{"id":4494,"date":"2026-07-15T17:38:18","date_gmt":"2026-07-15T17:38:18","guid":{"rendered":"https:\/\/in.nau.edu\/research\/?page_id=4494"},"modified":"2026-08-01T21:13:46","modified_gmt":"2026-08-01T21:13:46","slug":"subrecipient-risk-analysis-tool","status":"publish","type":"page","link":"https:\/\/in.nau.edu\/research\/proposal-award-management\/proposal-development\/compliance-considerations\/subrecipients\/subrecipient-risk-analysis-tool\/","title":{"rendered":"Subrecipient risk analysis tool"},"content":{"rendered":"<div class=\"nau-block nau-block-left-nav-top-bound\">\n    \t<button id=\"left-nav-toggle-btn\" onclick=\"toggleNav();\">\n\t\tON THIS PAGE \n\t\t<i id=\"chevron-icon\" class=\"fas fa-solid fa-chevron-down\"><\/i>\n\t<\/button>\n\t<div id=\"left-nav-menu-track\">\n\t\t<div id=\"left-nav-wrapper\">\n\t\t\t<div class=\"rfi-above-anchor-tags\">\n\t\t\t\t<div class=\"ri-container\">\n\t\t\t\t\t<a href=\"https:\/\/nau.edu\/admissions\/request-information\/\" id=\"request-info\" class=\"btn bg-true-blue left-nav-menu-bottom-button display-mobile\">Request info&nbsp;&nbsp;<\/a>\t\t\t\t<\/div>\n\t\t\t<\/div>\n\t\t\t<div id=\"left-nav-menu\">\n\t\t\t\t<div class=\"menu-section menu-section-links\"><h6 class=\"hidden-mobile left-nav-list-header\">ON THIS PAGE<\/h6><ul class=\"left-nav-menu-list left-nav-automatic on-this-page\"><\/ul><div class=\"ri-container\"><a href=\"https:\/\/nau.edu\/admissions\/request-information\/\" id=\"request-info\" class=\"btn bg-true-blue left-nav-menu-bottom-button display-mobile\">Request info&nbsp;&nbsp;<\/a><\/div><\/div>\t\t\t\t\t\t\t\t<div class=\"menu-section backcolor\">\n\t\t\t\t\t<div class=\"header\">\n\t\t\t\t\t\tHOW CAN WE HELP?\t\t\t\t\t<\/div>\n\t\t\t\t\t<ul class=\"responsive-icons\">\n\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t\t<li><a href=\"tel:928-523-4880\"><img decoding=\"async\" src=\"https:\/\/in.nau.edu\/wp-content\/themes\/nau-marketing-2021\/img\/icon-phone.svg\" alt=\"Telephone:\"> 928-523-4880<\/a>\n\t\t\t\t\t\t<\/li>\n\t\t\t\t\t\t\t\t\t\t\t\t<li><a href=\"mailto:NAU-OSP@nau.edu\"><img decoding=\"async\" src=\"https:\/\/in.nau.edu\/wp-content\/themes\/nau-marketing-2021\/img\/icon-email.svg\" alt=\"Email:\"><span class=\"left-nav-email\"> NAU-OSP&#8203;@nau.edu <\/span><\/a><\/li>\n\t\t\t\t\t<\/ul>\n\t\t\t\t<\/div>\n\t\t\t\t\t\t\n\t\t\t<\/div>\n\t\t<\/div>\n\t<\/div>\n<\/div>\n\n<section class=\"nau-block left-nav-section\"><header class=\"entry-header\"><div class=\"breadcrumb\"><ol class=\"breadcrumbs\"><li><a href=\"https:\/\/stage.in.nau.edu\">IN<\/a><span class=\"breadcrumb-chevron\" aria-hidden=\"true\">&gt;<\/span><\/li><li><a href=\"https:\/\/in.nau.edu\/research\">NAU Research<\/a><span class=\"breadcrumb-chevron\" aria-hidden=\"true\">&gt;<\/span><\/li><li class=\"current\">Pages<\/li><\/ol><\/div><h1 class=\"entry-title text-left \">Subrecipient risk analysis tool<\/h1><hr class=\"h1-hr  text-left \" role=\"none\"><\/header><!-- .entry-header --><\/section><!-- <section class=\"nau-block left-nav-section grid-md-12\">\n    <header class=\"entry-header\">\n        <h1 class=\"entry-title text-left \" tabindex=\"0\" id=\"h1-first\">Dummy H1<\/h1>\n        <hr class=\"h1-hr  text-left \" role=\"none\">\n    <\/header>\n<\/section> -->\n\n<section class=\"nau-block left-nav-section grid-md-12\">\n    <div class=\"page-content\">\n        \n\n<p class=\"wp-block-paragraph\">The subrecipient risk analysis category guidelines and examples help investigators understand how subrecipient risk is evaluated during the proposal development process. Review the risk categories, assessment criteria, and example scenarios used to support consistent risk determinations and ensure compliance with sponsor and university requirements.