1. How to Electronically Route Forms in Cayuse Sponsored 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 Services 17 January 2012

2. Table of Contents Necessary Steps to Route Your Form –“Create Proposal”“Create Proposal” –Adding the Required InformationAdding the Required Information Routing the SPAR –Completing the SPAR FormCompleting the SPAR Form –Uploading the SPAR FormUploading the SPAR Form Routing the PAF –Completing the PAFCompleting the PAF –Uploading the PAFUploading the PAF –Additional Required DocumentsAdditional Required Documents Routing the F&A Waiver/Reduction Request Form –Completing the F&A Waiver/Reduction Request FormCompleting the F&A Waiver/Reduction Request Form –Uploading the F&A Waiver/Reduction Request FormUploading the F&A Waiver/Reduction Request Form Routing the Tuition & Fee Waiver Form –Completing the Tuition & Fee Waiver FormCompleting the Tuition & Fee Waiver Form –Uploading the Tuition & Fee Waiver FormUploading the Tuition & Fee Waiver Form How to Upload Additional Documents Electronic Routing & Approval Information & Instructions –Table of ContentsTable of Contents 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. To route your form, you must first create a “proposal.” Proposals –First, click on the Proposals tab. Create Proposal –Once the Proposals window is open, click on the Create Proposal button in the upper right-hand corner of the Cayuse screen. do not –Note: You do not need an Opportunity Number.

5. Necessary Steps to Route Your Form A pop-up window will appear Other ProposalCreateSelect Other Proposal and then Create

6. Necessary Steps to Route Your Form Create New ProposalA new window will pop up, titled Create New Proposal. Proposal Name 1.Type in the Proposal 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 #, Sponsor i.e., PAF Doe 12.0123 NSF For Tuition Waivers: Tuition Waiver, PI’s last name, Account #, Sponsor i.e., Tuition Waiver Doe ENV12A3 NSF For 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 Search BoxSearch 2.In the Search Box, type in the full or last name of the PI and click Search. Principal Investigator box 3.Select the PI by clicking on his/her name in the Principal Investigator box. number (#) of Budget Periods 4.Select the number (#) of Budget Periods # of Budget Periods = # of Years Validation Type 5.Select Other – Minimal as the Validation Type. Create Proposal 6.Click Create Proposal See the next slide for a thorough example

7. Necessary Steps to Route Your Form 1 1 2 2 3 3 4 4 5 5 6 6

8. Create ProposalOnce you click Create Proposal, a second pop-up window will appear: As this is not a proposal, an IDC rate does not need to be selected. OKClick OK.

9. Necessary Steps to Route Your Form Proposal SummaryCayuse will redirect you to the Proposal 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…  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.

10. Continue to… Routing the SPAR Routing the PAF Routing the F&A Waiver/Reduction Request Form Routing the Tuition & Fee Waiver Form Continue to… Please note that each section of this PowerPoint will have a Continue to… page to make navigation through this presentation user-friendly.

11. Locating, Completing, & Uploading the Sponsored Project Action Request (SPAR) Form Routing the SPAR

12. 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 http://www.research.nau.edu/funding/ogcs/forms.aspx Sponsored Project Action Request (SPAR)Click on 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.

13. Routing the SPAR: Completing the Form Complete the electronic SPAR form as you would the paper SPAR form. SAVE When you have completed the form, remember to SAVE it ! MS Word.doc Adobe PDF You are able to save the SPAR form as a MS Word.doc and/or 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).

14. Routing the SPAR: Uploading the Form Documents Proposal SummaryTo upload your SPAR 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.

15. Routing the SPAR: Uploading the Form A pop-up window should appear. PDFOGCS requests that you upload a PDF file. Choose FileClick on the top Choose File button to do upload the PDF file of the form. Choose FileClick on the bottom Choose File button to upload Word/Excel documents (or the “source of PDF”).

16. Routing the SPAR: Uploading the Form File BrowserFind the folder that you saved the versions of your form in through the File Browser. Click on the form when you’ve located it. OpenClick Open.

17. Routing the SPAR: 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 SPAR Form as a PDF.

18. Continue to… Routing the PAF Routing the F&A Waiver/Reduction Request Form Routing the Tuition & Fee Waiver Form How to Upload Additional Documents Electronic Routing & Approval Instructions & InformationElectronic Routing & Approval Instructions & Information

19. Locating, Completing, & Uploading the NAU Supplemental Proposal Approval Form (PAF) Routing the PAF

20. 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 http://www.research.nau.edu/funding/ogcs/forms.aspx NAU Supplemental Proposal Approval Form (PAF) InformationClick on NAU Supplemental Proposal Approval Form (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.

21. Routing the PAF: Completing the Form Complete the electronic PAF as you would the paper PAF. SAVE When you have completed the form, remember to SAVE it ! MS Word.doc Adobe PDF You are able to save the PAF as a MS Word.doc and/or an Adobe PDF *. File  Print  Adobe PDF *If you are using Microsoft Office 2010, you may save the PAF as a PDF by going to File  Print  Adobe PDF (as the print option).

22. Routing the PAF: Uploading the Form Documents Proposal SummaryTo upload the PAF, 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.

23. Routing the PAF: Uploading the Form A pop-up window should appear. PDFOGCS requests that you upload a PDF file. Choose FileClick on the top Choose File button to do upload the PDF file of the form. Choose FileClick on the bottom Choose File button to upload Word/Excel documents (or the “source of PDF”).

24. Routing the PAF: Uploading the Form File BrowserLocate where you saved the files of your form on your computer through the File Browser. Click on the form when you’ve located it. OpenClick Open.

