Subrecipient Annual Audit Certification Subject to A-133

Subrecipient Annual Audit Certification Subject to A-133

SUBRECIPIENT ANNUAL AUDIT CERTIFICATION – SUBJECT TO A-133

SECOND REQUEST

Subrecipient Information: Current Date:

Name

Address

Reference: Name of Project

Institutional records indicate that your organization was a subrecipient of federal funds from the Colorado School of Mines during the fiscal year ended June 30, _____. Office of Management and Budget (OMB) Circular A-133 requires us to ascertain that you, as a subrecipient, are in compliance with the audit requirements of the Circular. Accordingly, please identify the statement below that indicates the status of your audit compliance. Failure to respond will result in all funding being suspended.

______Our A-133 audit for fiscal year _____ has been completed and no material

instances of non-compliance, material weakness and/or reportable conditions

were found related to any sub-award(s) from the Colorado School of Mines.

Enclosed is a copy of our A-133 or a web site where it can be accessed.

______Our A-133 audit for fiscal year _____ has been completed and included material

instances of non-compliance, material weakness and/or reportable conditions.

Enclosed is a copy of the audit report,or aweb site where it can be accessed,

and our corrective action responses.

______Our A-133 audit report for fiscal year _____ is not yet available. We expect that

the report will be completed on or about the following date: ______.

Upon completion, we will provide you a copy, or a web site where it can be

accessed,and advise you of the results.

______We are not subject to the requirements of A-133 because:

____ We are a for-profit organization

____ We expended less than $500,000 in Federal funds during FY ____.

____ Other (please explain)

______

______

If you are not subject to the requirements of A-133, please provide the following documents and answer the questions on page 2.

  • An audited financial statement for the most current fiscal year and
  • Independent auditor’s management letter

As a representative for ______I certify that the above information is accurate and all relevant material findings contained in the audit report have been disclosed.

Name Title Phone #

Authorized Signature Date

Please complete and return this form to my attention, at the address listed above by ______. If there are any questions concerning the information requested, please donot hesitate to contact me. Thank you for your cooperation and assistance in complying with these requirements.

Sincerely,

Grant Administrator

Entities not subject to the requirements of A-133:

  • Does your organization have a designated federal cognizant audit agency? ______Yes – which one?______

______No

  • Do you have knowledge of the OMB Circular A-21 Cost Principles, the OMB A-110 Administrative Requirements and the other relevant Federal guidelines that are applicable to the subcontract?

______Yes

______No – How do you ensure compliance with these regulations? ______

  • Does your organization have a financial management system that provides records that can identify the source and application of funds for award supported activities?

______Yes

______No – Please explain

  • Does you organization have controls to prevent expenditures in excess of approved, budgeted amounts?

______Yes

______No – Please explain

  • How do you ensure that costs deemed unallowable, per the Federal guidelines noted above, are excluded from the amount bill to the Colorado School of Mines under this subagreement?
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