Electronic Approvals for Non-Grants Proposals and Other Pre-/Post-Award Actions

1. Electronic Approvals for Non-Grants.gov Proposals and Other Pre-/Post-Award Actions You Can Use Cayuse 424 for Electronic Approvals for Non-Grants.gov Proposals, SPAR actions, Tuition & Fee Waiver Requests, F&A Waiver/Reduction Requests, etc. Office of Grant & Contract Services 6 September 2012

2. Table of Contents • Necessary Steps to Route Your Form • Routing the Forms • How to Upload Additional Documents • Electronic Routing & Approval Information & Instructions • Cayuse Support

3. Necessary Steps to Route Your Form The required steps to follow in order to route the SPAR, PAF, F&A Waiver, or Tuition & Fee Waiver forms.

4. Table of Contents • Accessing Cayuse 424 • Create “Proposal” • Creating Your Form • The Six Steps • No IDC Rate • The Proposal Summary

5. Accessing Cayuse 424 • OGCS webpage • Click on the Cayuse running horse • Direct link: https://nau.cayuse424.com • Log in with your NAU CAS User ID and Password

6. Create “Proposal” • Click on the Proposals tab • Click on Create Proposal • Note: You do not need an Opportunity Number

7. Creating Your Form • A pop-up window will appear • Select Other Proposal and then Create

8. The Six Steps • Type in the Proposal Name, which should follow one of these conventions: • SPAR: SPAR, PI’s last name, Account #, Action (At-Risk, NCE, Budget Revision)i.e., SPAR Doe ENV12A3 NCE • PAF: PAF, PI’s last name, OGCS #, Sponsori.e., PAF Doe 12.0123 NSF • Tuition Waivers: Tuition Waiver, PI’s last name, Account #, Sponsori.e., Tuition Waiver Doe ENV12A3 NSF • F&A Waiver/Reduction:F&A, Action, PI’s last name, OGCS # or Account #, Sponsori.e., F&A Reduction Doe 12.0123 NSF orF&A Reduction Doe ENV12A3 NSF • In the Search Box, type in the name of the PI and click Search. • Select the PI by clicking on his/her name in the Principal Investigator box. • Select the number (#) of Budget Periods • # of Budget Periods = # of Years • Select Other – Minimalas the Validation Type. • Click Create Proposal See the next slide for a screen caption

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10. No IDC Rate • Once you click Create Proposal, a pop-up window will appear: • Click OK.

11. The Proposal Summary • You will immediately be taken to the Proposal Summary page.

12. The Proposal Summary: Section 1 • Fill out the following in the first section: • Proposal Number: OGCS number assigned in your Early Proposal Notification Confirmation. • Proposal Status should be selected as incomplete. • Submission Method: Will it be submitted electronically or by courier? • Submission Type: pre-application (pre-proposal), application (proposal), or a changed/corrected proposal (SPAR). • Do not fill in Submission or Submitted By. That is something your GCA will handle.

13. Section 2: Investigator Data • In Investigator Data, review the preloaded information. If there are any errors, contact your GCA.

14. Section 2: Investigator Data • In Investigator Data section, answer the “yes/no” questions accordingly. • When submitting a PAF, a COI form is always required.

15. Section 3: Sponsor Data • Fill in the following information: • Agency • Proposal Type (e.g., Grant, Contract, Cooperative Agreement, Other) • Sponsor Mechanism (the title of the RFP/opportunity) • Sponsor Type (e.g., Federal, State, Local, Private, Non-profit, College/University, Foreign) • Sponsor (locate and select the sponsor in the dropdown menu)

16. Section 4: Project Data • Under Title of Project, enter the title of your proposal • Select Yes or No as to whether the proposal is a subcontract • If Yes, enter the prime • Select the Type of Proposal and Type of Agency • Select the Kind of Application you’re submitting • Lastly, select the Type of Project for your proposal

17. Section 5: Project Administration • Continue onto the next section of the Proposal Summary: Project Administration. • “Who is responsible for this research?” You are going to type in the PI’s name. • Next type in the Departmental Name • The Primary Dept. Contact would be the Business Manager of your department or the equivalent of in your department.

18. Section 6: Compliance Data • Simply select Yes or No to answer the questions • If Yes, you will need to answer if the IACUC/IRB review is pending; enter the IACUC/IRB Protocol number, if you have it; and the Approval Date, if you have it. • You will also need to provide an explanation if your project will involve any use of radioactive material, radiation production devices, etc.

