1. Duke’s Closeout Project Updates December 2, 2015 ORS Meeting Nate Martinez-Wayman and Michelle Rigsbee RACI

2. Agenda Closeout Project Update: What’s Coming Soon Extended Closeout Docs Due Date for ‘120 day Projects’ Enhanced ZF114 Closeout Tasklist and PI Attestation v4 Final Subrecipient Invoice Process Changes Additional Updates Programmatic Reporting 2

3. Extended Closeout Docs Due Date for ‘120 Day Projects’ 3 NSF and NIH have recently extended their final reporting due dates from 90 to 120 days – GMs should refer to the Closeout Docs Due Date field in the ZF600, Projects Approaching End Date and Project Obligations reports to understand which projects are impacted No change to external subawards – even if the prime source is NSF or NIH

4. Enhanced ZF114 Transaction remains the same in SAP, but the export has been updated – No more ‘allowable’ and ‘unallowable’ columns – Refer to QRG for tips on how to open file Correcting entries still in workflow can be manually added, must include DOC # Exceptional anticipated expenses can also be manually added (for now) Must submit as an Excel file, along with required closeout documents to closeoutdocs@duke.educloseoutdocs@duke.edu 4

5. Enhanced ZF114 If a transaction appears on the ledger and is not addressed on the ZF114, OSP will assume it is unallowable – Unallowable charges will be written off to backstop code – For projects with a sponsor due date ≥ 90 days, there will be a 5-day resolution window for these transactions – IMPORTANT: Corrections must be initiated by departments prior to submission of Closeout Tasklist/Attestation/ZF114 5

6. 6 Enhanced ZF114

7. 7

8. For more information, resources are currently available: – Video via LMS (https://vmw- lmsweb.duhs.duke.edu/SabaLogin/?/Main/goto/Regist erLaunchCatalog?offeringId=dowbt000000000018682)https://vmw- lmsweb.duhs.duke.edu/SabaLogin/?/Main/goto/Regist erLaunchCatalog?offeringId=dowbt000000000018682 – Quick Reference Guide (https://finance.duke.edu/research/training/other.php ?type=r&)https://finance.duke.edu/research/training/other.php ?type=r& – Step by Step (https://finance.duke.edu/resources/training/stepbyste p/UnivRptSponProject/2d.pdf)https://finance.duke.edu/resources/training/stepbyste p/UnivRptSponProject/2d.pdf 8

9. Closeout Tasklist (v4) 9 Updates include: – Design and content to correspond with Automated Closeout Tools version (anticipated 2017) Minor changes to Closeout Tasklist include: – Language clarification based on user feedback – Additional categories for Human Subjects/IRB – New section on programmatic reporting – Estimated unobligated balance for WBSE – Removal of request box to review final report/invoice prior to submission

10. Closeout Tasklist (v4) 10 New “Campus IRB” category

11. Closeout Tasklist (v4) 11 PI Attestation status moved to basic master data section Programmatic Reporting added to status bar

12. Closeout Tasklist (v4) 12 New Estimated Unobligated Balance for WBSE How do I answer the revenue questions? ZF600: Sponsored Research Closeouts

13. PI Attestation (v4) 13 Minor changes to PI Attestation – Confirmation that PI acknowledges: Responsibility to submit programmatic reports and other deliverables by sponsor due date Estimated unobligated balance for cost reimbursable projects GM of the overall project is responsible for providing estimated unobligated balance including all subcodes

14. PI Attestation (v4) 14 Additional PI statements

15. Closeout Tasklist and PI Attestation (v4) 15 Resources will be available to provide more information and guidance – Closeout Tasklist Step by Step, FAQs and Quick Ref Guide – Other Quick Ref Guides: Closeout Tasklist Section 6 (Human Subjects/IRB) and Maestro Programmatic Reporting Communications will include links for the above resources Implementation Teams to distribute updated Closeout Tasklist in January 2016

16. Final Subrecipient Invoices: Change in Review Process 16 OSP to adjust final subrecipient invoice review process – eAP Check Request (eCR) initiated and routed to GM for approval without PI Attestation – eCR includes reminder for GMs to confirm PI agreement of payment – PI Attestation still required with submission of Closeout Tasklist by Closeout Docs Due Date Late Subrecipient Quick Ref Guide expanded to include this business process change – Renamed AP Check Request Approval for Subrecipient Final Invoices)

17. Programmatic Reporting Update Changes with Sponsor Enforcement – Agencies treating programmatic reports with equal weight as financial reports – Implications for late/missing submissions impacting the entire institution, not only the PI with delinquent reports – Agencies have greater visibility on late reports based on new technology

18. Programmatic Reporting A Phased Approach 18

19. Questions?