Roadmap to a 53 Account Flowchart

Yes

SubawardsInvolved and All Necessary Sub Docs Approved?

Yes

PI Request to Issue Sub Form?

No Further Action, Move to Next Review Area and when All Review Areas Complete to OSP Account Setup Team for Account Creation

SRA Receives Complete Correct Sub Docs and

SRA AsksPI/Dept RAFor Updated Sub forms OR Requests PI Request to Initiate Subaward Form

EEqquuiippmemennt t FFababririccatiatioonn in in SSppoonnssooreredd AAppprproovveded BudBudggeet?t?

Yes

RReeqquueesstt f frroom?m?

NNoo F Fuurtrthheer Ar Acctitioonn,, MoMoveve to to NNeexxt t RRevieevieww Ar Area aea andnd wwhheenn A Allll RReevviieeww AArreeasas Co Compmplleettee to to OOSSP P AAccccoouunnt t SSeetutupp T Teeaam fm foor r AAccccoouunnt Cret Creatiatioonn

Yes

SSRRAA RReecceeiivevess Co Compmplleetete CoCorrrreecct WIt WIPP A Accccoouunntt

SSRRAA A AssksksPIPI/De/Depptt R RAAfoforr W WIPIP A Accccoouunnt t RReeqquueesstt f foormrm

NoNo

YYeess

MuMulltitiplple e 53s53s o or IDC Sr IDC Spplliit t NNeeeeddeedd??

NNoo F Fuurtrthheer Ar Acctitioonn,, MoMoveve to to NeNexxt t RReevievieww A Arreea anda and wwhheenn A Allll RReevviieeww AArreeasas Co Compmplleettee to to OOSSP P AAccccoouunnt t SSeetutupp T Teeaam fm foor r AAccccoouunnt Cret Creatiatioonn

RReeqquueesstt f foorm?rm?

YYeess

litlit

IDC SpIDC Sp

le 53s / le 53s /

MultipMultip

SSRRAA RReecceeiivevedd Co Corrrerecct t BudBudggeetsts o or IDC Sr IDC Spplliit t

SSRRAA A AssksksPIPI/De/Depptt R RAAFFoor mur mulltitippllee bbuuddeetsts o orr f foor Sr Spplliitt ooff In Inddiirerecctt Co Cosstt RReeqquueesstt F Foormrm

Cost Share Required?

Yes

No Further Action, Move to Next Review Area and when All Review Areas Complete to OSP Account Setup Team for Account Creation

from or Separate Agreement?

Yes

SRA Receives Complete Correct CSA Request

SRA AsksPI/Dept RAFor CSA formOR NegotiatesSeparate Agreement for External CS

Requirements

SGR

AApprorovalval??

DoDoeessProProppoossal al InInddiiccateate N Neeeedd fo for r IRIRBB/IA/IACUC/IBCUC/IBC/GC/GxxPP

Yes

NNoo F Fuurtrthheer Ar Acctitioonn,, MoMoveve to to NNeexxt t RReevievieww A Arreea anda and wwhheenn A Allll RReevviieeww AArreeasas Co Compmplleettee to to OOSSP P AAccccoouunnt t SSeetutupp T Teeaam fm foor r AAccccoouunnt Cret Creatiatioonn

AApppproroval froval from Pm PI?I?

Yes

SSRRAA RReecceeiivevess Co Compmplleetete ProProttooccooll N Nuumbmbeer anr andd

SSRRAA A AssksksPIPI to to p prorovidvidee ProProttooccooll NNuumbmbeerr((ss)) an andd AApppproroval Lval Leetttteer(sr(s)) foforr T THHISIS P Prorojejecctt

) Review) Review

est (COIest (COI

t of Intert of Inter

ConflicConflic

mation (Cmat

ied Inforied Infor

classifclassif

lled Unlled Un

ControContro

Info Info

l/Classifiedl/Classified

ontroontro

Export CExport CUI)ion (CUI)

FabricationFabrication

EquipmenEquipmen

TermsTerms

ardsards

SubawSubaw

ReviewReview

BudgeBudge

iewiew

are Revare Rev

Cost ShCost Sh

Yes

Awarded Budget Acceptable/MatchesProposal?

