Uniform Guidance, Section 200.331 requires a risk analysis
to evaluate the likelihood that a subrecipient will fail to comply with
the requirements of the subaward.
Subrecipient vs Contractor form
Before starting a subcontract questionnaire or subcontract agreement, the "Subrecipient vs Contractor form" has to be completed to ensure an organization is classified correctly. If the organization falls under the "Subrecipient" category, please have the "Subrecipient Questionnaire (if applicable)" and the Risk Assessment forms completed.
"If a subrecipient already has a negotiated indirect cost rate established with their cognizant agency for indirect cost, the negotiated rate must be used. It is not permissible for pass-through entities to force or entice a proposed subrecipient without a negotiated rate to accept less than the de minimis rate."
SAM.GOV and DUNS
If a subrecipient is registered in SAM.gov, please check to see if they are "active".
Use SAM.gov or the DUNS website https://www.dandb.com/dunsnumberlookup/ to verify subrecipient’s DUNS number
This must be documented. Please print out a screenshot and send with your risk assessment to Sponsored Projects.
The person verifying this information should write the following information on the screenshot:
o Name of person who checked
o Signature of person who checked
Sponsored Projects may already have a completed questionnaire for a given subrecipient. Please contact N.O.Sponproj@lsuhsc.edu if you need a questionnaire in order to prepare your risk assessment. The questionnaires will help you complete the Risk Assessment.
At times, the department may be requested to get a completed Questionnaire from the subrecipient should an subrecipient be new to LSUHSC- New Orleans or an Questionnaire is over a year old.
1. The department/PI is required to:
- complete the information section at the top of the form (Please make sure the PI signs off on the form.)
- complete all the rows highlighted in blue. Please put an "x" next to your selection.
- submit original form to Sponsored Projects for processing at Nosponproj@lsuhsc.edu
2. The Risk Assessment Committee will review the risk assessment form along with the Subrecipient Questionnaire.and Audit Report if available
3. The completed Risk Assessment form will have a risk assigned and be returned to the department.
4. The department will attach a copy of the completed Risk Assessment form to the subcontract before routing to the Contract Office.
Risk Assessment will be performed on active subcontracts as of July 1, 2015.
Audit Reports from the Subricipient
Audit reports should be able to be viewed under the https://facweb.census.gov/uploadpdf.aspx Federal Audit Clearing house by using the Auditee EIN number. Should a report not be found here and the subrecipient did have an audit on the Financial Statements or A Single Audit, please request the Audit report to be sent to LSUHSC-New Orleans to be submitted along with the Risk Assessment.