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 & InstructionsElectronic Routing & Approval Information & Instructions Cayuse Support

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

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.comhttps://nau.cayuse424.com Log in with your NAU CAS User ID and Password

6. Create “Proposal” ProposalsClick on the Proposals tab Create ProposalClick on Create Proposal do notNote: You do not need an Opportunity Number

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

8. The Six Steps 1.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 #, Sponsor i.e., PAF Doe 12.0123 NSF – Tuition Waivers: Tuition Waiver, PI’s last name, Account #, Sponsor i.e., Tuition Waiver Doe ENV12A3 NSF – F&A Waiver/Reduction: F&A, Action, PI’s last name, OGCS # or Account #, Sponsor i.e., F&A Reduction Doe 12.0123 NSF or F&A Reduction Doe ENV12A3 NSF 2.In the Search Box, type in the name of the PI and click Search. 3.Select the PI by clicking on his/her name in the Principal Investigator box. 4.Select the number (#) of Budget Periods –# of Budget Periods = # of Years 5.Select Other – Minimal as the Validation Type. 6.Click Create Proposal See the next slide for a screen caption

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10. No IDC Rate Create ProposalOnce you click Create Proposal, a pop-up window will appear: OKClick OK.

11. The Proposal Summary Proposal SummaryYou 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. incomplete – 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 Investigator DataIn Investigator Data, review the preloaded information. If there are any errors, contact your GCA.

14. Section 2: Investigator Data Investigator DataIn Investigator Data section, answer the “yes/no” questions accordingly. PAFWhen 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 Project AdministrationContinue 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 YesNoSimply 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 continuationIf 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. Award NumberContract Number Date the project was awardedPlease input the Award Number, Contract Number, and the Date the project was awarded, if you know it. first budget periodtotal budget periodAlso, fill out the first budget period and the total budget period.

21. Section 9: Export Control YesNoAnswer Yes or No to the questions asked in this section DocumentsIf you answer Yes to 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…  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. Locating, Completing, and Uploading the SPAR, Supplemental PAF, F&A Waiver, and Tuition Waiver Routing the Form

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/ 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. SAVE When you have completed the form, remember to SAVE it ! Adobe PDF Please save a copy of the electronic form as an Adobe PDF *. File  Print  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 Documents Proposal SummaryTo upload your form, click on the Documents link on the left-hand menu of the Proposal Summary page in Cayuse. Documents AddAfter you’re directed to the Documents page, click the Add button.

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

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

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

31. Additional Required Documents DocumentsWhen submitting a PAF, these additional documents are also required to be uploaded in Documents : 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/ http://nau.edu/Research/Grants-Contracts/Forms/

32. How to Upload Additional Documents DocumentsTo 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. Source of PDFIf 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. Building & Initiating the Routing Chain, Reviewing & Approving a Proposal, Retracting Approval, and Things to be Aware of Electronic Routing & Approval Instructions & Information

34. Table of Contents Overview Building the Approval Chain Initiating a Routing Chain Reviewing a Proposal –Email Access for Proposal ReviewEmail Access for Proposal Review –Cayuse Access for Proposal ReviewCayuse 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. Proposal Summary Routing ChainAll 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 Supplementary Information for Proposal Approval and ReviewNAU-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: 1.Principal Investigator (PI) 2.Co-Principal Investigators (Co-PI), if applicable 3.Grant and Contract Administrator (GCA) 4.Department Chair(s) 5.Dean(s) 6.Grant and Contract Administrator 7.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. Routing HistoryRouting and ApprovalProposal ManagementAll 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. Routing & ApprovalClick 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: Edit Chain?Click on Edit Chain?

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

40. Adding the Appropriate People SearchType 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 CommentsIn 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, OGCS i.e., Kerri Byrd – GCA, OGCS –For Director of Grant & Contract Services: Wilma Ennenga – Director, OGCS Add To ChainClick the Add To Chain button

41. Remember the List! The list of the required personnel is: 1.Principal Investigator (PI) 2.Co-Principal Investigators (Co-PI), if applicable 3.Grant and Contract Administrator (GCA) 4.Department Chair(s) 5.Dean(s) 6.Grant and Contract Administrator 7.Director, Office of Grant and Contract Services CommentsRemember 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. ApproveA 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: 1.Click on the blue hyperlink within the Cayuse email notification 2.Log directly into Cayuse 424 See following slides for detailed instructions.

45. Email Access for Proposal Review blue hyperlink 1.Click on the blue hyperlink in the Cayuse email notification. CAS Login NAU user ID and password 2.You will be redirected to the CAS Login page. Log in with your NAU user ID and password. Proposal Summary 3.You will be immediately directed to the Proposal Summary page.

46. Cayuse Access for Proposal Review 1.Log into Cayuse 424 –Direct link: https://nau.cayuse424.comhttps://nau.cayuse424.com –Click on the running horse at the OGCS website:OGCS website Routing 2.Select the Routing 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 2 3 3

47. Approving the Proposal Routing & Approval Proposal Management 1.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. 2.Check the box next to your name. 1 1 2 2

48. Approving the Proposal Comments 3.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. Approve 4.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. CommentsOnce 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: 1.Click the icon at the top right- hand side of the proposal select all 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 all hyperlink. Generate PDF 3.Click Generate PDF. This will generate a PDF of all selected sections. Save or print the generated PDF version if you wish. include any attachments Documents –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.

51. Printing/Saving the Routing Chain Routing 1.Right-click anywhere on the Routing page to bring up the menu This FramePrint Frame… 2.Select This Frame and then Print Frame…

52. Printing/Saving the Routing Chain Adobe PDF 3.When the Print window appears, select Adobe PDF if you wish to save to your computer OK 4.Select OK if you wish to print

53. Things To Be Aware Of Proposal SummaryPIs should always review the Proposal 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.OGCS websiteInformation and ResourcesCayuse FAQ Always Firefox Internet Explorer IE Always use Firefox as your browser when applying your electronic approvals. Though Cayuse will operate using the Internet Explorer browser, we have found that the attached documents will not always open using the IE browser.

54. Cayuse Support For Help With Cayuse 424, You May… –Contact OGCS via email (ogcs@nau.edu) or call us at extension 4880.ogcs@nau.edu –Refer to the Training Materials on the OGCS website: http://www.research.nau.edu/funding/ogcs/index.aspx http://www.research.nau.edu/funding/ogcs/index.aspx –Go to the Cayuse Support website: http://support.cayuse.com http://support.cayuse.com