Yes

IDC Split Form Received?

No Further Action, Move to Next Review Area and when All Review Areas Complete to OSP Account Setup Team for Account Creation

Awarded Budget Acceptable/Matches Proposal, and All Internal Budgets or

SRA Requests Revised Budget from PI/Dept RA or Negotiates as Necessary. This includes multiple budgets if PIs/Depts Want Multiple 53 accounts or IDC Split

NoNo

YesYes

No Further Action, Move to Next Review Area and when All Review Areas Complete to OSP Account Setup Team for Account CreationNo Further Action, Move to Next Review Area and when All Review Areas Complete to OSP Account Setup Team for Account Creation

DoDoeess ththee A Aggrreeeememenntt anandd CS CSU SU Sccooppee InInvovollveve CUI? CUI?

YYeess

Requirements Completed?Cybers Security Requirements Completed?

SGR Confirms that Cybers Security Confirms that

SSRA Asks PI to work with Secure and Global Research SGR) to Meet all Required Research Security RequirementsRA Asks PI to work with Secure and Global Research SGR) to Meet all Required Research Security

NoNo

oor Clr Clasasssiifiefiedd InInfofo.?.?

YYeses

NNoo F Fuurtrthheer Ar Acctitioonn,, MoMoveve to to NNeexxt t RReevievieww A Arreea anda and wwhheenn A Allll RReevviieeww AArreeasas Co Compmplleettee to to OOSSP P AAccccoouunnt St Seetutupp TTeameam for for A Accccooununtt CreCreatatiioonn

YYeess

RReeqquuiireremmeenntsts CoCommpplleetteedd??

DoDoeess ththee A Aggrreeeememenntt anandd CS CSU SU Sccooppee In Invovollvvee EExxppoortrt Co Conntrtroolllleedd In Infofo. .

SSGGRR CoConnfirfirmsms t thhat Aat Allll RReesseearcarchh S Seeccuuririty ty

SRSRAA As Asksks P PI toI to wwoorkrk w wiithth S Seeccuurere anandd G Glloobbal al RReesseearcarchh S SGGRR)) to to MeMeeet alt alll R Reeqquuiireredd RReesseearcarchh S Seeccuuririty ty RReeqquuiireremmeenntsts

iewiew

UC/IBC RevUC/IBC Rev

IRB/IACIRB/IAC

YYeess

NoNo

ProProppoossal?al?

IsIs CO COI I CoCommpplleettee fo for Ker Key y PerPerssoonnnneell o onn T THHIISS

YYeess

ProProppoossal?al?

NoNo

IsIs C COOI I CoCommpplleettee fo for Ker Key y PerPerssoonnnneell o onn T THHIISS

SRSRAA R Reeququeesststs P PI I anandd o oththeer Ker Key y PesPesoonnnneell to to CoCommpplleettee th theeiir r COCOI DisI Discclloossuurree anandd/o/or, as r, as NNeecceessssararyy,, CoCommpplleettee CO COI I ManManagageememennt Pt Pllanan

YYeess

foforr CS CSU?U?

NoNo

AAwwardard TTeermsrms A Acccceepptabtabllee

YYeess

NNoo F Fuurtrthheer Ar Acctitioonn,, MoMovve te too NNeexxt t RReevievieww A Arreea anda and wwhheenn A Allll RReevviieeww AArreeasas Co Compmplleettee to to OOSSP P AAccccoouunnt t SSeetutupp T Teeaam fm foor r AAccccoouunnt Cret Creatiatioonn

NoNo

SSRRAANNeeggootitiateatess

AAwwaardrd T Terermmss AAcccceepptabtabllee foforr CS CSU?U?

