Category I Forms

This article describes how to locate and review a Category I prior approval form in UC OATS. As a reviewer, you will review the prior approval form and confirm there is enough information available for the approver (department chair, dean, etc) to make a decision. If there is not enough information you may reach out to the faculty member to request additional details or return the form to the faculty member. Once a form has been marked as 'Reviewed' it will move on to the approver and continue through the approval workflow until it reaches the terminal approver.

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. Select the "Forms" button and the "Forms Need My Review" tab. The "Forms Need My Review" tab is your queue. All prior approval forms awaiting your review within the selected fiscal year will be displayed. To view and process forms for all fiscal years, use the Dashboard.
3. Locate and click on the Category I form you want to review.
4. Verify the Category I form contains all the necessary information in order for the approver (Department Chair, Dean, etc.) 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. 

   
   Review Options:

   • Mark As: Reviewed - Select "Reviewed" if the form is ready to be sent to the approver (Department Chair, Dean, etc.)
   • Return To: Faculty - Select this option if further information is needed by the faculty member in order for the approver 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.

   
   Additional Options:

   • 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.
   • Add Alternate Approver - If there is a conflict of interest between the faculty member and the approver (e.g. they are married, family, etc.), you may select an alternate approver. To add an alternate approver, click the "Add Alternate Approver" button and select a person from the drop-down menu. If there is no alternate approver available in the system, contact your supervisor. Your supervisor may contact your campus OATS administrator to request the addition of an alternate approver to your department. 
7. Click the "Submit Action" button.