Category I Forms

This article explains how to review a Category I Prior Approval Form in UC OATS. As a reviewer, your role is to evaluate the form and ensure it contains sufficient information for the approver (e.g., Department Chair, Dean) to make an informed decision. If the form lacks necessary details, you can either contact the faculty member to request additional information or return the form for revisions. Once you mark the form as "Reviewed", it will proceed to the approver and continue through the approval workflow until it reaches the terminal approver.

To review a Category I form:

1. Go to the Dashboard and locate the Forms in my Queue section. Prior approval forms are listed with the oldest forms at the top.

   

2. Click on the Category I form you wish to review.
3. Ensure the Category I form includes all the required information needed for the approver (e.g., Department Chair, Dean) to make an informed decision.
4. Check the Notes field for additional information and attachments.
5. Scroll to the bottom of the form to view the available action options. 

   Review Options:

   • Mark As: Reviewed - Click Reviewed if the form is complete and ready to be forwarded to the approver (e.g., Department Chair, Dean).
   • Return To: Department/Faculty - Selecting this option will return the form to the specified location. Be sure to provide a detailed explanation in the space provided, outlining the reason for returning the form.

   
   Additional Options:

   • Has the faculty engaged in the activity before receiving permission - Faculty respond to this question when completing the Category I form. However, if you are aware that the faculty member engaged in the activity prior to receiving permission, you may select Yes. This field is for informational purposes only.
   • Add Alternate Approver - If a conflict of interest exists between the faculty member and the approver (e.g., they are married, related, etc.), you can assign an alternate approver. To do this, click the "Add Alternate Approver" button and select a person from the drop-down menu. If no alternate approver is listed in the system, contact your supervisor. Your supervisor can then reach out to your campus OATS administrator to request the addition of an alternate approver for your department.
6. Click the Submit Action button.