SUBRECIPIENT AUDIT CERTIFICATION – SUBJECT TO A-133
Subrecipient Information:
Name
Address
Reference:
Current Date:
Name of Project
As part of receiving a subcontract with the Colorado School of Mines, the following information is required
to be provided prior to a subcontract being awarded. Office of Management and Budget (OMB) Circular
A-133 requires us to ascertain that you, as a subrecipient, are in compliance with the audit requirements
of the Circular. Accordingly, please identify the statement below that indicates the status of your audit
compliance.
_______
Our A-133 audit for fiscal year _____ has been completed and no material
instances of non-compliance, material weakness and/or reportable conditions
were found related to any sub-award(s) from the Colorado School of Mines.
Enclosed is a copy of our A-133, or a web site where it can be accessed.
_______
Our A-133 audit for fiscal year _____ has been completed and included material
instances of non-compliance, material weakness and/or reportable conditions.
Enclosed is a copy of the audit report, or a web site where it can be accessed,
and our corrective action responses.
________
Our A-133 audit report for fiscal year _____ is not yet available. We expect that
the report will be completed on or about the following date: _______________.
Upon completion, we will provide you a copy, or a web site where it can be
accessed, and advise you of the results.
________
We are not subject to the requirements of A-133 because:
____ We are a for-profit organization
____ We expended less than $500,000 in Federal funds during FY ____.
____ Other (please explain)
________________________________________________________________
________________________________________________________________
If you are not subject to the requirements of A-133, please provide the following
documents and answer the questions on page 2.


An audited financial statement for the most current fiscal year and
Independent auditor’s management letter
As a representative for ______________________ I certify that the above information is accurate and all
relevant material findings contained in the audit report have been disclosed.
Name
Title
Authorized Signature
Phone #
Date
Please complete and return this form to my attention, at the address listed above by _______________.
If there are any questions concerning the information requested, please do not hesitate to contact me.
Thank you for your cooperation and assistance in complying with these requirements.
Sincerely,
Mary Mittag-Miller, Director for Research Services
Phone: (303) 273-3405
Fax: (303) 384-2173
Email: mmittag@mines.edu
SUBRECIPIENT AUDIT CERTIFICATION – SUBJECT TO A-133
Entities not subject to the requirements of A-133:

Does your organization have a designated federal cognizant audit agency?
______Yes – which one?___________________________________
______No

Do you have knowledge of the OMB Circular A-21 Cost Principles, the OMB A-110
Administrative Requirements and the other relevant Federal guidelines that are
applicable to the subcontract?
______Yes
______No – How do you ensure compliance with these regulations? _________
____________________________________________________

Does your organization have a financial management system that provides records
that can identify the source and application of funds for award supported activities?
______Yes
______No – Please explain

Does you organization have controls to prevent expenditures in excess of approved,
budgeted amounts?
______Yes
______No – Please explain

How do you ensure that costs deemed unallowable, per the Federal guidelines noted
above, are excluded from the amount bill to the Colorado School of Mines under this
subagreement?