Temple University Purchasing Services 1/27/2020

Purchasing Pre-Approval Request & Workflow Guide For Initiators

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Contents Purpose & Overview ..................................................................................................................................... 3

When to Submit a Pre-Approval Request ..................................................................................................... 3

How to Fill Out a Pre-Approval Request Form .............................................................................................. 4

Introductory Questions ............................................................................................................................. 4

General Questions .................................................................................................................................... 5

Sole Source ................................................................................................................................................ 5

Information Security ................................................................................................................................. 5

Technology Interface / Software .............................................................................................................. 6

ADA Compliance.................................................................................................................................... 6

Information Technology Services (ITS) ................................................................................................. 6

Strategic Marketing and Communications ............................................................................................... 7

Comments ................................................................................................................................................. 7

Summary of Required Attachments ......................................................................................................... 7

How to Submit a Pre-Approval Request ....................................................................................................... 9

How to Track Submitted Requests .............................................................................................................. 10

Reviewer Decisions ..................................................................................................................................... 11

How to Update Requests that are Returned to Initiator ........................................................................ 11

How to View Denied Requests ................................................................................................................ 13

How to Submit Requisitions for Approved Requests .............................................................................. 14

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Purpose & Overview

The purchasing pre-approval request process allows initiators (members of the University community wishing to make a purchase) to request the necessary pre-approvals for certain types of purchases. (See “When to Submit a Pre-Approval Request” below for a list of those purchase types).

Requests are submitted via the purchasing pre-approval form accessible on TUportal. The form gathers information necessary for reviewers to determine how to handle the request. The form submission creates a workflow that is accessible to initiators. Thus, initiators know where in the review process the request lies at any given point.

When to Submit a Pre-Approval Request

Initiators should submit a pre-approval request for purchases that involve the following areas, each of which requires approval from certain University departments: Table 1 - Purchase Types and Reviewers

Purchases that involve… require approval from…

Sole source requests Purchasing Services

Conflicts of interest Purchasing Services in collaboration with Ethics & Compliance

Minors on campus Risk Management

Technology and/or software, including applications, cloud services, and IT consulting

IT Security

Information Technology Services

Accessible Technology

Marketing, including advertising, sponsorships, branding, graphic design, and PR services

Strategic Marketing and Communications

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How to Fill Out a Pre-Approval Request Form

Initiators submit pre-approval requests by completing the purchasing pre-approval form, which is an interactive web-based form. The form can be accessed via TUportal, on the Staff Tools tab, with University Forms. Use the search bar to search for “purchasing” and/or “pre-approval”:

Figure 1 - Accessing the Form on TUportal Staff Tools

The form has multiple parts, which are discussed in the following sections.

Introductory Questions

This section asks for the contact information and basic descriptive information about the purchase:

• Department contact person (who may or may not be the individual completing the form)

• Contact person’s phone number and email address

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• Name of product/service being requested (this is used as the name of the submitted request and should be concise but descriptive)

• Brief description of the product/service, including the reason it is required

• The primary user of the product/service

• The anticipated cost of the product

General Questions

Questions in this section ask whether:

• The product or service has already been received.

• There is a potential conflict of interest with the purchase (see University policies 04.16.01, 04.16.02, 04.16.03, and 02.52.12 for clarification).

• Any activities related to the purchase will involve the participation of minors. o If so, the initiator must attach approvals as required by the university's Policy on the

Safety of Minors in University Programs (University policy 04.61.12).

Sole Source

Initiators are asked whether:

• They have a quote or proposal to attach.

• The request is a sole source request.

NOTE: Sole source requests are required for purchases expected to exceed the $10,000 bid threshold that cannot be competitively bid. Valid reasons for which a sole source might be permitted include:

• There is only a single supplier for the needed good or service and no comparable item is available from other manufacturers, or the vendor has unique prior experience or capabilities.

• The compatibility of equipment or accessories is required.

• Continuity in research necessitates the use of a single supplier.

• The sole supplier’s item is needed for trial use or testing.

• The sole supplier's item is to be procured for resale.

• Public utility services are to be procured.

• Specific items, services, and vendors are called for on a grant or contract.

