Spreadsheet: f2661372-1fd8-40f6-a20b-e092e4412f4b
Sheet: Guidance for Risk Assessment

Subrecipient Risk Analysis Category Guidelines/Examples
Category | Score = 0 (lower risk) | Score = 1 (medium) | Score = 2 (higher risk)
Foreign vs Domestic | Domestic (US only) | Canada, US territories | All other foreign entities
Maturity of Organization | Mature | Mature but not research-oriented | Start-up, no fiscal controls in place yet
Subrecipient Organization Type | University or Non-profit (Collegial T&Cs) | University or Non-profit with more restrictive T&Cs (e.g. state regulations) | Industry organization
[NAME] | Grant from federal or non-commercial source | Coop agreement, U grant, Grant with Special Conditions | Contracts (includes subcontracts, CTAAs)
Amount/Percentage | Lower funding levels or percentage (e.g. <$100K | Funding is a large part of smaller award, needs more stringent monitoring | Funding level >$500K or >49% of award
Accounting/Procurement Systems | Systems have been approved (existing A-133 is an indicator) | Systems less qualified to handle large amounts of federal money (Financial audit conducted but no A-133) | No systems are in place, or systems are new
Negotiated Indirect Cost Rate Agreement | Has detailed negotiated rate agreement | Has simple rate agreement | Does not have negotiated rate agreement
Audit Report | Has annual A-133 audit | Has annual third-party financial audit | Has not had an annual financial audit
Prior experience | Previous positive experience as University subrecipient | Previous experience as University  subrecipient but may have some minor concerns | New subrecipient or previous negative experience as University subrecipient
ITAR/EAR | No export controlled activity involved | Collaborative agreements with potential for ITAR control needed | Organization or project involves ITAR (e.g. satellites, biological warfare)
Compliance (Animal/Human Subjects, DNA, stem cells) | No compliance issues involved, or exempt per IRB | A/S or H/S involved, but non-medical or non-invasive | A/S, H/S, or other compliance issues involved, higher risk activities
Location of Work | At subrecipient's facility | Some work done at University facilities | On University campus
Prime [NAME] | Non-federal organizations or routine federal award programs (NSF, NIH) | More stringent federal programs (NASA, DOE, etc.) | Government-Owned/Contractor Operated (e.g. national labs)
Relationship of Subrecipient PI | No relationship except collaborative/research-based | ASU PI's former post-doc | Conflict of Interest involved (e.g. family relations, PI is on Board or hold stock in organization)
Scope of Work & Deliverables | Report only | Scope of work not clearly defined, collaborative work scope | Tangible products, deliverables necessary in order to achieve project success
Advantaged Status | No claimed status (small business, HUB zone, women/minority-owned, etc.) | One claim | Two or more claims
Special Considerations | Additional information which raises risk level, e.g. high funding level, risk category requiring a higher level of scrutiny
NOTE: If Cost Share for sub, then higher risk rate.
NB: Risk Categories are analyzed on a sliding scale, so risk levels are based on the Grant and Contract Officer's evaluation. If the Grant and Contract Officer has concerns with the subrecipient, the Risk Analysis score can be bumped up to the next level.