Grant Management Community News: July 2013

Grant Management News


Other News:

*NOTE* Faculty Advisories should be discussed with your PI



Process Change for Untimely Retroactive Salary Reallocations (Faculty Advisory)

Please be reminded, Duke’s GAP 200.150, Cost Transfers on Federally Sponsored Projects, states that a cost transfer is untimely after 90 days of the initial charge.  Approvers are cautioned that >90 day cost transfers are seen by most federal sponsors as being untimely, and sound judgment should be applied in approving any non-salary or salary cost adjustment/transfer greater than 90 days.  Departments are advised to review requests for >90 day cost transfers carefully and to only approve those with appropriate and exceptional justifications.  Reasons such as “the PI just told me that he/she worked on this project” should not be allowed.

RCC monitoring had identified the need for additional reinforcement on cost transfers that are significantly untimely, defined as being greater than 180 days from initial occurrence.  As of July 1, 2013, significantly untimely (>180 days) transfers are subject to a very strenuous review by the respective School and will not be approved unless certain extenuating circumstances apply.  Grant Managers should be aware of the review process for both >90 days and >180 days, and should communicate this as soon as possible to faculty in order to ensure timely cost transfers and salary reallocations are made.  This stringent review applies to both faculty and staff charged to federal awards.

Remember:  Any cost transfer >90 days is considered to be untimely and must be sufficiently justified to meet audit standards.  Review and approval of transfers >90 days, but less than 180 days, are made at the department level.  The GAP requires cost transfers (both salary adjustments and non-salary) >180 days to be approved by the respective School.

Significantly untimely (>180 days) cost transfers to federal awards will not be approved unless there are truly compelling reasons.  The charge must be absorbed by the department. 

In all cases, charges to a federal award that are not allowable, reasonable and allocable MUST be transferred to an appropriate non-federal source.

Please refer to the separate communications which were issued in June for further details:

Electronic AP Check Request Now Live

The electronic AP Check Request is now live and available for use.  The new process creates a workflow that can be monitored to check the progress of each request.  Accessed through Duke@WORK, the new system should significantly facilitate the AP Check Request process throughout campus.  It is also important to realize that subcontract payments will now route to departments for approval, which is a business process change.  To learn more about how to use the electronic AP Check Request, please review the memo. You will find links to classes you may attend, as well as the slides to use as a guide.  Read more.

OSP Reminder and Welcome

REMINDER - OSP has recently begun issuing 293x WBSEs in place of the now-depleted stock of 393x WBSEs.  There is no other process change involved, just a new first digit of the WBSE, as happened when 203x WBSEs were released a few years ago.  Future transitions to a 2 as the first digit (e.g., 283x) will not be individually announced, but the Accounting Codes Overview page has been updated accordingly.

WELCOME – OSP has hired a new customer service liaison, to replace Michelle Smith who joined the School of Medicine Finance office.  Thavy Walters comes to Duke from the Cleveland Clinic Foundation’s OSP office where she was most recently serving in a similar role, assisting departments/customers with post-award issues.  Thavy brings a strong skill set and experience base, and is a great addition to the team.

NIH Fiscal Policy FY 2013 Announced

Previous NIH notices regarding funding levels for FY 2013 indicated that non-competing continuation awards were going to be funded up to 90% of the previously committed level noted on the most recent Notice of Award.  According to Notice Number NOT-OD-13-064, these reductions may be partially restored, but most likely not to the previous commitment level.  Read more.

Tech Talk: eRA@Duke

The eRA@Duke (Electronic Research Administration at Duke) Project proceeds with a myriad of ongoing efforts on three of the four project workstreams: Notice of Award, CAS/Rebudgeting and Fund Code and Plan Setup. More concentrated efforts on the fourth workstream, Sponsored Program Closeout, to commence over the next several months.

Milestone Updates since the last edition of Grant Management Community News include:

  • Fund Code and Plan Setup Working Group began weekly meetings on May 14th
  • Notice of Award Segment I functionality released in SPS Web on May 15th
  • User Group Testing of CAS Report started in late May and will proceed through end of June

Upcoming in Summer 2013:

  • Notice of Award Segment II functionality release in SPS Web (late August)
  • CAS Report timeline for release of new reports to be established (July)

Upcoming in Fall 2013:

  • CAS Report functionality expected go live
  • CAS/Rebudget Form functionality expected go live

Please look for additional project updates in subsequent newsletters, as well as an eRA@Duke webpage coming soon. Should you have any questions or comments regarding eRA@Duke, please do not hesitate to contact Meredith Woods, Project Lead, at meredith.woods at

A-81 Update

With over 300 comments submitted in response to the Proposed OMB Uniform Guidance, known as A-81, the Office of Management and Budget (OMB) is still months away from final guidance.  Duke University has submitted formal comments that reflect observations on some of the more important beneficial changes in the proposed language, as well as commentary on changes that could potentially adversely affect the research community.   The Council of Government Relations (COGR) has also responded to the proposed language, with recommendations and concerns for each section of the Proposed Uniform Guidance. The ultimate goal of the proposed new Circular is to reduce regulatory burden.  It appears that the OMB will take all comments seriously and work with the research community to attempt to reach appropriate consensus among all stakeholders. Responses to the Proposed Uniform Guidance are available to review at, and in the search box, enter “OMB-2013-0001.” 