If the product is a sole source request, the user must attach a signed sole source justification form. The form, like the pre-approval form, is located on TUportal under Staff Tools, in University Forms. If the purchase will be charged to a grant FOAPAL, the grant “era” number must be included on the sole source justification form.

Information Security

This section asks whether the purchase includes any of the following:

• An application (i.e. a software package being installed on a server at Temple University)

• A cloud service (i.e. software as a service purchased from a vendor; nothing is being installed at Temple University)

• Consultant services, excluding staff augmentation (e.g. engaging someone to develop an application, build a website, or work on data)

If any of the above are part of the purchase, the initiator must indicate the type(s) of data involved with the product or service being purchased:

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• Unrestricted data (e.g. public web content or teaching material)

• Protected sensitive data (i.e. institutional data being accessed by employees conducting university business, such as payroll records and emergency contact information)

• Protected confidential data (i.e. data that is regulated by federal, state and local government laws and guidelines, such as student financial records, social security information, and disciplinary records)

• Student records (FERPA)

• Social security numbers

• Financial information or credit card information (PCI)

• Health records (PHI/HIPAA)

• Other

Initiators should refer to the University’s data classification policy and storage grid for the definition of data types. They should also consult with the vendor if they are uncertain about the data involved. If any type of data will be collected or stored other than unrestricted data, the initiator must attach the vendor information security questionnaire.

Technology Interface / Software

Initiators must indicate whether the purchase incorporates software or a technology user interface. Examples include:

• Web-based system or content

• Video or multimedia content

• Software or operating system

• Kiosk or other self-contained, closed technology products

• Social media

If so, the initiator must answer questions related to accessibility and Information Technology Services (ITS) assistance:

ADA Compliance

Purchases that use software or a technology user interface must either comply with the Americans with Disabilities Act (ADA) or receive a waiver to that requirement. This section contains questions regarding who will be using the product and whether it is ADA compliant.

If the product is ADA compliant, the initiator must attach the product’s accessibility documentation (e.g. Voluntary Product Accessibility Template or VPAT). Otherwise, the initiator must attach a completed ADA exception request.

Information Technology Services (ITS)

In this section, the user indicates whether the purchase will require system integration or implementation services from ITS. Examples include:

• Learning management system (LMS) integration (e.g. Canvas or Canvas LTIs)

• Identity management (SSO) services (e.g. LDAP, Shibboleth, Federation)

• Data integration (e.g. employee or student names, demographic data, data validation tables)

• Enterprise systems integration (e.g. Banner, Sympletic Elements, Canvas, Echo 360, Concur, SciQuest, Kronos, Oracle, Outlook, Google, LDAP, Duo)

• Publishing on the Temple Google Play or Apple Store (e.g. Sidearm, WRTI)

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Strategic Marketing and Communications

The final set of questions asks whether the purchase involves various types of marketing or communication, such as:

• Advertising

• Sponsorships

• Branding & imaging

• Design

• PR

• A new logo

• Websites

• Market research

• Marketing technology

• Email or social media tools or services

Comments

The initiator may choose to enter additional information in the “comments” field at the bottom of the form.

Summary of Required Attachments

As noted in the sections above, attachments may be required depending on the product/service being requested (see Figure 2 - Summary of Required Attachments). The form will prompt the initiator to upload a file if their responses indicate that an attachment is required.

Figure 2 - Summary of Required Attachments

Purchases that involve… require the following attachments:

A quote or proposal from the vendor

The quote or proposal

Sole source requests A signed sole source justification form (The form is located on TUportal under Staff Tools, University Forms)

Minors on campus Approvals as required by University policy 04.61.12 on the Safety of Minors in University Programs

Data collection or storage Vendor information security questionnaire

Technology or software The product’s accessibility documentation or ADA exception approval

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Attachments to requests can be viewed later. If accessing the request from “My Saved Requests” (see Figure 6 - My Saved Requests), click on “View Attached Docs” to the left of the form, under Request Tools:

Figure 3 - View Attachments to Saved Request Form

To view attachments to submitted requests (see Figure 7 - My Submitted Requests), click on “View Attached Docs” at the top of the form: Figure 4 - View Attachments to Submitted Request

