how to electronically route forms in cayuse sponsored project action request (spar) form,...

How to How to Electronically Electronically

Route Forms in Route Forms in CayuseCayuseSponsored Project Action Request

(SPAR) Form, Supplemental Proposal Approval Form (PAF), Tuition & Fee

Waiver Request Form, F&A Reduction/Waiver Request Form

Office of Grant & Contract Services17 January 2012

Table of Contents• Necessary Steps to Route Your Form

– “Create Proposal”– Adding the Required Information

• Routing the SPAR– Completing the SPAR Form– Uploading the SPAR Form

• Routing the PAF– Completing the PAF– Uploading the PAF– Additional Required Documents

• Routing the F&A Waiver/Reduction Request Form– Completing the F&A Waiver/Reduction Request Form– Uploading the F&A Waiver/Reduction Request Form

• Routing the Tuition & Fee Waiver Form– Completing the Tuition & Fee Waiver Form– Uploading the Tuition & Fee Waiver Form

• How to Upload Additional Documents• Electronic Routing & Approval Information & Instructions

– Table of Contents

• Cayuse Support

The required steps to follow in order to route the SPAR, PAF, F&A Waiver, or Tuition & Fee Waiver

forms.

Necessary Steps to Necessary Steps to Route Your FormRoute Your Form

Necessary Steps to Route Your Form

• To route your form, you must first create a “proposal.”– First, click on the ProposalsProposals tab. – Once the Proposals window is open, click on the Create Create

ProposalProposal button in the upper right-hand corner of the Cayuse screen.

– Note: You do notdo not need an Opportunity Number.

Necessary Steps to Route Your Form

• A pop-up window will appear• Select Other ProposalOther Proposal and then CreateCreate

Necessary Steps to Route Your Form

• A new window will pop up, titled Create New ProposalCreate New Proposal.1. Type in the Proposal NameProposal Name, which should follow one of these conventions:

• For a SPAR: SPAR, PI’s last name, Account #, Action (At-Risk, NCE, Budget Revision)i.e., SPAR Doe ENV12A3 NCE

• For a PAF: PAF, PI’s last name, OGCS #, Sponsori.e., PAF Doe 12.0123 NSF

• For Tuition Waivers: Tuition Waiver, PI’s last name, Account #, Sponsori.e., Tuition Waiver Doe ENV12A3 NSF

• For F&A Waiver/Reduction: F&A, Action, PI’s last name, OGCS # or Account #, Sponsori.e., F&A Reduction Doe 12.0123 NSF or F&A Reduction Doe ENV12A3 NSF

– In the Search BoxSearch Box, type in the full or last name of the PI and click SearchSearch.– Select the PI by clicking on his/her name in the Principal Investigator Principal Investigator

boxbox.– Select the number (#) of Budget Periodsnumber (#) of Budget Periods

• # of Budget Periods = # of Years

– Select Other – Minimal as the Validation TypeValidation Type.– Click Create ProposalCreate Proposal

See the next slide for a thorough exampleSee the next slide for a thorough example

Necessary Steps to Route Your Form

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Necessary Steps to Route Your Form

• Once you click Create ProposalCreate Proposal, a second pop-up window will appear:

• As this is not a proposal, an IDC rate does not need to be selected.

• Click OKOK.

Necessary Steps to Route Your Form

• Cayuse will redirect you to the Proposal SummaryProposal Summary page of your form.• Please complete everything that is applicable to the form you will be

routing.• If you are unsure of what is necessary information for your form, contact

your GCA (Grant & Contract Administrator).

Continue to the next slide to reach the Continue to…Continue to… page, which will enable you to jump to the section about specific form you would like to route.

Continue to…

• Routing the SPAR• Routing the PAF• Routing the F&A Waiver/Reduction Request For

m• Routing the Tuition & Fee Waiver Form

Please note that each section of this PowerPoint will have a Continue to… Continue to… page to make navigation through this presentation user-friendly.

Locating, Completing, & Uploading the Sponsored Project Action Request (SPAR)

Form

Routing the SPARRouting the SPAR

Routing the SPAR: Where to Find It

• First, you will need to download the SPAR form, which can be found at the OGCS website:http://www.research.nau.edu/funding/ogcs/forms.aspx

• Click on Sponsored Project Action Request (SPAR)Sponsored Project Action Request (SPAR) link to open the form in Microsoft Word.