19. Section 7: Budget Data • Hard-enter the yearly and cumulative budget periods • Answer if there will be any cost share involved (not required if submitting a SPAR) • Enter the direct, indirect, and total costs of the yearly and cumulative budget periods (not required if submitting a SPAR)

20. Section 8: Award Data • If you are submitting a continuation, you will need to fill in the information in this section! • If you are not submitting a continuation, you may continue to the next slide. • Please input the Award Number, Contract Number, and the Date the project was awarded, if you know it. • Also, fill out the first budget period and the total budget period.

21. Section 9: Export Control • Answer Yes or Noto the questions asked in this section • If you answer Yesto any of the questions, you will need to attach a document that explains the situation under Documents.

22. Section 10: Comments • If you have any comments/explanations that you would like to add in regards to your proposal, it goes under this section. • Continue to the next slide to reach the Continue to… page, which will enable you to jump to the section about specific form you would like to route.

23. Routing the Form Locating, Completing, and Uploading the SPAR, Supplemental PAF, F&A Waiver, and Tuition Waiver

24. Table of Contents • Where to Find the Forms • Complete the Form • Attaching the Form • Upload Attachment Window • Browsing for the Form • Uploading the Form

25. Where to Find the Forms • You will find the SPAR, Supplemental PAF, F&A Waiver, Tuition Waiver, and other important forms in the “Forms” section of the OGCS website:http://nau.edu/Research/Grants-Contracts/Forms/ • Click on the form you that you need to route in order to download and open it.

26. Complete the Form Whether you’re submitting a SPAR, Supplemental PAF, F&A Waiver, or a Tuition Waiver, complete the electronic form as you would the paper version of the form. When you have completed the form, remember to save it! Please save a copy of the electronic form as an Adobe PDF*. *If you are using Microsoft Office 2010, you may save the SPAR form as a PDF by going to File  Print  Adobe PDF (as the print option). If you need any assistance in completing these forms, contact your Grant & Contract Administrator.

27. Attaching the Form • To upload your form, click on the Documents link on the left-hand menu of the Proposal Summary page in Cayuse. • After you’re directed to the Documents page, click the Add button.

28. Upload Attachment Window • A pop-up window will appear • Click on the top Choose File button

29. Browsing for the Form • Browse for the form • Click on the form to select it • Click Open

30. Uploading the Form • The name of the PDF will be the title that appears for the Attachment Name. • After browsing for the PDF copy of your form, click Upload. • The Supporting Documents Attachment page will refresh, showing the uploaded form as a PDF.

31. Additional Required Documents • When submitting a PAF, these additional documents are also required to be uploaded in Documents: • Conflict of Interest Form(s) for the PI, all co-PIs, and all Senior/Key Personnel • Budget (PDF & Excel spreadsheet) • Budget justification • Project Summary/Abstract/Narrative • Proposal • Link to OGCS Forms: http://nau.edu/Research/Grants-Contracts/Forms/

32. How to Upload Additional Documents • To upload additional documents that are pertinent to your request, repeat the steps for uploading the SPAR, PAF, F&A Waiver, or Tuition Waiver on the Documents page. • If you have source documents (i.e., Excel spreadsheet or Microsoft Word .doc) that need to be uploaded, browse for them as a Source of PDF. • Source of PDF documents can be uploaded simultaneously with their PDF counterparts!

33. Electronic Routing & Approval Instructions & Information Building & Initiating the Routing Chain, Reviewing & Approving a Proposal, Retracting Approval, and Things to be Aware of

34. Table of Contents • Overview • Building the Approval Chain • Initiating a Routing Chain • Reviewing a Proposal • Email Access for Proposal Review • Cayuse Access for Proposal Review • Approving a Proposal • Retracting Approval in the Routing Chain • Printing/Saving the Proposal as PDF • Printing/Saving the Routing Chain as PDF • Things To Be Aware Of

35. Overview • The “Routing and Approvals” feature in Cayuse 424 is designed to obtain sequential departmental and institutional approvals of grant application submissions.  This system is used for internal sign-offs on all applications, regardless of whether the actual submission will be made through Cayuse to Grants.gov or not. • All proposals created in Cayuse will automatically generate a Proposal Summary (containing most of the information necessary for pre-submission review) and a Routing Chain (the electronic pathway for obtaining pre-submission institutional approvals). • NAU-specific information will be collected on the NAU Supplementary Information for Proposal Approval and Review form (available on the OGCS website). PIs, co-PIs, Chair(s), Dean(s), and other authorized signers indicate their acceptance of the NAU certification statements (listed on the form) via the Cayuse electronic approval chain.

