management – stabilizing the system for users, with periodic pre-communicated “releases” to enhance usability

28. Expected Progress in CY12
School of Medicine – All clinical departments (before EPIC push)
Basic Sciences – complete
Pratt School of Engineering – complete
Arts & Sciences – Natural Sciences complete
Central Administrative Units – begin discussions late 2012
Begin Integration with FAM
All research intensive departments with
large non-salary spend should be live in 2012

29. Hire Process Update Electronic I-9/E-Verify/Background Check and Employment Verifications
High Level Overview

30. Goal
To meet current and emerging federal hiring requirements while maintaining or improving process efficiency
To meet internal background check and hiring policies and standards
Leverage technology to eliminate 400 written and verbal employment verifications per month

31. Strategy
Find a more accurate way of obtaining employment data at the point of hire
Limit data entry repetition when possible for multiple processes (I-9, E-verify)
Use existing vendor technologies
Allow flexibility (when possible)
Leverage Duke’s current log-in and security processes

32. Processes in Scope Employment Verification Federal I-9s
Federal E-Verify
New Hire Background Checks

33. Benchmark Electronic I-9s and/or verifications currently in place at:
Oracle, Microsoft, US Army, US Secret Service, General Electric
Universities of:
Minnesota, Vanderbilt, Johns Hopkins, Columbia, Florida, Georgia, etc.

35. Background Checks
New Hire goes to web site and initiates the data to launch their own background check
If the check is clean (90%), workflow automatically processes
No more paper
If check comes back with activity, a manual process takes effect

36. Electronic I-9/E-Verify Assumptions
One on-line form for I-9 and E-Verify
Form mirrors paper form
IDs examined still examined by Duke
Confirmations will automatically pass workflow
“Non-confirmations” for E-Verify will be handled between the department, the employee, and HR

39. Pros Will improve hire to payroll time Accuracy of forms
Eliminates notification time regarding failed I-9
Eliminating “travel time” of I-9
Risk of forms “changing hands”
Significantly improves audit risk and “lost” forms
Removes physical storage risk
Eliminates paper filing time
Physical space currently limited
Measurements- verification data, workflow transaction time, recertification tracking, electronic audits

40. Areas of Emphasis Background checks –begin sooner
E-Verify is an electronic program audited by the Federal Government and mandated by the State of North Carolina. Hires must be entered within 3 days of the start of work.
E-Verify training and expectations

41. Next Major Steps Work out security and “log-in” issues
Net-id authentication
Conduct Focus/Orientation with largest hire areas
Develop Training events and documentation
Should include on-line component
Conduct Pilot in centralized areas

42. Duke University Employee Online Travel and Expense Initiative
HR FORUM UPDATE

43. Travel and Reimbursement System
Current Process
New Process
Complete excel spreadsheet with required data elements supporting travel and/or non-travel expenses
Enter out of pocket and travel related corporate card expenses into electronic travel or non-travel expense form
Attach paper receipts to printed spreadsheet
Scan and attach receipt images to electronic form
Route manually for approval, obtaining multiple layers of signatures
Route electronic form and scanned receipts for approval using automatic workflow
Route to ET&R through campus mail or use courier drop box locations.
Reimburse expenses following ET&R review and approval. Documentation is stored in imaging system.
ET&R staff enter travel and reimbursement data into SAP to generate reimbursement. Paper documentation is stored and retained based upon retention policy.

44. Approval Workflow: *Optional -OR- Supervisor Additional Approvals
Initiator
Employee
Depart. Designee
Funding Source
*Optional
Additional Approvals
ET&R
-OR-
Supervisor

45. *Dept. Dollar Threshold Approvers
Approval Workflow (cont.)
Funding Source
*Dept. Dollar Threshold Approvers
*Management Center
ET&R
Designated Departmental Dollar Threshold Approvers are based upon threshold limits.
Management Center approval applies to specific positions flagged in the tool.

46. Phase 1: Implementation Strategy
January 31, Initial Go Live with 6 Pilot Departments
Pediatrics – Pulmonary Division Duke Global Health Institute
Department of Music Fuqua School of Business
DUHS Network Services DUHS Government Relations
March, 2012 – Remainder of Advisory Group
DCRI Dept. of Medicine
Duke Engage Duke Med Singapore
Law School MGM (Molecular Gen/Microbiology)
Pediatrics Psychology & Neuroscience
Study Abroad Surgery
April Implementation for remainder of Duke
10 departments with representatives from each management center (CAMC, DUHS, Provost Area and SOM) will be phased in on a monthly basis.
January 31, 2012

47. Online Travel: Phase 2
Transition corporate card transactions from the Bank of America Works system to SAP.
All corporate card transactions will be cleared in SAP.
Department users can “drag and drop” corporate card transactions into the electronic travel and/or non-travel expense form.
Scan and attach receipt images to electronic form for all corporate card expense receipts.
Workflow electronic form and scanned receipts for approval
This functionality will be implemented for all Duke departments at one time.
January 31, 2012

48. The Little School at Duke
HR Forum
The Little School at Duke

49. The Little School at Duke

50. The Little School 172 spots for children 3 months to 6 years
Operated by The Little School of Hillsborough
Located on Hull Avenue (old location of Duke School)
Opening in September
Tuition = Duke Children’s Campus
Registration details released in May

51. HR Forum
Duke Cancer Center

52. Open House for Duke Faculty, Staff, Students Tuesday Feb. 21, 4 p. m
Open House for Duke Faculty, Staff, Students Tuesday Feb. 21, 4 p.m. – 7 p.m.

53. A week’s worth of events
Feb 21:
Open House for Duke Community
Feb 22:
2:30 – 4:30 p.m., Scientific Symposium: “Duke Cancer Institute: Contemporary Discoveries and Future Promise” followed by a reception. Searle Center.
5 – 6 p.m., Chancellor’s Lecture: Dr. Charles L. Sawyers, Memorial Sloan-Kettering Cancer Center, “Overcoming Cancer Drug Resistance.” Searle Center

54. Recognition opportunities
HR Forum
Recognition opportunities

55. Recognition Opportunities
Algernon Sydney Sullivan Award – nomination deadline March 2
2011 Winners
Presidential Award – nomination deadline Feb. 17
Sarah Woodard, Barbara Lau

56. ‘Making a Difference’ Blog
Who has made a difference for you at Duke?

57. HR Forum
Announcements

58. Green Devil Smackdown 8-week sustainability competition
Form or join a team (10-100)
Earn points for sustainable behaviors
Win cool stuff

59. It’s not too late!!
Employee discounts can save you on Valentine’s Day (visit hr.duke.edu/discounts)

60. Please sign an attendance sheet
HR Forum
Thanks for coming
Please sign an attendance sheet