• Please note that the SPAR, PAF, F&A Waiver, Tuition Waiver, and other forms are now required to be routed electronically through Cayuse.

• Our website no longer provides the paper versions of these forms.

Routing the SPAR: Completing the Form

Complete the electronic SPAR form as you would the paper SPAR form.

When you have completed the form, remember to SAVESAVE it!

You are able to save the SPAR form as a MS Word .docMS Word .doc and/or an Adobe Adobe PDFPDF*.

*If you are using Microsoft Office 2010, you may save the SPAR form as a PDF by going to File File Print Print Adobe Adobe PDFPDF (as the print option).

Routing the SPAR: Uploading the Form

• To upload your SPAR form, click on the DocumentsDocuments link on the left-hand menu of the Proposal Summary Proposal Summary page in Cayuse.

• After you’re directed to the DocumentsDocuments page, click the AddAdd button.

Routing the SPAR: Uploading the Form

• A pop-up window should appear.• OGCS requests that you upload a PDF PDF file. • Click on the top Choose FileChoose File button to do

upload the PDF file of the form.• Click on the bottom Choose File Choose File button to

upload Word/Excel documents (or the “source of PDF”).

Routing the SPAR: Uploading the Form

• Find the folder that you saved the versions of your form in through the File BrowserFile Browser.

• Click on the form when you’ve located it.• Click OpenOpen.

Routing the SPAR: Uploading the Form

• The name of the PDF will be the title that appears for the Attachment Attachment NameName.

• After browsing for the PDF copy of your form, click UploadUpload.

• The Supporting Supporting Documents Documents AttachmentAttachment page will refresh, showing the uploaded SPAR Form as a PDF.

Continue to…

• Routing the PAF• Routing the F&A Waiver/Reduction Request For

m• Routing the Tuition & Fee Waiver Form• How to Upload Additional Documents• Electronic Routing & Approval Instructions & In

formation

Locating, Completing, & Uploading the NAU Supplemental Proposal Approval Form

(PAF)

Routing the PAFRouting the PAF

Routing the PAF: Where to Find It

• First, you will need to download the PAF, which can be found at the OGCS website:http://www.research.nau.edu/funding/ogcs/forms.aspx

• Click on NAU Supplemental Proposal Approval Form NAU Supplemental Proposal Approval Form (PAF) Information(PAF) Information link to open the form in Microsoft Word.

• Please note that the SPAR, PAF, F&A Waiver, Tuition Waiver, and other forms are now required to be routed electronically through Cayuse.

• Our website no longer provides the paper versions of these forms.

Routing the PAF: Completing the Form

Complete the electronic PAF as you would the paper PAF.

When you have completed the form, remember to SAVESAVE it!

You are able to save the PAF as a MS Word .docMS Word .doc and/or an Adobe Adobe PDFPDF*.

*If you are using Microsoft Office 2010, you may save the PAF as a PDF by going to File File Print Print Adobe PDF Adobe PDF (as the print option).

Routing the PAF: Uploading the Form

• To upload the PAF, click on the DocumentsDocuments link on the left-hand menu of the Proposal Proposal Summary Summary page in Cayuse.

• After you’re directed to the DocumentsDocuments page, click the AddAdd button.

Routing the PAF: Uploading the Form

• A pop-up window should appear.• OGCS requests that you upload a PDF PDF file. • Click on the top Choose FileChoose File button to do

upload the PDF file of the form.• Click on the bottom Choose File Choose File button to

upload Word/Excel documents (or the “source of PDF”).

Routing the PAF: Uploading the Form

• Locate where you saved the files of your form on your computer through the File BrowserFile Browser.

• Click on the form when you’ve located it.• Click OpenOpen.

Routing the PAF: Uploading the Form

• The name of the PDF will be the title that appears for the Attachment Attachment NameName.

• After browsing for the PDF copy of your form, click UploadUpload.

• The Supporting Supporting Documents Documents AttachmentAttachment page will refresh, showing the uploaded PAF as a PDF and src.

Routing the PAF: Additional Required Documents

• For PAFs, a full and complete electronic copy of the proposal must be uploaded as an attachment to the Cayuse application file. After internal routing and approval, the proposal will be submitted in accordance with sponsor instructions (via FastLane, FedEx, etc).

