Temple University Purchasing Services 1/27/2020

Purchasing Pre-Approval Request & Workflow Guide For Reviewers

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

Summary of Workflow .................................................................................................................................. 3

Initial Submission by the Initiator ................................................................................................................. 4

Initial Review by Purchasing Services ........................................................................................................... 5

Check for Completeness ........................................................................................................................... 7

Sole Source Review ................................................................................................................................... 8

Check for Required Group Approval ....................................................................................................... 10

Pre-Approval Request Routing Decisions ................................................................................................... 13

Introductory Questions ........................................................................................................................... 13

General Questions .................................................................................................................................. 13

Sole Source .............................................................................................................................................. 13

Information Security ............................................................................................................................... 14

Technology Interface / Software ............................................................................................................ 14

ADA Compliance.................................................................................................................................. 14

Information Technology Services (ITS) ............................................................................................... 15

Strategic Marketing and Communications ............................................................................................. 15

Review by Other Approval Groups ............................................................................................................. 15

Approve Request ..................................................................................................................................... 17

Request More Information from Initiator............................................................................................... 17

Request Update to Form ......................................................................................................................... 18

Deny the Request .................................................................................................................................... 18

Final Review by Purchasing Services ........................................................................................................... 18

Introductory Questions ........................................................................................................................... 19

General Questions .................................................................................................................................. 19

Sole Source .............................................................................................................................................. 20

Information Security ............................................................................................................................... 20

Technology Interface / Software ............................................................................................................ 21

ADA Compliance.................................................................................................................................. 21

Information Technology Services (ITS) ............................................................................................... 21

Strategic Marketing and Communications ............................................................................................. 21

Review by Other Approval Groups ............................................................................................................. 22

Requisitions for Pre-Approved Requests .................................................................................................... 23

Tracking Submitted Requests ..................................................................................................................... 23

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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 “Figure 1 - Purchase Types and Reviewers” below for a list of those purchase types).

Initiators submit requests 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 and reviewers know where in the review process the request lies at any given point.

Summary of Workflow

Initiators submit a pre-approval request for purchases that involve the following areas, each of which requires approval from certain University departments. Each unit is a “group” in the request workflow, so that requests can be routed to the appropriate unit for approval. Each group may have multiple members, allowing units to divide reviews among their designated review staff. Figure 1 - Purchase Types and Reviewers

Purchases that involve… require approval from… whose workflow group is titled…

Sole source requests Purchasing Services Purchasing

Conflicts of interest Purchasing Services in collaboration with Ethics & Compliance

Purchasing

Minors on campus Risk Management Risk

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

IT Security IT Security

Information Technology Services ITS

Accessible Technology ADA

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

Strategic Marketing and Communications

Marketing

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The diagram below illustrates the basic review process:

Figure 2 - Review Process

Initiator submits request.

Purchasing Services conducts initial review and

routes to approval groups to approve/deny.

If sole source: Purchasing Services approves/denies.

If requires system integration or implementation: Routes to

Application Support Services.

If involves minors on campus: Routes to Risk Management.

If involves an application, cloud service, or consultant services

(excl. staffing): Routes to IT Security.

If involves technology/software: Routes to Academic Computer

Services.

If involves marketing: Routes to Strategic Marketing.

Returns to Purchasing Services for final decision.

If approved: Initiator attaches approval to

TUmarketplace requisition.

If approved: Initiator is notified and process ends.

If more info needed: Initiator updates form and

resubmits.

If conflict of interest: Purchasing Services consults w/ Ethics & Compliance to approve/deny.

As the request moves through the workflow, it is assigned to a given group. Each individual member of the group will receive a notification email informing them that a request has been assigned to their group, and the request will appear in the individual’s workflow queue. This process is discussed later in this guide.

Initial Submission by the Initiator

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

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Figure 3 - Accessing the Form on TUportal Staff Tools

See “Pre-Approval Request Routing Decisions” below for a discussion of the form’s sections. In addition to completing the form, the initiator may choose to enter a comment in the “comments” field at the bottom of the form.

Initial Review by Purchasing Services

When an initiator submits a pre-approval request, a workflow item is created. Purchasing Services is notified of the submission via email:

Figure 4- Notification of Submission Email to Purchasing Services

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The workflow item appears in the My Worklist of each member of the Purchasing group. My Worklist is accessible from the Banner tab of TUportal:

Figure 5 - Submission Appears in Purchasing Worklist

A member of the Purchasing group clicks on the workflow item and is taken to the completed form to begin the initial review. (If the request does not load, please clear your browser cache and ensure that an ad blocker is not active.)

