Itar Agreement Subrecipient Risk Analysis High Low Risk Entities

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					                                                                                        Subrecipient Risk Analysis - High/Low Risk Entities

Subrecipient Name:                                                                                                                                            Date:
Prime Sponsor:                                                                                                                                     Contract Officer:
Subaward #:                                                                                                                                    Risk Level Assigned:

Instructions to Contract Officer: Assign an assessment rating (0, 1 or 2) for each Criteria listed below.

                        Criteria                                           Lower Risk                               Higher Risk               Weight   Assessment      Weighted Score
                                                                                                                                                          0 = low
                                                                                                                                                          1 = med
                                                                                                                                                          2 = high
Foreign or Domestic                                       Domestic                                     Foreign                                  4                            0

Maturity of Subrecipient's Organization                   Mature                                       Start-up                                 4                            0

Organization Type                                         University or non-profit                     Industry                                 4                            0

Award type                                                Grant                                        Contract or Subcontract                  4                            0

Amount of Subgrant/Subcontract                            Total cost is <$499,999                      Total cost is >$500K                     3                            0

Percentage of SU Award Subcontracted                      Total cost is <48.9%                         Tot cost is >49%                         2                            0

Accounting Systems Established                            Yes                                          No                                       2                            0

Procurement Systems                                       approved                                     Not approved / ad hoc                    2                            0

Negotiated Indirect Cost Rate Agreement                   Yes                                          No                                       2                            0

Audit Report                                              A-133                                        No Audit Report                          2                            0

Prior experience working with SU?                         Previous positive experience                 New Subrecipient, or                     2                            0
                                                                                                       previous negative experience
ITAR/EAR Type of work                                     No                                           Yes                                      2                            0

Compliance                                                No                                           Yes                                      2                            0
(humans, animals, DNA, stem cells)
Location of Work                                          At subrecipient's facility                   On SU campus                             2                            0

SU Sponsor Type                                           Private or Foundation                        Government Owned & Contractor            3                            0
                                                                                                       Operated
Relationship of subrecipient to PI and potential for No existing or former relationship to PI          PI's relative                            1                            0
conflict of interest
SOW & Deliverables                                   Report only                                       Tangible products;                       4                            0
                                                                                                       pivotal to success of project
"Advantaged" status claimed?                              Not small business, HUB zone, etc.           Yes                                      1                            0

Special Considerations: up to an additional 8
points; e.g. high $

Low = 0-40                 High = 76-99                   Bumped to Next Level?           Y      N
Medium = 41-75             Nuclear = 100                                               (circle one)                                             Total Risk Score:           0.0


     D:\Docstoc\Working\pdf\752d74bb-ff78-4e71-92a1-0c3382c61102.xls (Blank Form #1) 2/22/2011
                                                                                                 Subrecipient Risk Analysis - High/Low Risk Entities

Subrecipient Name:                                                                                                                                              Date:
Prime Sponsor:                                                                                                                                       Contract Officer:
Subaward #:                                                                                                                                      Risk Level Assigned:

Instructions to Contract Officer: Assign an assessment rating (0, 1 or 2) for each Criteria listed below.

                      Criteria                                          Lower Risk                                  Higher Risk                Weight    Assessment      Weighted Score
                                                                                                                                                            0 = low
                                                                                                                                                            1 = med
                                                                                                                                                            2 = high
Foreign or Domestic                                     Domestic                                       Foreign                                    4                            0

Maturity of Subrecipient's Organization                 Mature                                         Start-up                                   4                            0

Organization Type                                       University or non-profit                       Industry                                   4                            0

Award type                                              Grant                                          Contract or Subcontract                    4                            0

Amount of Subgrant/Subcontract                          Total cost is <$499,999                        Total cost is >$500K                       3                            0

Percentage of SU Award Subcontracted                    Total cost is <48.9%                           Tot cost is >49%                           2                            0

Accounting Systems Established                          Yes                                            No                                         2                            0

Procurement Systems                                     approved                                       Not approved / ad hoc                      2                            0

Negotiated Indirect Cost Rate Agreement                 Yes                                            No                                         2                            0

Audit Report                                            A-133                                          No Audit Report                            2                            0

Prior experience working with SU?                       Previous positive experience                   New Subrecipient, or                       2                            0
                                                                                                       previous negative experience
ITAR/EAR Type of work                                   No                                             Yes                                        2                            0

Compliance                                              No                                             Yes                                        2                            0
(humans, animals, DNA, stem cells)
Location of Work                                        At subrecipient's facility                     On SU campus                               2                            0

SU Sponsor Type                                         Private or Foundation                          Government Owned & Contractor              3                            0
                                                                                                       Operated
Relationship of subrecipient to PI and potential for No existing or former relationship to PI          PI's relative                              1                            0
conflict of interest
SOW & Deliverables                                   Report only                                       Tangible products;                         4                            0
                                                                                                       pivotal to success of project
"Advantaged" status claimed?                            Not small business, HUB zone, etc.             Yes                                        1                            0

Special Considerations: up to an additional 8
points; e.g. high $

Low = 0-40                High = 76-99                  Bumped to Next Level? ____________
Medium = 41-75            Nuclear = 100                                        (Y or N)                                                           Total Risk Score:           0.0

NOTES:




     D:\Docstoc\Working\pdf\752d74bb-ff78-4e71-92a1-0c3382c61102.xls (Blank Form #2) 2/22/2011

				
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