Electronic Approvals Electronic Approvals for Non-Grants.gov for Non-Grants.gov

Proposals and Other Proposals and Other Pre-/Post-Award Pre-/Post-Award

ActionsActionsYou 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 Services6 September 2012

Table of Contents

• Necessary Steps to Route Your Form• Routing the Forms• How to Upload Additional Documents• Electronic Routing & Approval Information & Ins

tructions• 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

Table of Contents

• Accessing Cayuse 424• Create “Proposal”• Creating Your Form• The Six Steps• No IDC Rate• The Proposal Summary

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

Create “Proposal”

• Click on the ProposalsProposals tab• Click on Create ProposalCreate Proposal• Note: You do notdo not need an Opportunity Number

Creating Your Form

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

The Six Steps1.Type in the Proposal Name, which should follow one of these conventions:

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

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

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

4. 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 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 – Minimal as the Validation Type.

• Click Create Proposal

See the next slide for a screen caption

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No IDC Rate

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

• Click OKOK.

The Proposal Summary

• You will immediately be taken to the Proposal Proposal SummarySummary page.

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 incompleteincomplete.

– 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.

Section 2: Investigator Data

• In Investigator DataInvestigator Data, review the preloaded information. If there are any errors, contact your GCA.

Section 2: Investigator Data

• In Investigator DataInvestigator Data section, answer the “yes/no” questions accordingly.

• When submitting a PAFPAF, a COI form is always required.

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)

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

Section 5: Project Administration

• Continue onto the next section of the Proposal Summary: Project AdministrationProject 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.

Section 6: Compliance Data

• Simply select YesYes or NoNo 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.

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)

Section 8: Award Data

• If you are submitting a continuationcontinuation, 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 NumberAward Number, Contract Contract NumberNumber, and the Date the project was Date the project was awardedawarded, if you know it.

• Also, fill out the first budget periodfirst budget period and the total total budget periodbudget period.

Section 9: Export Control

• Answer YesYes or NoNo to the questions asked in this section

• If you answer Yes to any of the questions, you will need to attach a document that explains the situation under DocumentsDocuments.

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

Locating, Completing, and Uploading the SPAR, Supplemental PAF, F&A Waiver,

and Tuition Waiver

Routing the FormRouting the Form

Table of Contents

• Where to Find the Forms• Complete the Form• Attaching the Form• Upload Attachment Window• Browsing for the Form• Uploading the Form

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.

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 SAVESAVE it!

Please save a copy of the electronic form as an Adobe PDFAdobe PDF*.

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

If you need any assistance in completing these forms, contact your Grant & Contract Administrator.

Attaching the Form

• To upload your form, 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.

Upload Attachment Window

• A pop-up window will appear• Click on the top Choose File Choose File button

Browsing for the Form

• Browse for the form

• Click on the form to select it

• Click OpenOpen

Uploading the Form

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

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

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

Additional Required Documents

• When submitting a PAF, these additional documents are also required to be uploaded in DocumentsDocuments: 

1. Conflict of Interest Form(s) for the PI, all co-PIs, and all Senior/Key Personnel

2. Budget (PDF & Excel spreadsheet)

3. Budget justification

4. Project Summary/Abstract/Narrative

5. Proposal

• Link to OGCS Forms: http://nau.edu/Research/Grants-Contracts/Forms/

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 DocumentsDocuments 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 Source of PDFPDF.

• Source of PDF documents can be uploaded simultaneously with their PDF counterparts!

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

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 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.

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:

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 ApprovalRouting and Approval section under Proposal ManagementProposal Management on the left side of the screen.

Finding “Routing & Approval”

• In Cayuse, open the form you wish to route.

• Click on Routing & Approval Routing & Approval on the left-hand menu bar.

Let’s Get Started!

• As you can see, the PI automatically appears first in the Routing Chain:

• Click on Edit Chain?Edit Chain?

Building the Chain

• You add or remove people using the or icons.

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

Adding the Appropriate People• Type the person’s last name in the

search box then click on the SearchSearch icon

• Click the person’s name in the Search Results box to add them to the chain

• 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] – [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 ChainAdd To Chain button

Remember the List!

• The list of the required personnel is:

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

• Remember to add their titles and departments in the CommentsComments boxes.

• You must include the chairs and deans of the departments of the co-PIs, too.

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 ApproveApprove.

Everything looks good!

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.

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 notification

2. Log directly into Cayuse 424

• See following slides for detailed instructions.

Email Access for Proposal Review

1. Click on the blue hyperlinkblue hyperlink in the Cayuse email notification.

2. You will be redirected to the CAS LoginCAS Login page. Log in with your NAU user ID and passwordNAU user ID and password.

3. You will be immediately directed to the Proposal SummaryProposal Summary page.

Cayuse Access for Proposal Review

1. Log into Cayuse 424– Direct link: https://nau.cayuse424.com– Click on the running horse at the OGCS website:

2. Select the RoutingRouting tab.3. Select the proposal that is in need of your

review and approval.4. You will be automatically be directed to the

proposal.2

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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 ManagementProposal Management.

2. Check the box next to your name.

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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.

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 CommentsComments 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.

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.

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…

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

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