25. Routing the PAF: 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 PAF as a PDF and src.

26. 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 Review 2.Conflict of Interest Form(s) for the PI, any co-PIs, and all Senior/Key Personnel 3.PI/CO-PI and Senior/Key Personnel List for SFI Disclosure 4.Budget For the Budget, OGCS asks that you upload the PDF and an Excel spreadsheet copy of the form 5.Budget justification 6.Project Summary/Abstract 7.Proposal Link to OGCS Forms: http://research.nau.edu/funding/ogcs/forms.aspx http://research.nau.edu/funding/ogcs/forms.aspx

27. 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 & InformationElectronic Routing & Approval Instructions & Information

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

29. 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 http://www.research.nau.edu/funding/ogcs/forms.aspx F&A Reduction or Waiver Request FormClick on F&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.

30. Routing the F&A Waiver: Completing the Form Complete the electronic F&A Waiver as you would the paper form. SAVEWhen you have completed the form, remember to SAVE it ! MS Word.doc Adobe PDFYou are able to save the PAF as a MS Word.doc and/or an Adobe PDF *. File  Print  Adobe PDF *If you are using Microsoft Office 2010, you may save the F&A Waiver form as a PDF by going to File  Print  Adobe PDF (as the print option).

31. Routing the F&A Waiver: Uploading the Form Documents Proposal SummaryTo upload the F&A Waiver, 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.

32. Routing the F&A Waiver: Uploading the Form A pop-up window should appear. PDFOGCS requests that you upload a PDF file. Choose FileClick on the top Choose File button to do upload the PDF file of the form. Choose FileClick on the bottom Choose File button to upload Word/Excel documents (or the “source of PDF”).

33. Routing the F&A Waiver: Uploading the Form File BrowserLocate where you saved the files of your form on your computer through the File Browser. Click on the form when you’ve located it. OpenClick Open.

34. Routing the F&A Waiver: 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 F&A Waiver as a PDF and src.

35. Continue to… Routing the SPAR Routing the PAF Routing the Tuition & Fee Waiver Form How to Upload Additional Documents Electronic Routing & Approval Instructions & InformationElectronic Routing & Approval Instructions & Information

36. Locating, Completing, & Uploading the Tuition & Fee Waiver Form Routing the Tuition Waiver

37. 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 http://www.research.nau.edu/funding/ogcs/forms.aspx Tuition and Fee Waiver Request FormClick on 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.

38. Routing the Tuition Waiver: Completing the Form Complete the electronic Tuition Waiver as you would the paper form. SAVE When you have completed the form, remember to SAVE it ! MS Word.docAdobe PDF You are able to save the PAF as a MS Word.doc and/or an Adobe PDF *. File  Print  Adobe PDF *If you are using Microsoft Office 2010, you may save the Tuition Waiver form as a PDF by going to File  Print  Adobe PDF (as the print option).

39. Routing the Tuition Waiver: Uploading the Form Documents Proposal SummaryTo upload the Tuition Waiver, 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.

40. Routing the Tuition Waiver: Uploading the Form A pop-up window should appear. PDFOGCS requests that you upload a PDF file. Choose FileClick on the top Choose File button to do upload the PDF file of the form. Choose FileClick on the bottom Choose File button to upload Word/Excel documents (or the “source of PDF”).

41. Routing the Tuition Waiver: Uploading the Form File BrowserLocate where you saved the files of your form on your computer through the File Browser. Click on the form when you’ve located it. OpenClick Open.

42. Routing the Tuition Waiver: 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 Tuition Waiver as a PDF and src.

43. 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 & InformationElectronic Routing & Approval Instructions & Information

44. 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, and Tuition Waiver forms in Cayuse on the Documents page. Please note that you must repeat the uploading steps for each additional document that you want to upload. Note:Budget Excel spreadsheet Note: When attaching a Budget, remember to upload an Excel spreadsheet copy of the Budget.

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

46. 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

47. 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. 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.

48. 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 Review 2.Conflict of Interest Form(s) 3.Budget 4.Budget justification 5.Project Summary Link to OGCS Forms: http://research.nau.edu/funding/ogcs/forms.aspx http://research.nau.edu/funding/ogcs/forms.aspx

49. 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 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 Approval Proposal 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.

50. Electronic Routing & Approval: Building the Routing Chain Routing ChainThe PI sets up a Routing 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:

51. Electronic Routing & Approval: Building the Routing Chain You build the chain automatically by clicking You add or remove people using the or icons. belowPlace the icon below the last name entered to build a sequential chain.

52. Electronic Routing & Approval: Building the Routing Chain SearchType the person’s last name in the search box then click on the Search icon Select the person to be added to the chain by highlighting their name 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 – Dean/Asso. Dean/Chair, Department i.e., Thomas Hoisch – Asso. 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

53. 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!

54. 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.

55. 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 notification 2.Log directly into Cayuse 424 See following slides for detailed instructions.

56. Electronic Routing & Approval: Email Access for Proposal Review blue hyperlink Proposal Summary 1.Click on the blue hyperlink within the Cayuse email notification. This will take you to the Proposal 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. Documents Proposal Management –View the attached documents by navigating to the Documents section on the lower left side of the screen under Proposal Management. You can view each document by clicking on the blue hyperlink next to each uploaded document.

57. Electronic Routing & Approval: Cayuse Access for Proposal Review 2.Log directly into Cayuse Routing a.Select the Routing 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 a b b

58. Electronic Routing & Approval: 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

59. Electronic Routing & Approval: 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.

60. 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. Comments –Once un-checked, a Comments 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.

61. 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 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.

62. Electronic Routing & Approval: 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…

63. Electronic Routing & Approval: 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

64. Electronic Routing & Approval: 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.

65. 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