Risk Assessment and Monitoring Plan.xlsx

<$5k

Recipient Name:

Unique Entity Identifier:

Risk assessment completed by:

Date assessment completed:

Please elaborate on any of the above considerations or provide any additional information you wish to highlight that is not captured above regarding the risk assessment of this recipient:

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Monitoring Plan

Based on the risk level identified above, please list the proposed monitoring activities below. Documentation that monitoring activities have taken place must be filed in the official award file.

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Communication (type and frequency):

Event Monitoring (key events, dates):

Reporting required from recipient, if applicable (type and frequency):

Please provide any additional information you wish to highlight that is not captured above regarding the monitoring of this recipient:

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&1#&"Times New Roman"&10&K000000SENSITIVE BUT UNCLASSIFIED

≥$5k & <$25k

Recipient Name:

Unique Entity Identifier:

Risk assessment completed by:

Date assessment completed:

Please elaborate on any of the above considerations or provide any additional information you wish to highlight that is not captured above regarding the risk assessment of this recipient:

*Press (ALT) + (ENTER) on your keyboard to insert a line space when typing.

Monitoring Plan

Based on the risk level identified above, please list the proposed monitoring activities below. Documentation that monitoring activities have taken place must be filed in the official award file.

Pre-Award Site Visit (if applicable):

Communication (type and frequency):

Event Monitoring (key events, dates):

Reporting required from recipient, if applicable (type and frequency):

Site Visit(s) (program and/or financial):

Please provide any additional information you wish to highlight that is not captured above regarding the monitoring of this recipient:

*Press (ALT) + (ENTER) on your keyboard to insert a line space when typing.

&1#&"Times New Roman"&10&K000000SENSITIVE BUT UNCLASSIFIED

≥$25k

Recipient Name:

Unique Entity Identifier:

Risk assessment completed by:

Date assessment completed:

Risk Assessment

(1) Full competition

(2) Limited competition

(3) Sole source 2 Type of Recipient:

(1) U.S. Recipient

(2) Foreign Recipient 3 New Recipient:

The recipient is a first-time recipient that may not be familiar with Department program operation, fiscal management, oversight and reporting practices.

(1) No

(2) Unknown

(3) Yes New Organization or Change in Ownership:

The recipient's date of startup or ownership change was three years or less from today.

(1) No

(2) Unknown

(3) Yes Program History:

(1) Recipient has met program objectives specified in past awards.

(2) Recipient partially met program objectives in prior awards OR is a new recipient.

(3) Recipient failed to meet program objectives in at least one prior award (3).

Reporting History:

(1) Program and financial reports were submitted in a timely and accurate manner.

(2) Routine reports were frequently late and contain some errors OR is a new recipient.

(3) Routine reports reflected significant discrepancies or omissions.

Answers Financial History:

(1) No significant audit findings OR recipient is not required to file an audit.

(2) Minor audit findings with pending corrective action.

(3) Significant audit findings and/or audit findings not resolved in a timely manner or applicant did not file required audit.

1 Staff Size:

(1) Large (13 or more full time employees)

(2) Medium (7-12 full time employees)

(3) Small (1-6 Full time employees) 3 Key Staff Qualifications:

(1) All key staff have one or more years’ experience.

(2) At least half of the key staff have one or more years’ experience.

(3) Key staff have little or no experience.

Multi-site Program:

The recipient is responsible for managing resources at multiple operational sites.

(1) No

(2) Unknown

(3) Yes Use of Subrecipients:

(1) Zero subrecipients

(2) One to two subrecipients

(3) Three or more sub-recipients Complexity of Budget:

(1) The budget is relatively simple in terms of the number of budget categories and line items included.

(2) Budget is moderately complex in terms of budget categories and line items included.

(3) Budget is very complex in terms of budget categories and line items included.

SAM.gov:

The recipient has an active registration in SAM.gov

(1) Yes

(2) No Organizational Total Low 0

Please elaborate on any of the above considerations or provide any additional information you wish to highlight that is not captured above regarding the risk assessment of this recipient. For awards over $150,000 describe any derogatory information in PPIRS (FAPIS) and how this affects the risk assessment:

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The program is being implemented for the first time.

(1) No

(3) Yes Complexity of Program:

(1) Low complexity

(2) Moderate complexity

(3) High complexity Organizational Experience:

(1) Organization has been providing similar activities listed in the award for more than two years.

(2) Organization has been providing similar activities listed in the award for one to two years

(3) Organization has provided similar activities for less than one year.

Potential for Implementation Problems:

(1) Little to no potential for implementation issues.

(2) Some potential for implementation issue.

(3) High potential for significant implementation issues.

Topic or theme of the program :

(1) Project is not sensitive or potentially controversial.

(2) Project is moderately visible, sensitive or controversial.

(3) Project is highly visible, sensitive or potentially controversial.

Amount of Funding:

(1) $99,999 or less

(2) $100,000 - $499,999

(3) $500,000 or more Programmatic Total Low 0

Please elaborate on any of the above considerations or provide any additional information you wish to highlight that is not captured above regarding the risk assessment of this recipient:

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(1) Relatively stable. The recipient is able to operate with relative ease, and our ability to monitor activities is not hindered.

(2) Somewhat unstable. The country is in a state of relative political instability that could affect recipient performance.

(3) Very unstable. The country is in a state of crisis or upheaval and the recipient is expected to face great difficulty in implementation, and our ability to monitor grant activities is severely limited or impossible.

Number of Countries Where the Project is Implemented:

(1) Single country program.

(2) Program implemented in two countries.

(3) Program implemented in three or more countries.

Program Location:

Program activities occur in a country or area that has a significant known level of financial corruption.

(1) No

(3) Yes Travel:

The Department has issued a Travel Warning for the country or area where the project is implemented.

(1) No

(3) Yes Inflationary or Exchange Rate Risk:

The likelihood of either inflation or exchange rate fluctuations harming project implementation.

(1) Low

(2) Medium

(3) High Criminal Activities/Terrorism:

There are concerns that either recipients, participants, or beneficiaries could be involved in criminal activities such as arms trafficking, terrorism, drug trafficking, or other criminal conduct or that funds could be diverted for these purposes?

(1) No

(3) Yes Country Specific Total Low 0

Please elaborate on any of the above considerations or provide any additional information you wish to highlight that is not captured above regarding the risk assessment of this recipient:

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Pre-Award Site Visit (if applicable):

Communication (type and frequency):

Event Monitoring (key events, dates):

Reporting required from recipient, if applicable (type and frequency):

Site Visit(s) (program and/or financial):

Please provide any additional information you wish to highlight that is not captured above regarding the monitoring of this recipient, including other offices that may play a role in monitoring the recipient. For high risk awards, specify any additional award conditions that will be added to the agreement.

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&1#&"Times New Roman"&10&K000000SENSITIVE BUT UNCLASSIFIED