Award ReviewForAccount Setup

reationreation

to 53 C to 53 CReviewReview

Creation

Further Action?

Yes

53 Created?

Yes

SRA Sends Subaward Docs to OSP Outgoing Subawards Team for Drafting Subaward, and Subawads Agreement Sent to Subrecipient

All of the Process Streams Below Are Complete w/ No

SRA Sends all Documentation to OSP Account Setup Team for 53 Creation and CSA Creation and WIP

eceivedeceived

Award RAward R

RoRoadadmap tmap to a 5o a 533 AccAccountount

Moves on to Other Terms Review

CSU Cannot Accept Agreement

Yes

roversrovers

SU AppSU App

Other COther C

Indemnification Approved?

SRA Must Route Indemnification Approval (can take 6 weeks or more for approval up to and including CSU President)

Problematic Terms Resolved

Yes

Asked to Confirm No Harm to Grad Students

Asked to Confirm Financial Risk

If unsuccessful, PI Dept. Chair &RAD

is Service w/ NO Potential IP, Can Accept w/ PI, Dept. Chair Confirmation.

YesIf Work is Research, SRA Attempts to Negotiate Out. If Work

YesSRA Attempts to Negotiate Out the Publication Restriction.

r, RADr, RAD

t Chait Chai

artmenartmen

PI, DepPI, Dep

Agree?

Willing to Accept Potential Financial Risk

Chair & RAD

YesDept Chair & RAD Asked to Confirm

Publication Restricted?

CSU Required to Indemnify?

Sponsor Owns Results of CSU Work?

Financial Risk Due to Payment Terms?YesSRA Attempts to Negotiate, but If unsuccessful, PI, Dept. Chair & RAD Willing to Bear that

SRA Discusses Probelmatic Terms & Conditions with PI/Dept Chair

Problematic Terms

No / Only Partly

Potential, Students Involved, Risks).

Yes

SRA Reaches Out to PI for Information on Project (e.g Scope of Work, IP

Sponsor Agrees to Requested Changes?

OSPOSP

SponsorSponsor

Acceptable?

Does Info from PI Make Terms & Conditions

OOSSP P SSRRAA R Reeacachheess OOuut tot to S Sppoonnssoorr to to RReeqquueesstt A Addjujusstmetmennt t toto th thee T Teermsrms & & CoConnddiititioonnss

Yes

Review for Acceptable Terms

Approvals Needed 53 Account Can Be Created When All Other Review Steps Complete

Agreement Terms & Conditions Appropriate for Research by CSU?*

No Further Negotiation/

Are the

AgreAgreeement ment PProrobblemlemataticic TeTermrmss

RoRoadadmap tmap to a 5o a 533 AccAccountount

MP Complete and Sigend?

Conflict Needs Management?

Nec

fficeffice

COI OCOI O

COI Office Reviews and Determines if Conflict Needs Management

Circulates MP for

COI Office Reviews and essary Signatures

Yes

MP Complete?

Conflicts Disclosed?

Yes

Training

All Key Personnel COI Complete?

OSPOSP

PI/DRAPI/DRA

CoCommpplleettee CO COI I

MMPP WWoorrkk w wiitthh CO COII OOffffiiccee

IndIndiivviidudualal((s)s) N Neeeedidingng C COOI I ttoo CCoommplpleettee..FFiindnd In Inffoo. o. on n aandnd M MPP TTeemmplplatatees s heherree

IndIndiivviidudualal((s)s) NNeeeedidingng t too DDiiscsclloosusurree c canan AAcccceessss t thehe CCOOII DDiiscsclloosusurree h heerree

DDiiscsclloosusurree..

Yes

KeKeyy P Peerrsosonnnneell CCoommplpleettee CCOOII TTrraiaininingng O Onlnliinene

PPI &I & A AllllKeKeyy P Peerrsosonnnneell MMusustt CCoommplpleettee CCOOI I

PI & All Key Personnel Who Indicated they Have a Conflict must have COI Management Plan (MP) for Conflict

Yes

Period?