Once an individual has clicked on the workflow, it is assigned to them specifically and cannot be opened by anyone else. If that person is not able to complete the review, they can release it back into their group’s queue so that a colleague can access and process it. An item is released by selecting “Release Workitem” at the bottom of the form:

Figure 6 - Release Workitem (Purchasing)

The reviewer may also need to close the request mid-review. If this is the case, they can either save the review (if they have made changes to the form) or cancel their review. The item will remain in their queue for later review.

Figure 7 - Pause Review (Purchasing)

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The initial review involves the following:

Check for Completeness

The Purchasing Services reviewer will read through all responses to make sure they are complete. They will also check that any necessary attachments have been uploaded. Attachments are required if the initiator responds yes to any of the following questions:

Figure 8 - Required Attachments

Question: Required Attachment(s):

Will the activity pursuant to this request involve the participation of minors?

Approvals as required by the university's Policy on the Safety of Minors in University Programs (see university policy 04.61.12)

Are you in receipt of a quote or proposal from the vendor?

Quote/proposal

Is this a sole source request? Signed sole source justification form (must have ERA number if being charged to a grant FOAPAL)

Are you purchasing an application, using a cloud service, or hiring consultant services (excluding staff augmentation)? And any data other than unrestricted data will be collected.

Completed vendor information security questionnaire

Attachments are viewed by clicking “View Attached Docs” to the left of the form, under “Request Tools”:

Figure 9 - View Attachments

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If the form is not complete, the reviewer should select “Return to Initiator” at the bottom of the form, enter a comment explaining what is needed from the initiator, and click “Submit”. The initiator will receive a notification email informing them that the request has been returned to them for updating.

Figure 10 - Return to Initiator by Purchasing Services After Initial Review

Alternatively, the Purchasing reviewer may make changes to the form after consulting directly with the initiator. (Only Purchasing reviewers and the initiator are able to edit the form after its initial submission. The other approval groups are not able to make such edits.)

Sole Source Review

The Purchasing reviewer determines whether the request involves a sole source:

Figure 11 - Sole Source Check

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If the request involves a sole source, the Purchasing reviewer works with the senior director of Purchasing Services to approve or deny the sole source request. This will involve reviewing the sole source justification form, attached to the request form (see Figure 9 - View Attachments). If the sole source is denied, the request does not need to be routed to other approval groups for further review. The Purchasing reviewer can proceed to denying the request, by selecting “Deny request” at the bottom of the form, entering the reason for the denial in the comments box, and clicking submit:

Figure 12 - Denial by Purchasing After Initial Review

If the sole source can be approved, the Purchasing reviewer should complete the following reviews (see following sections) to determine whether the request needs to route to other approval groups. If so, the Purchasing reviewer will select “Sole Source: Send to Approval Groups”, select the appropriate groups, enter a comment if necessary, and click submit (see Figure 13). This will route the request to the selected groups.

Figure 13 - Sole Source Approval and Routing to Approval Groups by Purchasing Services

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If instead no further review is required by other groups, the Purchasing reviewer selects “Sole Source: No need for group approval”, enters a comment if necessary, and clicks submit (see Figure 14). This will send a notification email to the initiator to inform them that their request has been approved.

Figure 14 - Sole Source Approval by Purchasing Services with No Need to Group Approval

Check for Required Group Approval

The Purchasing reviewer determines whether any other approval groups must review the request. This is done by checking the answers to certain questions on the form.

• Risk Management: This approval group must review the request if it involves the participation of minors, as indicated by the response of the following question:

Figure 15 - Risk Management Approval Required

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• IT Security: This approval group must review if the initiator indicates that the purchase involves an application, cloud service, or consultant services other than staff augmentation, and that the data involved is anything other than unrestricted:

Figure 16 - IT Security Review Required

• ADA Compliance: This approval group (Academic Computer Services) must review if the request involves software or a technology user interface:

Figure 17 - ADA Compliance Review Required

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• ITS: This group (Application Support Services) must review if the initiator indicates that assistance from ITS is required (i.e. if anything other than “No services from ITS required” is selected in the below question):

Figure 18 - ITS Review Required

• Strategic Marketing: This group must review if the answer to any of the below questions is “yes”:

Figure 19 - Strategic Marketing Approval Required

Once the Purchasing reviewer has determined which other approval groups must review the request (if any), they route the request to those groups (or simply approve the request if no other review is needed) – see Figure 13 and Figure 14 above.

