UAccess Research Proposal Routing. Sponsored Projects Services - PreAward

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1 UAccess Research Proposal Routing Sponsored Projects Services - PreAward sponsor@ .arizona.edu

2 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

3 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

4 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)?

5 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

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7 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

8 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 rerouting SPS can help determine current personnel in this role

9 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

10 Re-route for approvals only if there are Major Changes

11 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

12 UAR Proposal Routing Dashboard

13 UAR Main Menu link to Proposal Routing Dashboard

14 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.

15 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

16 Best Practices Audience Discussion Discuss Splits before routing Award Credit vs. F&A Revenue

17 UAR Notifications Coming ASAP but not automatic now One SPS manual to new pending approvers sent daily Department/College Approvers: check & clear entire action list more than once daily

18 Future UAR Notification Sample Possibly as soon as February, 2016 Action List Preferences Notifications can be delivered with different frequency by Document Type

19 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

20 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

21 Timing to meet Deadlines 1 PI, 1 Dept, 1 College is very different than a large collaboration Plan accordingly: Vacations Resources to monitor/remind

22 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

23 Proposal Data Customize your own proposal data collection form or use ours

24 Research Gateway Resources for Proposal Preparation

25 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 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?

26 SPS Contacts Suggest specific resource/rgw improvements: Sponsored Projects Services PreAward