Risk Assessment
Per 2 CFR 200.331(b) the PTE must “Evaluates each subrecipient’s risk of noncompliance with Federal statutes, regulations, and the terms and conditions of the subaward for purposes of determining the appropriate subrecipient monitoring.”
The Subrecipient Risk Analysis (SRA) is a tool to assist Research Services in evaluating and assigning a risk level for each subrecipient.
The questions are scored independently in pre and post-award sections. This is intentional as there may be an instance where the risk of issuing an agreement to a subrecipient institution is determined to be very low, but the project is determined to be very high risk (or vice versa). The total score is also provided.
The PTE may decide that certain answers given to scored or non-scored questions may prompt an additional set of questions outside of the RAQ, or a broader assessment of risk by means other than this analysis.
Considerations for scored questions
Specific Terms and Conditions may be imposed on a subrecipient if the answers to the SRA include any of the following top five risks attributes:
- Foreign subrecipient;
- History of non-compliance from the subrecipient;
- PTE’s work depends upon the subrecipient’s work;
- Subrecipient receives more than 50% of the funds or more than $500,000;
- Subrecipient has less than 4 years’ existence/experience.
Last updated: 4/27/2021