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Pre-Approval Request Routing Decisions

The form has multiple parts. Some questions collect general information, while others are used by Purchasing Services to route the request to the appropriate reviewers. Note that requests may be routed to multiple review areas. This is discussed further in the sections below – routing decisions are bolded.

Introductory Questions

This section asks for the contact information and basic descriptive information about the purchase. No routing decisions are made based on these questions.

General Questions

Questions in this section ask whether:

• The product or service has already been received. o If so, the initiator must explain why this was done before pre-approval was received.

Purchasing Services will review this response. If the pre-approval request is approved, Purchasing Services will note this policy violation on the TUmarketplace requisition.

• There is a potential conflict of interest with the purchase. o If so, the initiator must provide details, and Purchasing Services will review and will

contact Ethics & Compliance to consult on the decision to approve or deny the request.

• 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), and Purchasing Services will route the request to Risk Management.

Sole Source

Initiators are asked whether:

• They have a quote or proposal to attach.

• The request is a sole source request. o If so, Purchasing Services will determine whether the sole source is permissible.

NOTE: Sole source requests are required for purchases expected to exceed the $10,000 bid threshold but 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 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.

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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 initiator indicates that the purchase includes any of the above, Purchasing Services will forward the

request to IT Security. Additionally, the initiator must indicate the types of data involved with the

product or service being purchased:

• 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 are told to refer to the University’s data classification policy and storage grid for the definition of data types, and to consult with the vendor if they are uncertain about the data involved.

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

• Social media

• Kiosk or other self-contained, closed technology products

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

ADA Compliance

Requests for purchases that use software or a technology user interface will route to Academic Computer Services, as they 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.

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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)

If the initiator indicates that such assistance will be required, Purchasing Services will forward the form to Application Support Services.

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

If the initiator selects any of the above, the request will route to Strategic Marketing and Communications.

Review by Other Approval Groups

When the Purchasing reviewer routes a request to another approval group, each member of that approval group will receive a notification email:

Figure 20 - Notification to Approval Group

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The workflow item also appears in the My Worklist of each member of that approval group. My Worklist is accessible from the Banner tab of TUportal:

Figure 21 - Request Appears in Approval Group's Worklist

A member of the approval group clicks on the workflow item and is taken to the completed form to begin their review. (If the request does not load, please clear your browser cache and ensure that an ad blocker is not active.)

Once an individual has clicked on the workflow, it is assigned to them specifically and cannot be opened by anyone else. If that person is not able to complete the review, they can release it back into their group’s queue so that a colleague can access and process it. An item is released by selecting “Release Workitem” at the bottom of the form:

Figure 22 - Release Workitem (Other Approval Groups)

The reviewer may also need to close the request mid-review. To do so, they click “Cancel” at the bottom of the form. The item will remain in their queue for later review.

Figure 23 - Pause Review (Other Approval Groups)

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There are four actions the reviewer can take as a result of their review:

Approve Request

If the reviewer decides to approve the request, they will select “Approve request”, leave a comment if relevant, and click submit at the bottom of the form:

Figure 24 - Request Approval (Other Approval Groups)

Request More Information from Initiator

If the reviewer requires more information from the initiator, they can select “Need more info from Initiator”, specify in the comments box what is required, and select “Submit”:

Figure 25 - Requesting More Information from Initiator

This will route the request back to the Purchasing group, which will pass it on to the initiator. The initiator will receive an email notifying them that they must update their form with the additional information. Once they have resubmitted the form, Purchasing Services will be notified, and will route the form back to the approval group to continue the review.

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Request Update to Form

If the reviewer has communicated with the initiator regarding the request and the parties have agreed that the form should be updated to reflect that communication before being fully approved, the reviewer should indicate this to Purchasing Services by selecting the “Need form updated”. They should outline the specific change in the comments, and then select “Submit”:

Figure 26 - Requesting Update to Form

Purchasing Services will update the form before granting final approval, so that the change is reflected on the final approved version of the form.

