UAccess Research Proposal Routing

Sponsored Projects Services - PreAward

sponsor@email.arizona.edu

626-6000

Proposal Changes are Coming!

• Proposal Routing Process Goals

(reasons to change)

• Explanation of Process Changes

• Implementation/Enforcement Timeline

• UA Proposal Best Practices

• Tools to help your transition

• Best Practices – group discussion

UAR Proposal Routing Process Goals

• Transparent Submission Process UAccess Research Proposal Routing Dashboard:

• Campus users can view en route proposal status and see if Sponsored Projects has received access for sponsor submission in real-time

• Proposal Volume Visibility • Incentive to route early

• Better understanding of risks of waiting to route

• Ability to adjust work schedules in order to meet demands during peak proposal volume

• Assurance for campus stakeholders • All approvals are required prior to proposal

submission

UAR Proposal Routing Process Goals

• Prioritize proposal submission in the order they are fully approved and ready to submit • Investigators won’t be penalized by others cutting in

line

• Accurate and Timely Proposal Reporting Questions can be answered with good proposal data:

• How many proposals are submitted when?

• Who is submitting proposals (investigators and departments)?

• What is our funding rate (UA, unit, investigator)?

Proposal Routing Process

• Proposal Workflow Changes

• SPS full review and submission at one time

• Only “Major Changes” will require re-routing

• Approval Roles and UAR Provisioning

• Lead Unit Pre-Approvers vs. Department Approvers

• Proposal Routing Dashboard in UAR

• SPS submission “First In, First Out” when proposals are fully approved and ready to submit

• SPS submission queue visible to campus

• Exception Process

• Office for Research & Discovery approval to submit out of order

Proposal Routing Process

• Proposal Workflow Changes • Lead Unit Pre-Approver will approve first so these

proposal owners have an opportunity for quality control before other approvals

• Sponsored Projects Services will receive initial FYI to allow triage, time permitting, when submissions are done

• SPS full review and submission at one time

• Only “Major Changes” will require re-routing

• Approval Roles and UAR Provisioning • All department approvers were previously

provisioned as both Lead Unit Pre-Approvers and Department Approvers

• Departments will want to clean up who is provisioned for which role

Department Approval Roles and UAR Provisioning

Lead Unit Pre-Approver

Approve Proposals - Lead Unit Level: Allows access to approve proposals at the Lead Department Pre-Approval level. Department proposal owner reviews for quality assurance before other approvers.

Lead department administrative review allows the proposal owner an opportunity to: • monitor routing progress

• review proposal quality before others approve

• check for major errors

• double check key content and agreements to avoid re-routing

SPS can help determine current personnel in this role

Department Approval Roles and UAR Provisioning

Department Approvers

Approve Proposals - Department Level: Allows access to approve proposals at the Department Level

Department Head agrees:

• PI is capable of carrying out the proposed project

• Department responsibilities will be adjusted so investigators can commit required project effort

• Department will manage award funds in compliance with UA and sponsor policies

• Cost sharing and/or proposed Facilities & Administrative needs will be provided

• Space and facilities are or will be available

• Project is consistent with the mission of the department, the college, and the University

Re-route for approvals

only if there are “Major Changes”

Proposal Routing Process

• Proposal Routing Dashboard in UAR • SPS submission priority is “First In, First Out” as

proposals are fully approved and ready to submit

• SPS submission queue is the dashboard default view

• UAccess Research links to lookup from main menu

• Change the search criteria for en route proposals by • Investigator

• Lead Unit

• Lead College

• Route Stop Department/College

• Etc…

• Exception Process • Late Proposal Approval Request form – Deans can

request ORD (Office for Research & Discovery) approval to cut in line or route after the internal 3-day deadline

UAR Proposal Routing Dashboard

UAR Main Menu link to Proposal Routing Dashboard

Late Proposal Approval Request Form

Deans can request ORD (Office for Research & Discovery) approval to cut in line or route after the internal 3-day deadline

The goal of form content is to provide enough information for the Office for Research & Discovery approver to evaluate the request quickly without having to go to other systems & sources under normal circumstances.

Implementation Timeline

• Development is in progress

• December, 2015

• Proposal Workflow Changes

• Basic UAR Proposal Routing Dashboard

• January, 2016

• UAR Proposal Dashboard – ‘Ready to Submit’ column

• February, 2016

• Automated UAR Notifications for proposal approvers

• Official communication is forthcoming

• Enforcement grace period (~ 1 month) • Monday, February 8, 2016 enforcement

• Allows time to live with the new tools to gain familiarity and adjust internal practices

Best Practices – Audience Discussion

Discuss Splits

before routing

Award Credit vs.

F&A Revenue

UAR Notifications

Coming ASAP but not automatic now

One SPS manual email to new pending approvers sent daily

Department/College Approvers: check & clear entire action list more than once daily

Future UAR Notification

Sample

Action List Preferences

Notifications can be delivered with different frequency by

Document Type

Possibly as soon as

February, 2016

UAR Route Log

Allow at least 1 day per route level

or monitor routing and remind approvers

Faculty traveling?

Set up and test VPN and NetID+ before they go! Contact UITS for help

UAR Route Log

Ad Hoc Routing:

Approve

halts workflow until approved

FYI, Acknowledge

allows workflow to continue

Unit Codes:

Department codes are numbers

College codes are letters

Timing to meet Deadlines

1 PI, 1 Dept, 1 College is very different than a large collaboration…

Plan accordingly:

• Vacations

• Resources to monitor/remind

Route ASAP!

Collect enough for approval decisions

• SOW in general terms to classify project, identify compliance needs

Decide basic info and stick to it

Routing does not need to wait for final

polished science

Proposal Data

Customize your own proposal data collection form or

use ours…

Research Gateway Resources for

Proposal Preparation

Best Practices – Audience Discussion

• Discuss Splits early – before routing • Award Credit vs F&A Revenue

• UAR Notifications – coming ASAP but not automatic now • One SPS manual email to new pending approvers sent daily

• Department/College Approvers • Check and clear entire action list more than once daily

• Provision appropriate Lead Unit administrative (pre-) approvers

• UAR Route Log guide

• Routing Timelines – Allow a day /route level • Time required depends on number of approvers, availability and

resources to nudge approvers

• Route ASAP – Proposal Info Collection/Checklist

• RGW Resources

• What else works for you?

SPS Contacts

• Suggest specific resource/RGW improvements:

Sponsored Projects Services

PreAward

sponsor@email.arizona.edu