<\/p>\n\n\n\n<table id=\"tablepress-14\" class=\"tablepress tablepress-id-14\">\n<thead>\n<tr class=\"row-1\">\n\t<th class=\"column-1\">Category<\/th><th class=\"column-2\">Score = 0 (lower risk)<\/th><th class=\"column-3\">Score = 1 (higher risk)<\/th>\n<\/tr>\n<\/thead>\n<tbody class=\"row-striping row-hover\">\n<tr class=\"row-2\">\n\t<td class=\"column-1\">Foreign vs domestic<\/td><td class=\"column-2\">Domestic (US only)<\/td><td class=\"column-3\">All other foreign entities<\/td>\n<\/tr>\n<tr class=\"row-3\">\n\t<td class=\"column-1\">Maturity of subrecipient's organization<\/td><td class=\"column-2\">Mature<\/td><td class=\"column-3\">Start-up, no fiscal controls in place yet<\/td>\n<\/tr>\n<tr class=\"row-4\">\n\t<td class=\"column-1\">Organization type<\/td><td class=\"column-2\">University or non-profit (Collegial T&amp;Cs)<\/td><td class=\"column-3\">Industry organization<\/td>\n<\/tr>\n<tr class=\"row-5\">\n\t<td class=\"column-1\">Award type<\/td><td class=\"column-2\">Grant from federal or non-commercial source<\/td><td class=\"column-3\">Contracts (includes subcontracts, CTAAs)<\/td>\n<\/tr>\n<tr class=\"row-6\">\n\t<td class=\"column-1\">Subgrant\/subcontract<\/td><td class=\"column-2\">Total cost is &lt;$199,000<\/td><td class=\"column-3\">Total cost is &gt; $200K<\/td>\n<\/tr>\n<tr class=\"row-7\">\n\t<td class=\"column-1\">Percentage of award contracted<\/td><td class=\"column-2\">Total cost is &lt; 49%<\/td><td class=\"column-3\">Total cost is &gt; 49%<\/td>\n<\/tr>\n<tr class=\"row-8\">\n\t<td class=\"column-1\">Procurement systems<\/td><td class=\"column-2\">Systems have been approved (existing A-133 is an indicator)<\/td><td class=\"column-3\">No systems are in place, or systems are new<\/td>\n<\/tr>\n<tr class=\"row-9\">\n\t<td class=\"column-1\">Accounting systems<\/td><td class=\"column-2\">Yes<\/td><td class=\"column-3\">No<\/td>\n<\/tr>\n<tr class=\"row-10\">\n\t<td class=\"column-1\">Negotiated Indirect Cost Rate Agreement<\/td><td class=\"column-2\">Has detailed negotiated rate agreement<\/td><td class=\"column-3\">Does not have negotiated rate agreement<\/td>\n<\/tr>\n<tr class=\"row-11\">\n\t<td class=\"column-1\">Audit report<\/td><td class=\"column-2\">Has annual A-133 audit<\/td><td class=\"column-3\">Has not had an annual financial audit<\/td>\n<\/tr>\n<tr class=\"row-12\">\n\t<td class=\"column-1\">Prior experience<\/td><td class=\"column-2\">Previous positive experience as NAU subrecipient<\/td><td class=\"column-3\">New subrecipient or previous negative experience as NAU subrecipient<\/td>\n<\/tr>\n<tr class=\"row-13\">\n\t<td class=\"column-1\">ITAR\/EAR<\/td><td class=\"column-2\">No export controlled activity involved<\/td><td class=\"column-3\">Organization or project involves ITAR (e.g. satellites, biological warfare)<\/td>\n<\/tr>\n<tr class=\"row-14\">\n\t<td class=\"column-1\">Compliance (animal\/human subjects, DNA, stem cells)<\/td><td class=\"column-2\">No compliance issues involved, or exempt per IRB<\/td><td class=\"column-3\">A\/S, H\/S, or other compliance issues involved, higher risk activities<\/td>\n<\/tr>\n<tr class=\"row-15\">\n\t<td class=\"column-1\">Location of work<\/td><td class=\"column-2\">At