Category I Forms

This article describes how to locate and review a Category I prior approval form in UC OATS. As an approver, you will review the form and confirm there is enough information for you to make a decision. You can either approve/acknowledge the form or send the form back to a reviewer or faculty member to request additional information. If you are the terminal approver (final approver), you will have the option to enter an approval date or deny the request.

To review a Category I form:

1. Confirm you are in the correct fiscal year. Faculty can submit prior approval forms for different fiscal years, so you may need to toggle between fiscal years to view all forms in your queue.

   

2. Click on the 'Forms & Activities' button and the 'Forms Approval Pending' tab.
   The "Forms Approval Pending" tab is your queue. All prior approval forms awaiting your approval within the selected fiscal year will be displayed. 
3. Locate and click on the Category I form you want to review.
4. Verify the Category I form contains all the necessary information to make a decision.
5. Check the 'Notes' field for additional information and attachments.
6. Scroll to the bottom of the form to see available actions.
   Approver (Division, Department, APO, etc.) Options 
   
   Approver Options:
   • Mark As: Approved - Selecting 'Approved' will move the form forward to the next level of review and approval (if necessary).
   • Mark As Acknowledged - Selecting 'Acknowledged' will move the form forward to the next level of review and approval (if necessary).
   • Return To: Reviewer - Selecting this option will return the form one step back to the reviewer. In the space provided, enter a detailed reason why the form is being returned to the reviewer.
   • Return To: Faculty - Select this option if further information is needed by the faculty member in order for you to make a decision. When this option is selected, a 'Note' field will appear. Enter a detailed reason why the form is being returned to the faculty member and what you would like that faculty member to do. If the faculty member selected the wrong activity type(s), they will need to delete the activity from their workspace and resubmit the activity with the correct activity types selected. Once the faculty member makes the corrections and resubmits the form, it will process through the approval workflow again.
   • Has the faculty engaged in the activity before receiving permission - Faculty answer this question when filling out the category I form, however, if you know the faculty member has engaged in the activity before they received permission, you can select 'Yes'. This field is for information purposes.

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   Final Approver (Chancellor, Provost, etc.) Options

   
   Final/Terminal Approver Options:

   • Mark As: Approved - Select 'Approved' will finalize the form. Enter the Category I form expiration date in the space provided.
   • Mark As: Acknowledged - Select 'Acknowledged' to finalize the form. Enter the Category I form expiration date in the space provided.
   • Expiration Date - This is where you enter the activity expiration date. You give up to five years of approval on a form.
   • Returned To: Reviewer, Deans Office, Department, Faculty - Selecting this option will return the selected location. Enter a detailed reason why the form is being returned in the space provided.
   • Deny: Denied - Select this option if the category one form is not approved along with a reason for the denial in the space provided.
   • Has the faculty engaged in the activity before receiving permission - Faculty answer this question when filling out the category I form, however, if you know the faculty member has engaged in the activity before they received permission, you can select 'Yes'. This field is for information purposes.

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7. Click the 'Submit Action' button.