Current Scope for the GCI

University of Washington

Directories

Reference Tools

The Grant and Contract Initiative

Current Scope for the GCI

Authorization

All new systems developed by GCI for UW researchers and central offices will be accessed by authorized users only. The authorization process will ultimately be managed by ASTRA (Access to Systems, Tools, Resources and Applications) but in preparation for deployment, the GCI is working with campus and central units to directly collect authorization data for both approvers and users of the system. This data will be pushed into the ASTRA system. ASTRA is scheduled to go live in February, 2002.

Authorization information will be used to 1) access the Electronic GC1 or GCS Internal Office Systems, and 2) determine who can approve proposals during electronic routing and approval.

Authorization is the granting of official permission to work with specific applications, resources and services. Authorization will allow campus members to use the Electronic GC1 and allow GCS to use their Internal Office System. It will also be used to generate the electronic approval chart based on content within the GC1.

Authentication is confirmation that you are who you say you are. We will be using UW Net ID for authentication.

Roles define the operations that may be executed. Users take on assigned roles as part of an organization. The roles assigned are based on an analysis of how a unit operates and so that routing and approval is managed at a level that corresponds closely to how the work is organized within the unit.

Roles for Access and Authorization

Span of Control identifies the area in which a person has access. We will be using Organization Codes to identify specific units. A span of control, when paired with a role, forms a set of access rights and limitations which control what a user can see and do within the system. Multiple span of control associations are accommodated.

The combination of authentication, authorization, roles and span of control defines what operations an individual can perform with the applications they have access to.

A standard set of business rules will drive the Electronic Routing and Approval process, assuring routing to all major offices and units where approval is required. The Approval Chart will be created based on a combination of information contained in a GC1:

home departments of key personnel
unit of organizational code receiving funding
approval & concurrence questions

Each unit added to the approval chart will have one primary/lead role.

Department Level - Department or Center Reviewer Role
Dean's Level - Dean's Reviewer Role

If additional approvers/reviews are necessary, the system allows flexibility to dynamically assign additional approvers/reviewers based on staff availability and business need (per proposal).

Managing the Approval Process

A node is added to the approval graph for each school, department, division or compliance office, where approval is required. The individual(s) who fills this role receives the original approval request. They may add other reviewers/approvers to the graph as needed. For instance, if they have someone in their office who reviews the budget, or the administrative information, or the science, those individuals can be added or removed from the approval process as needed. So while the initial approval graph contains only roles, there is the flexibility to add individual approvers as needed. We require a backup person for each role to insure that there is no single point of failure in the approval process.

The backup person can use the UW's email management tools to automatically filter the approval request emails to a folder of their choice so that they never have to see them. However, if the primary approver is not in the office, they can use these emails to access the proposal requiring approval.

Example Approval Chart

Reviewers versus Watchers - The proposal approval routing process includes reviewers and watchers.

Reviewers (depicted as blue boxes on the diagram above) in the approval workflow are notified of the approval request, can read and review the proposal and can approve or deny the approval request. The system accommodates multiple concurrent reviewers/watchers. Approval is required for the approval request to move forward in the approval workflow.

Watchers (depicted as white boxes on the diagram above) are merely notified of the request for approval and have access to the proposal for reading and review. A watcher can neither approve nor deny an approval request.

Creative Strategies for Business Process Streamlining

The GCI developed an Electronic Routing and Approval tool at the request of faculty, administrators, and central office units to streamline proposal development, routing and approval. This tool provides an opportunity for units to examinethe potential for process improvement - how needs can be met in new ways which streamline the business process. Check the link to the left for ideas your unit could use for streamlining the research business process, or managing the electronic routing and approval email notification process.

Background Authorization Electronic GC1 SAGE Database NIH Module Frequently Asked Questions

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