COI Disclosures?

Yes

Review for COI Compliance

Key Personnel Indicated they Have a Conflict with THIS Proposal COI in KR PD Person Cert?

PI & AllKey Personnel Have Up-to-Date, Approved

COI Complete and Will Not Hold Up 53 Account Creation When All Other Review Items Complete

Sponsor Requires COI Training, & Key Personnel Completed w/in Required

CCononffliclictt ofof InInttererestest

RoRoadadmap tmap to a 5o a 533 AccAccountount

UC/ICBUC/ICB

IRB/IACIRB/IAC

MMoorree I Innffoo o onn Pr Proottooccoollss i iss

Appropriate Committee Reviews Protocol to THIS Project and Issues Approval Letter to PI

PPI SI Sububmmiitts s PPrroottooccooll((s)s) ffoorr RReevviieew anw and d AApppprroovvalal b byy CCSSUU’’s s OOvveerrsisigghtht Com CommmiitttteeeeAAvvaiaillababllee a att t thehe F Foolllloowwiingng:: IRIRBB,, IAIACCUCUCIBIBCC..

Project?

Approval to OSP

for THIS

Yes

PI Provides Protocol Number and

DoesPI have Protocol

for THIS Project

PI Asked by SRA to provide Protocol Number(s) and Approval Letter(s)

OSPOSP

PIPI

Approval InfKR PD?

Did PI Provide IRB/IACUC/IBC o in

Yes

Aproval?

When All Other Review Items Complete

Review for IRB/IACUC/IBC

DoesProposal Indicate Need for IRB/IACUC/IBC/GxP

Research Compliance Review Complete and Will Not Hold Up 53 Account Creation

CComompplianliancce e RRevieevieww ((IRIRBB//IIAACCUCUC//IBIBCC))

RoRoadadmap tmap to a 5o a 533 AccAccountount

Classified Work?

SGR provides Confirmation to SRA that TCP Complete or that Classified Work can Proceed.

Does the Project Involve Export Control or

e e

l Offic(SGR)l Offic(SGR)

ontroontro

Export CExport C

CSU Facilites?

Yes

TCP Complete / Classified Work Acceptable for

PPI WI Woorrkks s wiwitth h EExpoxporrtt CCoontntrrooll O Offffiicceerr ( (SSGGRR)) TToo D Deevveelloop p ffoorr TTeecchnhnoollooggyy Con Conttrrooll PPllanan ( (TTCCPP))

d by SRA to

OSPOSP

PIPI

PI AskeWork with Export Control Officer (SGR) to Conduct Export Control / Classified Review

Export Control / Classified Review Needed

Yes

Complete

Info?

Review for Export Control

Does Proposal Indicate Project will Involve Export Control or Classified

Export Control Review Complete and Will Not Hold Up 53 Account Creation When All Other Review Items

ExpExpoortrt CCoonnttrorol l // CClassiflassifieiedd

RoRoadadmap tmap to a 5o a 533 AccAccountount

Yes

SSP Complete?

CUI Training Complete?

SGR provides Confirmation to SRA that CUI Training and/or SSP Complete

e e

l Offic(SGR)l Offic(SGR)

ontroontro

Export CExport C

OSPOSP

PIPI

PI & Research Team take CUI Training

PI Asked by SRA to Work with Secure & Global Research (SGR) and Cybersecurity & Privacy Unit to complete System Security Plan (SSP)

Yes

Generating CUI

Does Agreement indicate CSU Receiving or

Yes

Complete

Include CUI Terms?

Review for Controlled Information (CUI)

Does Proposal and/or Agreement

CUI Review Complete and Will Not Hold Up 53 Account Creation When All Other Review Items

CCononttrorollelledd UUnncclasslassififiedied InInfforormatmationion

RoRoadadmap tmap to a 5o a 533 AccAccountount

Provided to SRA?

PI Asked to Work with DRA to Provide Appropriate Budget

Proposal?