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How to Submit a Pre-Approval Request

To submit a pre-approval request, the initiator must complete the form. The form cannot be submitted unless all required questions have been answered. Once the form is completed, the initiator can choose one of the following options at the end of the form:

Figure 5 - Save, Submit, or Cancel

• Save: This saves the form so the initiator can return to it later. It does not submit the form. The saved form can be accessed via the form page, under Request Tools at the left of the screen:

Figure 6 - My Saved Requests

• Submit: This submits the form and creates a Workflow item (see “How to Track Submitted Requests”). Submitted forms can be accessed via the form page, under Request Tools on the left side of the screen:

Figure 7 - My Submitted Requests

• Cancel: This cancels the request; it will not be saved or submitted. All content will be lost.

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How to Track Submitted Requests

Once a request is submitted by completing the pre-approval form, a workflow item is created and Purchasing Services is notified. Purchasing Services will then assign the request to the appropriate reviewers based on the initiator’s responses. (see Error! Reference source not found.). Reviewers may reach out to the initiator for more information.

While the review process is underway, the initiator can track the request by navigating to their submitted requests (see Figure 7 - My Submitted Requests). A sortable list of the initiator’s submitted requests will appear. If the desired request is not immediately visible, the initiator can either search for it in the search field, or scroll through the list pages:

Figure 8 - Navigating the My Submitted Requests List

Once the initiator has found the desired request, they can click on it to see where it is in the review process. In the example below, the initiator submitted the request, Purchasing Services sent it to a reviewer for approval, and it is with Marketing for review:

Figure 9 - Tracking Requests

Search here

Navigate through pages here

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Reviewer Decisions

There are three types of decisions that reviewers can make:

• Return to initiator for correction or additional information

• Deny

• Approve

The initiator’s next step will depend on the reviewers’ decisions. These are discussed in more detail in the following sections.

How to Update Requests that are Returned to Initiator

In some cases, a request might be returned to the initiator for correction. The initiator will receive an email notifying them of the returned request:

Figure 10 - Returned to Initiator Email

The return will also be noted on the My Submitted Requests list:

Figure 11 - Returned to Initiator on My Submitted Requests List

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The initiator accesses the request via TUportal, on the Banner tab, under My Worklist:

Figure 12 - Accessing Requests via My Worklist

The initiator accesses the request by clicking on it. (If the request does not load, please clear your browser cache and ensure that an ad blocker is not active.) Once the initiator has accessed the request, they can make the necessary change, and then resubmit the request. Alternatively, the initiator may choose to cancel the request. These options are visible at the bottom of the form:

Figure 13 - Resending and Canceling a Request

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How to View Denied Requests

If a request is denied, the initiator will receive a notification email:

Figure 14 - Denial Email

The denial will also be visible under My Submitted Requests:

Figure 15 - Denied Request on My Submitted Requests List

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How to Submit Requisitions for Approved Requests

When a request is approved, the initiator will receive an email:

Figure 16 - Approval Email

The approval will also appear in the My Submitted Requests list, and the request will be routed to the initiator:

Figure 17 - Approval on My Submitted Requests List

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At this point, the initiator will proceed according to the cost of the item, as noted in the approval email:

• For requests that are $5,000 or less, a requisition is not required and the initiator may place their order.

• For requests that exceed $5,000, a requisition must be submitted with the attached pre-approval. Failure to attach the pre-approval PDF may result in the return of the requisition and will delay the processing of the requisition. To download the approval as a PDF, the initiator must access the request via TUportal, on the Banner tab, under My Worklist:

Figure 18 - Approved Request on My Submitted Requests List

The initiator opens the request by clicking on it. (If the request does not load, please clear your browser cache and ensure that an ad blocker is not enabled for Temple sites.) After opening the request, the initiator should scroll to the bottom of the form and click “Create PDF”:

Figure 19 - Create PDF and Finish

The initiator should download the resulting PDF, and attach it to a requisition on TUmarketplace. The initiator should then click “Finish” so that the request is cleared from their queue. The request will still be accessible after it is marked as finished, and a PDF can be created from finished requests as well.