• To allow us to provide electronic review of proposals, four additional attachments are required: 1. NAU Supplementary Information for Proposal Review2. Conflict of Interest Form(s) for the PI, any co-PIs, and all Senior/Key

Personnel3. PI/CO-PI and Senior/Key Personnel List for SFI Disclosure4. Budget

• For the Budget, OGCS asks that you upload the PDF and an Excel spreadsheet copy of the form

5. Budget justification6. Project Summary/Abstract7. Proposal

• Link to OGCS Forms: http://research.nau.edu/funding/ogcs/forms.aspx

Continue to…

• Routing the SPAR• Routing

the F&A Waiver/Reduction Request Form• Routing the Tuition & Fee Waiver Form• How to Upload Additional Documents• Electronic Routing & Approval Instructions & In

formation

Locating, Completing, and Uploading the F&A Waiver/Reduction Request Form

Routing the F&A Routing the F&A WaiverWaiver

Routing the F&A Waiver: Where to Find It

• First, you will need to download the F&A Waiver form, which can be found at the OGCS website:http://www.research.nau.edu/funding/ogcs/forms.aspx

• Click on F&A Reduction or Waiver Request FormF&A Reduction or Waiver Request Form link to open the form in Microsoft Word.

• Please note that the SPAR, PAF, F&A Waiver, Tuition Waiver, and other forms are now required to be routed electronically through Cayuse.

• Our website no longer provides the paper versions of these forms.

Routing the F&A Waiver: Completing the Form

• Complete the electronic F&A Waiver as you would the paper form.

• When you have completed the form, remember to SAVESAVE it!

• You are able to save the PAF as a MS Word .docMS Word .doc and/or an Adobe PDFAdobe PDF*.

*If you are using Microsoft Office 2010, you may save the F&A Waiver form as a PDF by going to File File Print Print Adobe PDF Adobe PDF (as the print option).

Routing the F&A Waiver: Uploading the Form

• To upload the F&A Waiver, click on the DocumentsDocuments link on the left-hand menu of the Proposal Summary Proposal Summary page in Cayuse.

• After you’re directed to the DocumentsDocuments page, click the AddAdd button.

Routing the F&A Waiver: Uploading the Form

• A pop-up window should appear.• OGCS requests that you upload a PDF PDF file. • Click on the top Choose FileChoose File button to do

upload the PDF file of the form.• Click on the bottom Choose File Choose File button to

upload Word/Excel documents (or the “source of PDF”).

Routing the F&A Waiver: Uploading the Form

• Locate where you saved the files of your form on your computer through the File BrowserFile Browser.

• Click on the form when you’ve located it.• Click OpenOpen.

Routing the F&A Waiver: Uploading the Form

• The name of the PDF will be the title that appears for the Attachment Attachment NameName.

• After browsing for the PDF copy of your form, click UploadUpload.

• The Supporting Supporting Documents Documents AttachmentAttachment page will refresh, showing the uploaded F&A Waiver as a PDF and src.

Continue to…

• Routing the SPAR• Routing the PAF• Routing the Tuition & Fee Waiver Form• How to Upload Additional Documents• Electronic Routing & Approval Instructions &

Information

Locating, Completing, & Uploadingthe Tuition & Fee Waiver Form

Routing the Tuition Routing the Tuition WaiverWaiver

Routing the Tuition Waiver: Where to Find It

• First, you will need to download the Tuition Waiver form, which can be found at the OGCS website:http://www.research.nau.edu/funding/ogcs/forms.aspx

• Click on Tuition and Fee Waiver Request Form Tuition and Fee Waiver Request Form link to open the form in Microsoft Word.

• Please note that the SPAR, PAF, F&A Waiver, Tuition Waiver, and other forms are now required to be routed electronically through Cayuse.

• Our website no longer provides the paper versions of these forms.

Routing the Tuition Waiver: Completing the Form

Complete the electronic Tuition Waiver as you would the paper form.

When you have completed the form, remember to SAVESAVE it!

You are able to save the PAF as a MS MS Word .docWord .doc and/or an Adobe PDFAdobe PDF*.

*If you are using Microsoft Office 2010, you may save the Tuition Waiver form as a PDF by going to File File Print Print Adobe Adobe PDFPDF (as the print option).

Routing the Tuition Waiver: Uploading the Form

• To upload the Tuition Waiver, click on the DocumentsDocuments link on the left-hand menu of the Proposal Summary Proposal Summary page in Cayuse.

