Grant Management Community News: June 2016

Grant Management News





FOCUS ON:  Preparing for Effort Certification

With the effort certification period (August 1 – September 30) approaching, departmental grant and contract administrators/managers should begin to prepare.  Some of the effort items you may need to review in preparation for the effort certification period include:

  • Effort charged to sponsored projects reasonably align to committed/awarded effort
  • Cost sharing is appropriately charged (amount and G/L account charged)
  • Effort charged to DHHS awards (except FDA and Indian Health Services) does not exceed the salary cap
  • Effort charged for senior personnel to NSF awards does not exceed the annual two-month maximum
  • Summer supplement(s) on federal awards to not exceed 75% per month (Campus)

Closely reviewing and monitoring these effort items prior to the start of the certification period can help prevent effort issues that could cause untimely effort certification.

Manual Salary Cost Transfers Fiscal Year-end 2016

Please do NOT approve Manual Salary Cost Transfers (MSCT) iForms using Reason Code 05 (Year-end adjustment of effort) from July 12, 2016 12:00 noon – July 13, 2016 8am.  This period is designated as “quiet time” after Fiscal Period 12 closes and before Period 13 opens.   Approving the MSCT iForm during “quiet time” will cause the transaction to post in Fiscal Year 2017, Fiscal Period 01.

If you have initiated a MSCT iForm that has not yet been approved, please forward this email to the approver.

For questions regarding this message, please email ECRT-Support.

ECRT Deadline Schedule FY 2016

June 10, 2016 Corporate Payroll Deadline for submitting Cost Distribution Forms for FY 2016
June 30, 2016 End of Fiscal Year 2016
July 1, 2016 Start of Pre-Review Period
July 12, 2016 @ 12 PM Fully Approved Manual Salary Cost Transfer iForm for Period 12
July 18, 2016 @ 3 PM Approved Manual Salary Cost Transfer iForm for Period 13
August 1, 2016 Start of Effort Certification Period for FY 2016
September 23, 2016 1st Reminder, 5 Business Days Left to Certify
September 30, 2016 End of Effort Certification Period FY 2016
October 3, 2016 2nd Reminder, Effort Certification is PAST DUE
October 7, 2016 3rd Reminder, Effort Certification is DELINQUENT
November 1, 2016 Weekly Notices sent to Central Administration of delinquent Effort Cards
December 1, 2016 Write Offs to Department’s Discretionary Codes for uncertified effort on Federal projects

UGC 1.1 – Uniform Guidance Cost Principles Reference Guide

The implementation of the Uniform Guidance included several changes to how costs can be charged to Federal awards.  This reference guide provides guidance regarding selected items of cost found in the Uniform Guidance and updates to policies and procedures at Duke for these cost items.  Grant/Contract Administrators should utilize this guide to help determine if a cost item can be charged and/or how to charge the cost item appropriately.  Some items of cost found in the reference guide include clerical/administrative salary, computing devices, participant support costs, etc. 

Uniform Guidance Cost Principles Reference Guide (pdf)

NIH & AHRQ Application Forms Changes (Faculty Advisory)

The National Institutes of Health (NIH) and Agency for Healthcare Research and Quality (AHRQ) have changed grant application policies and instructions for future applications.  Applications to the NIH and AHRQ for due dates on or after May 25, 2016 must use FORMS-D.  The biosketch format and instructions have also been updated for Forms Version D.  These updated forms are available on the NIH Forms page.

Notice Number:   NOT-OD-16-080
Notice Number:  NOT-OD-16-081

June 30 Deadline for Continuing Education Approaching

Remember to complete continuing education requirements by June 30, 2016 to maintain your RCC, RAA, AGM, RAI, and/or FCC certifications.  Certified individuals are required to complete FY16 Management of Selected Post Award Issues and 4 other continuing education credits, which can be earned through a variety of training activities.  Individuals who earned a RAA, AGM, RAI, or FCC Certificate during fiscal year 2016 (7/1/2016-6/30/2016) are only required to complete FY16 Management of Selected Post Award Issues in order to maintain his/her certification(s).  Please review the continuing education requirements for further details.

RCC Website Updated with Agency Terms and Conditions

Several federal agencies have updated their terms and conditions, as well as policies and procedures, due to the implementation of the Uniform Guidance.  Research Costing Compliance (RCC) has updated the External Resources & Websites page with links to many federal agency websites where you can find their most recently updated terms and conditions.  This may be very helpful as you manage awards from these agencies.  Please keep in mind that the terms and conditions in the Notice of Award have precedence.

Change to NIMH Policy for Recruiting Participants in Clinical Research (Faculty Advisory)

The National Institute of Mental Health (NIMH) has revised their policy for the recruitment of participants in clinical research.  Investigators of clinical research have already been required to submit a recruitment plan with their cumulative tri-annual recruitment progress reports, if conducting clinical research studies with 150 or more subjects.  Now for competing applications/proposals awarded on or after October 1, 2016, investigators are required to submit a recruitment plan with their cumulative tri-annual recruitment progress reports for all clinical trials, regardless of size, and all NIMH extramural-funded clinical research studies proposing to enroll 150 or more subjects per study.

Notice Number:  NOT-MH-16-013

Closeout Project Update

CLEAN CLOSE in effect July 1st - Effective July 1, 2016, Duke will implement an updated GAP 200.180, Closeout of Sponsored Project, as well as technology enhancements to support Clean Close, which is the timely and effective closeout of sponsored projects. 

What to expect on July 1st?

  • ZF114 no longer required with closeout documentation and transaction no longer available in SAP for department
  • Anticipated expenses no longer accepted when submitting closeout documents
  • Submission of Closeout Tasklist indicates that final accounting of project is complete and ready for reporting to the sponsor
  • Transfer Off Tool is activated with submission of closeout documents
  • Transactions that post to the ledger after tasklist submission are considered Late Activity
  • GM1/2 are alerted to any late activity by email notification from FIBATCH
  • All late activity requires immediate review by the GM to determine if follow-up is needed
  • Somelate activity is moved off by the Transfer Off Tool to the WBSE’s backstop code -- Follow-up and further action by the GM and/or business unit may be necessary
  • If late activity is moved off, the FRP1/2 or GM1/2 of the backstop code will receive an email notification from FIBATCH alerting them of this activity

For more information on the closeout process and late activity, please visit the Closeout Project website.  Here you will find links to helpful resources including quick reference guides, reports, tools and step by steps all supporting effective and timely closeouts.

Additional information is also provided at:

Please contact your Closeout Implementation Team with any questions or feedback:


Faculty Advisory  Discuss the topic with your PI


"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.

**For questions or feedback related to Duke Grant Management Community News or to unsubscribe, please contact ResCostCompliance at