Procedure Library

Foreign Subawards - Data Access

Purpose

In response to Federal policy clarification (NOT-OD-023-182) that requires foreign subrecipients provide copies of all lab notebooks, all data, and all documentation that supports the research outcomes as described in the progress report, to the University no less than once every six months, the University is adopting this policy for all foreign subawards effective January 1, 2024.

All outgoing foreign subawards  will now implement 2 CFR 200.332(a)(5) and 45 CFR 75.352(a)(5) as a standard term and condition. 

These regulations state that foreign subaward agreements must have a “requirement that the subrecipient permit the pass-through entity and auditors to have access to the subrecipient's records and financial statements as necessary for the pass-through entity to meet the requirements of this part.”

Applicability

The University must comply with longstanding policy requirements as outlined in NIH Grants Policy Statement Chapter 15,

Regulations require primary recipients to have effective internal controls in place to ensure that the awards are being carried out in compliance with terms and conditions (45 CFR 75.303) and they must monitor the activities of subrecipients as necessary to ensure that the subaward is used for authorized purposes which include the need to review and monitor financial and performance reports. Primary recipients acting as pass-through entities “must have the right of access to any documents, papers, or other records of the non-Federal entity which are pertinent to the Federal award...” (45 CFR 75.364).

Instructions

1. Principal Investigators are required to obtain a letter of intent (LOI) and W-8 from foreign subrecipients. These documents need to be attached in eProposal. 
2. OSP will include a term in all outgoing foreign subaward agreements that explicitly requires foreign subrecipients to make available all records related to the funded research described in progress reports to the primary grant recipient at an agreed upon frequency. 
3. PIs are required to coordinate with their foreign subrecipients for when and how this information is delivered.
4. The PI is reponsible for ensuring that these supporting materials are provided by the subrecipient at an agreed upon frequency (no less than once a year) and in line with the reporting timelines outlined in the agreement. 
   1. In many cases, this requirement can be met by using commonly available digital file-sharing platforms (e.g., Teams, Box, Dropbox, Google-docs, SharePoint, and Redcap).
5. This information should be retained by the PI for at least three years following the end of the award. 
   1. The sponsor may reserve the right to request copies of the written agreement and relevant supporting documentation as needed, as part of its oversight responsibilities.

Related Policies and Procedures

• News and Announcements > New Data Requirements for ALL Foreign Subrecipients
• Research Handbook > Award Management > Role of PI in Subrecipient Monitoring
• Procedure Library > Monitor an Active Subaward
• Grant Life Cycle > Develop Your Proposal > Obtain Subrecipient Documentation
• Grant Life Cycle > Manage Your Award > Subrecipient Closeout