FloridaAtlantic University
Division of Research – Sponsored Programs
Subaward Risk Assessment Form
1. Is the subaward application incomplete?
□ Yes □ No
2. Is the potential subrecipient a vendor or consultant? Refer to Section IV, Item 1
(http://www.fau.edu/research/docs/policies/researchacct/subcontracts.pdf )
□ Yes □ No
3. Is the potential subrecipient debarred? (http://www.epls.gov/)
(restricted party screening – RPS)
□ Yes □ No
4. Is the organization required to comply with the audit requirements under
Uniform Guidance 2 CFR 200?
□ Yes □ No
(http://harvester.census.gov/sac/dissem/accessoptions.html )
If not, any other audit report?
Is there a reportable finding or condition disclosed?
If yes, is there a material weakness?
□ Yes □ No
□ Yes □ No
□ Yes □ No
5. Are there any budgetary concerns?
□ Yes □ No
6. Are there export control issues identified?
□ Yes □ No
7. Has the subrecipient disclosed a potential financial conflict of interest?
□ Yes □ No
8. Is this a “new” subrecipient?
□ Yes □ No
9. Is this organization a Foreign Entity?
□ Yes □ No
10. Indicate the type of prime award:
□ Federal □ Federal Flow-Through □ State □ Local Government □ Private/Other
11. What is the amount of the prime award?
____________
12. What is the amount of funding proposed for the subrecipient?
____________
13. What is the percentage being passed through to the subrecipient?
____________
14. The overall risk assessment for this potential subrecipient is classified as:
______________________________________________________________________
Office of Sponsored Programs – Reviewer
□ Low □ Medium □ High
___________________
Date
Note: If risk assessment is classified as “High,” General Counsel is required to approve.
______________________________________________________________________
General Counsel – Signature Approval
Date
___________________