Match the Budget in

Yes

Budget Review

OSPOSP

PI/DRAPI/DRA

Internal Budget Matching Awarded Budget

Yes

Account Creation

Awarded Budget Acceptable /

Budget Review Complete and Will Not Hold Up 53 When All Other Review Items Complete

BBuuddggeett RReevvieieww

RoRoadadmap tmap to a 5o a 533 AccAccountount

Is Separate Agreement in Place for Cost Share?

N o

Yes

Complete, Correct Cost Share Account Request Form Received?

Yes

PPI AskI Askeed d ttoo W Woorrkk wiwitth h DDRRAA t too P Prroovviidede CCoostst Shar Sharee Ac Acccooununtt RReeququeestst FFoorrmm

Yes

OSPOSP

PI/DRAPI/DRA

Yes

CSU?

Is Source of Cost Share Internal to

SRA Negotiates Separate Agreement with External Entity (will be separate 53 account)

Proposal?

Account Creation

Share (Match), OR Was

Cost Share Review

Does the Award Require Cost Cost Share Pledged in

Cost Share Review Complete and Will Not Hold Up 53 When All Other Review Items Complete

CCostost ShShareare

RoRoadadmap tmap to a 5o a 533 AccAccountount

Provided to OSP?

Yes

53s?

Multiple Investigators

Indirect Cost (IDC) Split

OSPOSP

PI/DRAPI/DRA

BudgetsReceived or IDC Split Request Form Complete and

PI Asked to Work with DRA to Provide either separate PI Asked to Work with DRA to Provide either separate BBududggeetts s ffoorr M Mululttiiplplee 53 o53 orr SSplpliitt o off IndIndiirreecctt Cos Costts s RReeququeestst Fo Forrmm

Yes

53 Account Creation

Multiple 53 Accounts or Review

Does the Proposal Indicate Wish to have Multiple

Multiple 53s and IDC Split Review Complete and Will Not Hold Up When All Other Review Items Complete

MMuultltipiple le 5353 AccAccoouunntts s oor r IDIDCC SpSplitlit

RoRoadadmap tmap to a 5o a 533 AccAccountount

Yes

Include Equipment

Review

OSPOSP

PI/DRAPI/DRA

Form Complete and Provided to OSP?

with DRA to Provide with DRA to Provide

WIP

PI Asked to Work Appropriate Work-PI Asked to Work Appropriate Work-InIn--PPrrooggrreessss A Accccooununtt RReeququeestst Fo Forrmm ( (WWIPIP))

Yes

Account Creation

Equipment Fabrication

Does the Awarded Budget Fabrication?

WIP Review Complete and Will Not Hold Up 53 When All Other Review Items Complete

EqEquuipipmenmentt FabricFabricatatioionn

RoRoadadmap tmap to a 5o a 533 AccAccountount

Complete?

PI Request to Initiate a Subawrd Form

PI PI AsAskedked t too WWoorkrk wwithith D DRA tRA too P Prorovvididee ApAppproroppriatriatee PI PI ReReqquueesst t toto I Innitiaitiate ate a SuSubbawardaward Fo Formrm(s(s))

Yes

OSPOSP

PI/DRAPI/DRA

Yes

Taem

a Subaward form and

SRA Completes Authorization to Issue Provides to OSP Outgoing Subawards

Project Include any

Subawards Review

Does the Subawards?

Cost Share Review Complete and Will Not Hold Up 53 Account Creation When All Other Review Items Complete

SuSubbawawardardss

RoRoadadmap tmap to a 5o a 533 AccAccountount

Roadmap to a 53 Account Flowchart_4-13-23 (3).pdf

More creations to inspire you

LAS ESPECIES ANIMALES MÁS AMENAZADAS

POLITICAL POLARIZATION

WATER PRESERVATION

PROMOTING ACADEMIC INTEGRITY

ARTICLES

AGRICULTURE DATA

THE OCEAN'S DEPTHS

Transcript