• After you’re directed to the DocumentsDocuments page, click the AddAdd button.

Routing the Tuition Waiver: Uploading the Form

• A pop-up window should appear.• OGCS requests that you upload a PDF PDF file. • Click on the top Choose FileChoose File button to do

upload the PDF file of the form.• Click on the bottom Choose File Choose File button to

upload Word/Excel documents (or the “source of PDF”).

Routing the Tuition Waiver: Uploading the Form

• Locate where you saved the files of your form on your computer through the File BrowserFile Browser.

• Click on the form when you’ve located it.• Click OpenOpen.

Routing the Tuition Waiver: Uploading the Form

• The name of the PDF will be the title that appears for the Attachment Attachment NameName.

• After browsing for the PDF copy of your form, click UploadUpload.

• The Supporting Supporting Documents Documents AttachmentAttachment page will refresh, showing the uploaded Tuition Waiver as a PDF and src.

Continue to…

• Routing the SPAR• Routing the PAF• Routing the F&A Waiver/Reduction Request

Form• How to Upload Additional Documents• Electronic Routing & Approval Instructions &

Information

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, and Tuition Waiver forms in Cayuse on the DocumentsDocuments page.

• Please note that you must repeat the uploading steps for each additional document that you want to upload.

• Note:Note: When attaching a BudgetBudget, remember to upload an Excel spreadsheet Excel spreadsheet copy of the Budget.

Building & Initiating the Routing Chain, Reviewing & Approving a Proposal, Retracting

Approval, and Things to be Aware of

Electronic Routing & Approval Electronic Routing & Approval Instructions & InformationInstructions & Information

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

Electronic Routing & Approval: Overview

• The “Routing and Approvals” feature in Cayuse 424 is designed to obtain sequential departmental and institutional approvals of grant application submissions.  This system will be used for internal sign-offs on all applications, regardless of whether the actual submission will be made through Cayuse to Grants.gov.

• All proposals created in Cayuse will automatically generate a Proposal SummaryProposal Summary (containing most of the information necessary for pre-submission review) and a Routing ChainRouting Chain (the electronic pathway for obtaining pre-submission institutional approvals).

• NAU-specific information will be collected on the NAU NAU Supplementary Information for Proposal Approval and Supplementary Information for Proposal Approval and ReviewReview 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.

Electronic Routing & Approval: Overview

• Proposals that will be submitted to Grants.gov through Cayuse already include the completed proposal. For all other proposals (PAFs), however, a full and complete electronic copy of the proposal must be uploaded as an attachment to the Cayuse application file. After internal routing and approval, the proposal will be submitted in accordance with sponsor instructions (e.g., through Cayuse to Grants.gov, through another electronic portal such as E-Grants, FastLane, by mail/FedEx, etc.).

• To allow us to provide electronic review of proposals, four additional attachments are required: 1. NAU Supplementary Information for Proposal Review2. Conflict of Interest Form(s)3. Budget4. Budget justification5. Project Summary

• Link to OGCS Forms: http://research.nau.edu/funding/ogcs/forms.aspx

Electronic Routing & Approval: Overview

• The default routing chain begin with the PI. In general, a routing chain will be set in the following order:1. Principal Investigator (PI)2. Co-Principal Investigators (Co-PI), if applicable3. Grant and Contract Administrator (GCA)4. Department Chair(s)5. Dean(s)6. Grant and Contract Administrator7. 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 HistoryRouting History found in the Routing and Routing and ApprovalApproval section under Proposal ManagementProposal Management on the left side of the screen.

Electronic Routing & Approval: Building the Routing Chain

• The PI sets up a Routing ChainRouting Chain to designate who will review and approve the proposal

• Open the prime proposal and click • The PI automatically appears first in the

Routing Chain:

Electronic Routing & Approval: Building the Routing Chain

• You build the chain automatically by clicking

• You add or remove people using the or icons.

• Place the    icon belowbelow the last name entered to build a sequential chain.

Electronic Routing & Approval:Building the Routing Chain

• Type the person’s last name in the search box then click on the SearchSearch icon

• Select the person to be added to the chain by highlighting their name

• In the CommentsComments 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 – Dean/Asso. Dean/Chair, Departmenti.e., Thomas Hoisch – Asso. 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 ChainAdd To Chain button

Electronic Routing & Approval:Initiating the Routing Chain

• To initiate the routing chain for approval, click the box next to your name as shown below. A checkmark will appear and this will start the chain.