Other News

RAA & AGM Certificate Programs Not Offered in Fall 2013

The Research Administration Academy (RAA) and Advanced Grant Management (AGM) certificate programs will not be offered in Fall 2013.  RCC’s training programs are undergoing major updating; reflecting comments and suggestions derived from a series of focus group meetings with senior leadership, grant managers and supervisors and to more closely align the training with HR and leadership initiatives. The enhanced curriculum will feature extensive “hands-on” participatory training designed to prepare grant managers with specific skill sets in performing their respective duties. More details about the revised training programs will be announced as they are available.

New Certificate Renewal Period Began July 1

July 1, 2013 was the start of the new fiscal year (FY 2014) and the start of another training certificate renewal period. Those with RCC, RAA, AGM or RAI certificate(s) are required to complete the mandatory FY14 Management of Selected Post Award Issues and 4 additional continuing education credits throughout FY2014 (July 1, 2013 – June 30, 2014).  Many classes offered by Research Costing Compliance (RCC), Office of Research Administration (ORA) and Office of Research Support (ORS), as well as the ORA, ORS and School of Medicine Compliance Office (SOMCO) updates may count towards the continuing education requirements. The training schedule will be continually updated as additional training opportunities are created and offered. PLEASE CHECK YOUR TRANSCRIPT CAREFULLY TO ENSURE THAT APPROPRIATE CREDIT IS RECORDED IN ORDER TO MAINTAIN YOUR CERTIFICATION!  Read more.

Compliance Corner

A recent Department of Health and Human Services audit of Thomas Jefferson University’s clerical and administrative costs determined that the institution must pay back $93,102.  Read more.

Federal Hot Topics

This month’s hot topics include the National Institutes of Health (NIH) adjusted timeline to transition to electronic submissions of multi-project applications and the use of the updated electronic application forms.  Read more.

Current Training Opportunities (Updated as of 07/02/13)

Continuing Education Reminder:   Remember:  All Research Costing Compliance classes now require that attendees pass a brief assessment with a score of at least 80% in order to receive continuing education credit. This includes the mandatory Management of Selected Post Award Issues, all FasTrack classes, and all AGM classes (for AGM program participants and continuing education credit). If you do not pass the assessment with at least an 80% or greater, you must attend another offering of the class and take the assessment again to earn the continuing education credit.  Read more.

For all certified Grant Managers: You must earn five credits throughout the fiscal year (7/1/13 – 6/30/14), of which one must be 2014 Management of Selected Post Award Issues. Please check your completed training on the RCC Training TrackerPlease note that it is updated monthly with current training data. All questions/concerns regarding RCC training or continuing education credits should be submitted to rcc-cert at Please do not submit inquiries to individual RCC staff.  Read more.

FY13 Make-up Classes (will count towards FY13 continuing education requirements)

FY14 Available Classes

Introductory Classes:


Elective Classes:

Advanced Grant Management (AGM):

Other Duke Training Opportunities:

  • Office of Research Administration (ORA):
    • *Sponsored Projects System (SPS) - August 6, 2013, September 3, 2013, and October 8, 2013
    • *Pre-Award Grants and Contracts (GC101 & GC201) - October 2 & 3, 2013
    • *eSubmissions - July 24, 2013, September 25, 2013, and November 13, 2013
    • *RPPR/eSNAP - July 24, 2013, September 25, 2013, and November 13, 2013
    • *Other Support - July 16, 2013 and October 22, 2013
  • Office of Research Support (ORS):
    • Introduction to Export Controls - December 12, 2013
  • School of Medicine Compliance Office (SOMCO):
    • *SOMCO Research Financial Compliance Quarterly Update - August 28, 2013
  • SAP and University Reporting:
    (Although they do not qualify for continuing education credits, these classes will be of interest to entry-level grant managers)
    • Introduction to SAP @ Duke - Online
    • Introduction to SAP Business Warehouse for the University (0010) - September 17, 2013, and December 19, 2013
    • SAP University Reporting: Sponsored Projects - July 24, 2013, August 21, 2013, September 11, 2013, October 23, 2013, November 7, 2013, and December 11, 2013
    • Introduction to Duke Accounting and Business Practice - July 18, 2013, August 15, 2013, September 19, 2013, October 17, 2013, November 14, 2013, and December 12, 2013
    • Introduction to Duke G/L Accounts - July 25, 2013, August 22, 2013, September 25, 2013, October 24, 2013, November 20, 2013, and December 19, 2013
    • Faculty Projection and Reporting Tool - August 14, 2013, October 30, 2013, and December 5, 2013

Professional Organizations:

*These classes qualify for continuing education credits for RCC certifications.


"Grant Management Community News" is produced by Duke's Office of Research Costing Compliance. Please contact us with comments or suggestions regarding the newsletter. An archive of newsletters is available online.

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