36. Required Persons in the Chain • The default routing chain begin with the PI. In general, a routing chain will be set in the following order: • Principal Investigator (PI) • Co-Principal Investigators (Co-PI), if applicable • Grant and Contract Administrator (GCA) • Department Chair(s) • Dean(s) • Grant and Contract Administrator • Director, Office of Grant and Contract Services • If you are working with co-PIs from a difference department, you must include the chairs and deans of their departments, as well as your own chair and dean. • All routing actions within the Cayuse system are logged in the proposal’s Routing History found in the Routing and Approval section under Proposal Management on the left side of the screen.

37. Finding “Routing & Approval” • In Cayuse, open the form you wish to route. • Click on Routing & Approval on the left-hand menu bar.

38. Let’s Get Started! • As you can see, the PI automatically appears first in the Routing Chain: • Click on Edit Chain?

39. Building the Chain • You add or remove people using the or icons. • Click the    icon belowthe last name entered to build a sequential chain.

40. Adding the Appropriate People • Type the person’s last name in the search box then click on the Search icon • Click the person’s name in the Search Results box to add them to the chain • In the Comments box, provide the information as to why that person is being added to the approval chain (i.e., Heather Byers – Co-PI) • For Deans, Associate Deans, & Department Chairs: [Name] – [Title], [Department]i.e., Thomas Hoisch – Assoc. Dean, CEFNS • For Grant & Contract Administrators: [Name] – GCA, OGCSi.e., Kerri Byrd – GCA, OGCS • For Director of Grant & Contract Services:Wilma Ennenga – Director, OGCS • Click the Add To Chainbutton

41. Remember the List! • The list of the required personnel is: • Principal Investigator (PI) • Co-Principal Investigators (Co-PI), if applicable • Grant and Contract Administrator (GCA) • Department Chair(s) • Dean(s) • Grant and Contract Administrator • Director, Office of Grant and Contract Services • Remember to add their titles and departments in the Comments boxes. • You must include the chairs and deans of the departments of the co-PIs, too.

42. Initiating the Routing Chain • To initiate the routing chain for approval, click the box next to your name as shown below. The page will refresh and a checkmark will appear. • A pop-up window will appear. You may add a comment. Whether you do or not, click Approve. Everything looks good!

43. What Happens Now? • Once the PI checks the box, the next person in the Routing Chain will receive a notification email that there is something in Cayuse that requires his/her review. • After that person has checked the box next to his/her name, the next person in the chain will receive a notification email and so on.

44. Reviewing/Approving Proposals • If you are part of a routing chain for a proposal, and you have received an email notification that it is ready for your review and approval, there are two ways to access the proposal: • Click on the blue hyperlink within the Cayuse email notification • Log directly into Cayuse 424 • See following slides for detailed instructions.

45. Email Access for Proposal Review • Click on the blue hyperlinkin the Cayuse email notification. • You will be redirected to the CAS Login page. Log in with your NAU user ID and password. • You will be immediately directed to the Proposal Summarypage.

46. Cayuse Access for Proposal Review • Log into Cayuse 424 • Direct link: https://nau.cayuse424.com • Click on the running horse at the OGCS website: • Select the Routing tab. • Select the proposal that is in need of your review and approval. • You will be automatically be directed to the proposal. 2 3

47. Approving the Proposal • Once you have reviewed the proposal information and attached documents, navigate to Routing & Approval section on the lower left side of the screen under Proposal Management. • Check the box next to your name. 2 1

48. Approving the Proposal • Once the box next to your name is checked, a Comments box will appear for you to provide additional information about the approval to subsequent reviewers. • Be advised to keep the comments professional as the comments become part of the history log and is viewable to everyone in the routing chain. • Click Approve.

49. Retracting Approval • Cayuse enables you to retract the approval of a proposal by un-checking the box next to the person you wish to retract the proposal back to. • This will cause the proposal to be sent back for re-review and/or corrections. • Once un-checked, a Comments box will appear to provide information to the person the proposal is being sent back to. • When a routing chain is started, the initiator (PI) can recall (cancel) the whole process by un-checking their box. I noticed an error in the budget. Please recalculate and fix. Thanks.

50. Printing/Saving the Proposal as PDF • To generate a PDF: • Click the icon at the top right-hand side of the proposal • Check all appropriate sections. You can select as many or as few sections as desired. To print the full proposal, click on the select all hyperlink. • Click Generate PDF. This will generate a PDF of all selected sections. Save or print the generated PDF version if you wish. • Notice that the include any attachments box is automatically checked.  This allows for all attachment, including the uploaded attachments in the Documents section to be included in the PDF file.