subrecipient's facility<\/td><td class=\"column-3\">On NAU campus<\/td>\n<\/tr>\n<tr class=\"row-16\">\n\t<td class=\"column-1\">Sponsor type<\/td><td class=\"column-2\">Non-federal organizations or routine federal award programs (NSF, NIH)<\/td><td class=\"column-3\">Government-owned\/contractor Operated (e.g. national labs)<\/td>\n<\/tr>\n<tr class=\"row-17\">\n\t<td class=\"column-1\">Relationship of subrecipient PI<\/td><td class=\"column-2\">No relationship except collaborative\/research-based<\/td><td class=\"column-3\">Conflict of Interest involved (e.g. family relations, PI is on board or hold stock in organization)<\/td>\n<\/tr>\n<tr class=\"row-18\">\n\t<td class=\"column-1\">Scope of work and deliverables<\/td><td class=\"column-2\">Report only<\/td><td class=\"column-3\">Tangible products, deliverables necessary in order to achieve project success<\/td>\n<\/tr>\n<tr class=\"row-19\">\n\t<td class=\"column-1\">Advantaged status<\/td><td class=\"column-2\">No claimed status (small business, HUB zone, women\/minority-owned, etc.)<\/td><td class=\"column-3\">Two or more claims<\/td>\n<\/tr>\n<tr class=\"row-20\">\n\t<td class=\"column-1\">Special considerations<\/td><td class=\"column-2\">Additional information which raises risk level, e.g. high funding level, risk category requiring a higher level of scrutiny<\/td><td class=\"column-3\">Additional information which raises risk level, e.g. high funding level, risk category requiring a higher level of scrutiny<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<!-- #tablepress-14 from cache -->\n\n\n\n<p class=\"wp-block-paragraph\"><strong>NOTE: <\/strong>If cost share for sub, then higher risk rate.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Risk categories are analyzed on a sliding scale, so risk levels are based on the Office of Sponsored Projects (OSP) Administrator\u2019s evaluation. If the OSP has concerns with the subrecipient, the risk analysis score can be bumped up to the next level.<\/p>\n\n\n    <\/div>\n<\/section>\n\n<div class=\"nau-block nau-block-left-nav-bottom-bound\">\n\n<\/div>","protected":false},"excerpt":{"rendered":"","protected":false},"author":105,"featured_media":4511,"parent":4491,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"_acf_changed":false,"ring_central_script_selection":"","footnotes":""},"class_list":["post-4494","page","type-page","status-publish","has-post-thumbnail","hentry"],"acf":[],"_links":{"self":[{"href":"https:\/\/in.nau.edu\/research\/wp-json\/wp\/v2\/pages\/4494","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/in.nau.edu\/research\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/in.nau.edu\/research\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/in.nau.edu\/research\/wp-json\/wp\/v2\/users\/105"}],"replies":[{"embeddable":true,"href":"https:\/\/in.nau.edu\/research\/wp-json\/wp\/v2\/comments?post=4494"}],"version-history":[{"count":8,"href":"https:\/\/in.nau.edu\/research\/wp-json\/wp\/v2\/pages\/4494\/revisions"}],"predecessor-version":[{"id":5219,"href":"https:\/\/in.nau.edu\/research\/wp-json\/wp\/v2\/pages\/4494\/revisions\/5219"}],"up":[{"embeddable":true,"href":"https:\/\/in.nau.edu\/research\/wp-json\/wp\/v2\/pages\/4491"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/in.nau.edu\/research\/wp-json\/wp\/v2\/media\/4511"}],"wp:attachment":[{"href":"https:\/\/in.nau.edu\/research\/wp-json\/wp\/v2\/media?parent=4494"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}