Deny the Request

If the reviewer denies that request, they should select “Deny request” and enter a brief explanation for the denial before selecting “Submit”:

Figure 27 - Denying Requests

Final Review by Purchasing Services

Once all assigned review groups have completed their reviews, the request will move to the Purchasing group’s My Worklist queue and the members of that group will receive an email notification. A member of the group will review the decisions of the other groups.

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If any of the groups have indicated that more information is required from the initiator, Purchasing will route the request to the initiator to supply the additional information by selecting “Return to Initiator”, entering a comment explaining the reason for the return, and clicking “Submit”:

Figure 28 - Return to Initiator by Purchasing Services After Group Review

When the initiator has added the additional information and resent the request for approval, Purchasing will route the request to the review group that requested the clarification. That review group can then act on that request as described in Pre-Approval Request Routing Decisions above.

The form has multiple parts. Some questions collect general information, while others are used by Purchasing Services to route the request to the appropriate reviewers. Note that requests may be routed to multiple review areas. This is discussed further in the sections below – routing decisions are bolded.

Introductory Questions

This section asks for the contact information and basic descriptive information about the purchase. No routing decisions are made based on these questions.

General Questions

Questions in this section ask whether:

• The product or service has already been received. o If so, the initiator must explain why this was done before pre-approval was received.

Purchasing Services will review this response. If the pre-approval request is approved, Purchasing Services will note this policy violation on the TUmarketplace requisition.

• There is a potential conflict of interest with the purchase. o If so, the initiator must provide details, and Purchasing Services will review and will

contact Ethics & Compliance to consult on the decision to approve or deny the request.

• 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), and Purchasing Services will route the request to Risk Management.

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Sole Source

Initiators are asked whether:

• They have a quote or proposal to attach.

• The request is a sole source request. o If so, Purchasing Services will determine whether the sole source is permissible.

NOTE: Sole source requests are required for purchases expected to exceed the $10,000 bid threshold but 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 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 initiator indicates that the purchase includes any of the above, Purchasing Services will forward the request to IT Security. Additionally, the initiator must indicate the types of data involved with the product or service being purchased:

• 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

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Initiators are told to refer to the University’s data classification policy and storage grid for the definition of data types, and to consult with the vendor if they are uncertain about the data involved.

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

• Social media

• Kiosk or other self-contained, closed technology products

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

ADA Compliance

Requests for purchases that use software or a technology user interface will route to Academic Computer Services, as they 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)

If the initiator indicate that such assistance will be required, Purchasing Services will forward the form to Application Support Services.

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

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If the initiator selects any of the above, the request will route to Strategic Marketing and Communications.

Review by Other Approval Groups

If any of the groups have asked that the form be updated, Purchasing will review those requests and make the changes if appropriate (e.g. if the request has been denied by another review group and will not receive final approval, Purchasing will not update the form).

Once all groups have indicated whether they approve or deny the request, Purchasing Services will review each decision and make a final decision as to whether the request will be approved or denied. In either case, Purchasing Services should leave a comment to the initiator explaining either that the request was approved, or the reason for the denial.

Figure 29 - Final Approval by Purchasing Services

Figure 30 - Final Denial by Purchasing Services

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Requisitions for Pre-Approved Requests

If a request receives final approval from Purchasing Services, the initiator will receive an email notifying them of the approval and explaining what their next steps should be according to the cost of the item:

• 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 via TUmarketplace with the attached pre-approval, which can be downloaded as a PDF. Purchasing Services will review the requisition and the attached pre-approval PDF, and will proceed with processing the requisition.

Tracking Submitted Requests

Reviewers can look up and track requests by navigating to the Purchasing Pre-Approval Form page. The form is accessed via TUportal, on the Staff Tools tab, in University Forms. Use the search bar to search for “purchasing” and/or “pre-approval” (see Figure 3 - Accessing the Form on TUportal Staff Tools above). From there, the reviewer can click on “Find User Request” to the left of the form, under Admin Tools:

Figure 31 - Find User Requests

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This will take the reviewer to the search page, where they can search by the request ID, the initiator’s TUid, or the initiator’s last name:

Figure 32 - Search for User's Request

Clicking on “View” next to the search result will load the request. To the left of the request is a list of the parties who have interacted with the request. Clicking on each group will show their action and any comments they left:

Figure 33 - Viewing Workflow Users' Actions and Comments