Submit for Approval Routing Quick Guide for Departments

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1 Submit for Approval Routing Quick Guide for Departments 1 P age

2 Table of Contents Submit for Approval... 3 Approval Routing... 3 Routing Map... 7 Primary vs. Alternate Approvers Approval Routing Approve Offline Approval Reject Send Back and Open for Editing Recall Bring Back and Open for Editing Show Previous Submission Next Steps P age

3 Submit for Approval Once a proposal record has been created and the PI(s) have certified, the minimum information required to Save, Submit for Approval and Central Office Review has been completed, the proposal is ready to be routed for review and approval by both departments and central offices. Approval Routing When the proposal is ready, click Submit for Approval to trigger the routing. The system will run an automatic validation check. 3 P age

4 Validations If a RED message appears this is a hard stop warning and corrective actions must be taken according to the message in order to submit the proposal for approval routing. If a BLUE message appears this is a soft stop warning and the proposal may still be submitted for approval routing. If NO actions are needed and all validations were passed a message will appear stating that the validations were passed successfully. 4 P age

5 Once you click OK a message will appear confirming that the proposal has been successfully submitted for routing. Click OK to complete the action and view the routing map. Notice how the Submit for Approval function has now become the Approval Routing function and that the record is now closed for editing. The record can easily be opened by Recalling or Rejecting the proposal. 5 P age

6 To view the routing map and access the Approve, Reject and Recall functions click Approval Routing. After clicking Approval Routing you are directed to the list of Approvers that are required to approve the proposal before it may be submitted to the agency. 6 P age

7 Routing Map The routing map approval stops start from bottom and end at the top. Therefore, in the example below, the first person in line to approve this proposal is Michele Strong. Once all approvals have been obtained at a stop an automatic notification will be sent to the approvers in the next stop indicating that the proposal is Waiting for Approval. For more information on notifications, see the Notifications Matrix. This process will continue until all approvals at all stops have been completed. epd uses several different Routing Map formats. Each person added to the map in each stop (both as Primary and Alternate Approvers) is pre-determined by each department when being set up to use the epd system. 7 P age

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9 There is also a legend that is useful in determining what the different icons mean. Additionally, the view of the routing map can be changed by selecting Hierarchy and Boxed. 9 P age

10 Primary vs. Alternate Approvers Primary Approvers Each stop will have at least 1 Primary Approver. Alternate Approvers Each Primary Approver should have at least 1 Alternate Approver. However, according to UC San Diego Policy PI s must act as their own approvers and may not list an alternate to approve on their behalf. 10 P age

11 Approval Routing Once a proposal has been Submitted for Approval the proposal will enter the Approval Routing stage. The proposal needs to be approved by the appropriate approvers located in each stop. The same person who creates a proposal may also be an approver at the first stop. That person must also Approve the proposal in addition to clicking Submit for Approval in order to move the proposal to the next stop for approval. The approval routing functionality will change depending on what actions were taken by the approver. For example: When the proposal is waiting for you to take an action like Approve, the approval routing screen looks like: NOTE: An alternate can serve as someone who DOES have signing authority of that of a Primary Approver OR serve as a facilitator, who does not have said signing authority, but instead obtains the appropriate approvals, uploads signed documents and clicks the button in the system 11 P age

12 After you have approved, the approval routing screen changes to: Approve Approving a proposal means that the proposal has been reviewed and can continue on for approval until it is ready to be submitted to the sponsor. Approving will trigger automatic notifications to the next stop approvers requesting their review and approval. To approve a proposal from the Approval Routing screen click Approve. Next, you will be directed to the Approval screen. From here you can add a comment that will be visible to all approvers named in the routing map. This can be a useful way to communicate to others located in the routing map. 12 P age

13 Notice that once Approved has been clicked the status of the approval is now visible in the routing map. Note: In addition to approval comments, attachments, such as those serving as hard copy signatures can also be added as they can be viewed even if there have been multiple routing submissions by using the Show Previous Submission feature. 13 P age

14 Offline Approval This procedure should only be used when one or more required approvers are permanently unable or unwilling to use the system to electronically review and approve proposals. Examples include: Unit Administrator and/or Academic Unit Heads are permanently unable to review and approve the proposal online, Participating Departments that have not yet been on boarded to epd. Once the proposal details have been completed and are ready to be routed for approval, print a copy of the UCSD Internal Routing Form. Do so by clicking Print and click Show. 14 P age

15 Next, select the tick box beside RoutingForm_UCSD.xsl and then click Print Selected. Click on Keep when the prompt appears. 15 P age

16 Click on the file to open the document. epd Lite User Guide for version Have the appropriate parties sign the routing form. Upload a signed copy of the form to the epd record under the Upload Attachments screen under the Institutional Attachments tab. Add the following comment in the description: Approved and Signed by. or Placeholder for offline approval of Note: Users can also add a blank form as a placeholder so that once the document is signed the attachment can be updated while in routing. This is recommended for instances when users know BEFORE a proposal is submitted that an offline signature will be needed but has not yet been obtained. Remember to uncheck the Complete tick box for placeholders in order to indicate that the file is a draft. Attachments can also be added directly to the routing map. 16 P age

17 Reject Send Back and Open for Editing The Reject function can be used to indicate that the proposal is not ready for approval and that changes need to be made. Using Reject will open the proposal for editing for those with Aggregator permission on that proposal. Click Reject to enter the rejection screen. Enter the appropriate comments. Then click Reject. 17 P age

18 This will reopen the record for editing and will also trigger an automatic notification to the Aggregator. The body of the will contain any comments written by the sender, some details about the proposal and a hyperlink to that proposal record. 18 P age

19 Recall Bring Back and Open for Editing This feature can be used when you want to reopen the proposal for editing and return the proposal to your routing stop. Clicking Recall will direct you to the recall screen. Enter the appropriate comments and click Recall. 19 P age

20 Click OK to the prompt. You will be returned to the proposal record. Notice that the record is now open for editing. 20 P age

21 Show Previous Submission Because a proposal may have several rounds of routing there is a feature under Approval Routing that is called Show Previous Submission. This feature allows one to view the previous routing map from the previous submission. The routing map will show a default view of the current/most recent routing map. 21 P age

22 To see the other submissions use the Previous and Next toggle buttons at the bottom of the screen. NOTE: Comments and attachments from previous maps are also visible Next Steps Once the proposal has been completed and all necessary corrections have been made, the proposal is ready to move through the full routing map for final Approval Routing. You can track the progress at any time by entering the proposal record and selecting Approval Routing. Here you will be able to see the names of anyone listed in the routing map, the status of approvals, and any comments and attachments that have been added. 22 P age