• You may add a note, if you wish, in the pop-up window that appears after you check the box for approval. The note is included in the email that goes to the next person in your routing chain, and also becomes part of the history log, which is viewable to all in the routing chain.

Everything looks good!

Electronic Routing & Approval:Initiating the Routing Chain

• Once the PI checks the box, the next person in the Routing Chain now has control of the proposal. – For example, if the Dean is the next person listed in the

Chain, s/he will receive an email notification, stating that the proposal is ready for review.

• Persons in the chain may grant their approval of the proposal by checking the box beside their name, or return it to the PI (and the PI’s control), by deselecting the box next to their name.– Further instructions & information on this will be

provided later in this presentation.

Electronic Routing & Approval: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: 1. Click on the blue hyperlink within the Cayuse email

notification2. Log directly into Cayuse 424

• See following slides for detailed instructions.

Electronic Routing & Approval:Email Access for Proposal Review

1. Click on the blue hyperlinkblue hyperlink within the Cayuse email notification. This will take you to the Proposal SummaryProposal Summary page.– You can review the entirety and/or portions of the

proposal by navigating in the proposal components section on the left side of the screen by simply clicking on the section you wish to review.

– View the attached documents by navigating to the DocumentsDocuments section on the lower left side of the screen under Proposal ManagementProposal Management. You can view each document by clicking on the blue hyperlink next to each uploaded document.

Electronic Routing & Approval:Cayuse Access for Proposal Review

2. Log directly into Cayusea. Select the RoutingRouting tab.b. Next, select the proposal that is in need of your

review and approval.c. You will be automatically be directed to the proposal.

a

b

Electronic Routing & Approval:Approving the Proposal

1. Once you have reviewed the proposal information and attached documents, navigate to Routing & ApprovalRouting & Approval section on the lower left side of the screen under Proposal Proposal ManagementManagement.

2. Check the box next to your name.

1

2

Electronic Routing & Approval:Approving the Proposal

3. Once the box next to your name is checked, a CommentsComments 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.

4. Click ApproveApprove.

Electronic Routing & Approval:Retracting Approval

• You may find that you will want to route the proposal back to the initiator or someone else in the chain. The Cayuse system enables you to do this function by:– Simply un-check the box next the person you wish to retract the

proposal to. This will cause the proposal to be sent back for re-review and/or corrections.

– Once un-checked, a CommentsComments box will appear to provide information to the person the proposal is being rejected 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.

Electronic Routing & Approval:Printing/Saving the Proposal as PDF

• To generate a PDF:1. Click the icon at the top right-

hand side of the proposal

2. Check all appropriate sections. You can select as many or as few sections as desired. To print the full proposal, click on the select select allall hyperlink.

3. Click Generate PDFGenerate 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 include any attachmentsattachments box is automatically checked.  This allows for all attachment, including the uploaded attachments in the DocumentsDocuments section to be included in the PDF file.

Electronic Routing & Approval:Printing/Saving the Routing Chain

1. Right-click anywhere on the RoutingRouting page to bring up the menu

2. Select This FrameThis Frame and then Print Frame…Print Frame…

Electronic Routing & Approval:Printing/Saving the Routing Chain

3. When the Print window appears, select Adobe PDFAdobe PDF if you wish to save to your computer

4. Select OKOK if you wish to print

Electronic Routing & Approval:Things to be Aware of

• PIs should always review the Proposal SummaryProposal Summary page prior to initiating the approval routing. Although the Cayuse system does automatically populate most fields within the summary, it does not populate all. OGCS has created a Cheat Sheet for the Cayuse Project Summary and NAU Supplemental information for your reference.  – The sheet is located on the OGCS website Information

and Resources (beneath the Cayuse horse) Cayuse FAQ.

• AlwaysAlways use FirefoxFirefox as your browser when applying your electronic approvals. Though Cayuse will operate using the Internet ExplorerInternet Explorer browser, we have found that the attached documents will not always open using the IEIE browser.

Cayuse Support

• For Help With Cayuse 424, You May…– Contact OGCS via email (ogcs@nau.edu) or call us at

extension 4880.– Refer to the Training Materials on the OGCS website:

http://www.research.nau.edu/funding/ogcs/index.aspx

– Go to the Cayuse Support website:http://support.cayuse.com