HR Forum Connecting HR Serving the Duke Community

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

Agenda • • • Flu Vaccination Update Retirement Plan Fee Disclosure Conflicts of Interest “Why I Want to Quit” Campaign Buy@Duke 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 2

HR Forum FLU VACCINATION PROGRAM: PROGRESS REPORT

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

Influenza Vaccination & Exemption Rate Entity Benchmark Source Vision (2020 Vaccination & Exemption Rate) FY 12 Actual 2/8/12 FY 12 Meets 99% Confidence Interval Methodology FY 12 Red Flag Stepped Target to 2020 FY 12 Exceeds FY 13 Meets Target DHCH 94. 1 79. 6 60% 67% 71% PRMO 94. 1 61. 2 49% 53% 58% Labs 94. 1 65. 6 54% 59% 63% 94. 1 82. 0 78% 79% 81% 94. 1 83. 5 66% 71% 74% 94. 1 82. 8 76% 78% 80% DASC 94. 1 95. 6 82% 91% DRa. H 94. 1 86. 8 94% PDC 94. 1 81. 0 92% 74% 76% 78% DUH DUAP/DPC DRH CDC Healthy People

HR Forum RETIREMENT PLAN FEE DISCLOSURE

Retirement Plan Fee Disclosures 7

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

FINANCIAL COI POLICY n n n Approved by Duke Board of Trustees in May 2011 Applies to certain staff: q Above a certain job code threshold: generally it is job level 12, with exceptions based on title and duties q Certain departments: Procurement, Athletics, Audit, Counsel, Compliance q Expertise: legal, financial, IT, radiology, social work, nurse practitioners, compliance, etc. q HR-related duties: supervising, hiring, firing, etc. q 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

WHEN? n n On March 1, 2012, you and many of your employees will receive an email 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

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

WHAT IS REPORTED? n FCOI Policy and Disclosure Form address: q Financial conflicts of interest n Stocks, intellectual property rights, royalties, outside compensation, gifts, consulting fees, etc. n Applies to immediate family members too! q Nepotism n Family members who work with you at Duke n Business relationship with a relative who does business with Duke q Commitment of time to outside endeavors n Outside boards (directors, trustees, advisory), fiduciary duties, speaking bureaus q 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

YOUR ROLE n n n If you receive the email 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: q Determination that no conflict exists q Follow-up questions to learn more q Cautionary emails on what not to do going forward q Management plan Managers q Oversight of any COI management plan put in place q We will follow up with employees to clarify responses q We will follow up with you if your employee is non-responsive Institutional Ethics & Compliance Program Duke University

QUESTIONS? For questions regarding Conflict of Interest, please contact: n conflictofinterest@duke. edu n Brian Lowinger, J. D. q q 613 -7687 Brian. lowinger@duke. edu Compliance concerns can be reported to the Duke Institutional Ethics & Compliance Office at 919 -613 -7691 or to iecp@duke. edu. Issues can be reported anonymously to the Duke Compliance & Fraud Hotline at 1 -800 -849 -9793. Institutional Ethics & Compliance Program Duke University

HR Forum TOBACCO CESSATION CAMPAIGN

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Why do you want to quit? • Send us your high-resolution photo by Feb. 29 – Email working@duke. edu – 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 17

HR Forum

• Timeline • Progress to Date • Lessons Learned • Expected Progress in CY 2012 19

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) 20

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

0 Week of Jan 15, 2012 500 Week of Jan 08, 2012 283 Week of Jan 01, 2012 276 Week of Dec 25, 2011 195 Week of Dec 18, 2011 326 Week of Dec 11, 2011 247 Week of Dec 04, 2011 284 Week of Nov 27, 2011 125 Week of Nov 20, 2011 Week of Nov 13, 2011 260 Week of Nov 06, 2011 Week of Oct 30, 2011 200 Week of Oct 23, 2011 245 Week of Oct 16, 2011 100 Week of Oct 9, 2011 300 Week of Oct 2, 2011 Progress to Date Number of SRM Purchase Order Line Items by Week (Rolling 16 Weeks) 600 522 434 400 315 211 191 131 65 Nbr of PO Lines 22

$ 95, 053 61, 560 Week of Jan 15, 2012 140, 149 Week of Jan 08, 2012 $ 400, 000. 00 Week of Jan 01, 2012 42, 824 Week of Dec 25, 2011 57, 183 Week of Dec 18, 2011 $ 600, 000. 00 Week of Dec 11, 2011 101, 652 Week of Dec 04, 2011 $ 200, 000. 00 Week of Nov 27, 2011 Week of Nov 20, 2011 96, 162 Week of Nov 13, 2011 86, 552 Week of Nov 06, 2011 68, 715 Week of Oct 30, 2011 39, 202 Week of Oct 23, 2011 71, 678 Week of Oct 16, 2011 Week of Oct 9, 2011 $ 100, 000. 00 Week of Oct 2, 2011 Progress to Date Total SRM Purchase Order Value by Week (Rolling 16 Weeks) $ 700, 000. 00 575, 790 $ 500, 000. 00 525, 139 361, 523 $ 300, 000. 00 191, 449 38, 701 Total PO Value 23

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

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. 25

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 26 the larger implementation

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 27

Expected Progress in CY 12 v School of Medicine – All clinical departments (before EPIC push) v Basic Sciences – complete v Pratt School of Engineering – complete v Arts & Sciences – Natural Sciences complete v Central Administrative Units – begin discussions late 2012 v Begin Integration with FAM All research intensive departments with large non-salary spend should be live in 2012 28

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

Goal o o o 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 30

Strategy o o o 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 31

Processes in Scope 1. 2. 3. 4. Employment Verification Federal I-9 s Federal E-Verify New Hire Background Checks 32

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

Background Checks o o 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 35

Electronic I-9/E-Verify Assumptions o One on-line form for I-9 and E-Verify n n o o 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 36

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

Areas of Emphasis o Background checks –begin sooner o 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. o E-Verify training and expectations 40

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

Duke University Employee Online Travel and Expense Initiative HR FORUM UPDATE

Travel and Reimbursement System Current Process New Process Complete excel spreadsheet with required Enter out of pocket and travel related data elements supporting travel and/or non- corporate card expenses into electronic travel expenses 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. 43

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

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. 45

Phase 1: Implementation Strategy January 31, 2012 - Initial Go Live with 6 Pilot Departments ◦ Pediatrics – Pulmonary Division ◦ Department of Music ◦ DUHS Network Services Duke Global Health Institute Fuqua School of Business DUHS Government Relations March, 2012 – Remainder of Advisory Group ◦ ◦ ◦ DCRI Duke Engage Law School Pediatrics Study Abroad Dept. of Medicine Duke Med Singapore MGM (Molecular Gen/Microbiology) Psychology & Neuroscience Surgery April 2012 - 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 46

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 47

HR Forum THE LITTLE SCHOOL AT DUKE

The Little School at Duke

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

HR Forum DUKE CANCER CENTER

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

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 http: //construction. dukemedicine. org

HR Forum RECOGNITION OPPORTUNITIES

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

‘Making a Difference’ Blog • Who has made a difference for you at Duke? • www. hr. duke. edu/makingadifference 56

HR Forum ANNOUNCEMENTS

Green Devil Smackdown • • 8 -week sustainability competition Form or join a team (10 -100) Earn points for sustainable behaviors Win cool stuff • www. sustainability. duke. edu/action/smackdown 58

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

HR Forum THANKS FOR COMING Please sign an attendance sheet 60