Subrecipient_Risk_Analysis_Information_Portal

Subrecipient Risk Analysis Information Portal Subrecipient Information Subrecipient Name Arizona State University Augusta University Research Institute (formerly Georgia Regents Univeristy) Brandeis University Brown University California Institute of Technology Case Western Reserve University Cedars Sinai Medical Center Pre-Award Information Sponsor Code (Text) 405186 Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement (Y or N) Y (Date) (Date) FY2016 Prior High Risk Information Review of Audit/Fin Rpt Information Filed date in Does Fed Subrec Previously Solution to mitigate identified Clearinghouse Current Receive identified as high risk (ex Contract or date Notes from Review of audit valid direct Fed high risk by language; request invoice Certification Date reviewed findings / verification of no thru date Funds? Purdue Reason for high risk back-up, etc.) received by RAC findings (Drop-down box with (Drop-down box with (Date) (Y or N) (Y or N) multiple options) multiple options) (Date) (Date) Notes 6/30/2016 Y N RLW 07/24/17 8/23/2017 424190 400612 400628 400675 400716 ???? Y Y Y Y Y Y FY2015 and FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 6/30/2016 6/30/2016 6/30/2016 9/30/2016 6/30/2016 6/30/2016 Y Y Y Y Y Y N N N N N N 11/30/16 03/17/17 03/03/17 06/12/17 03/31/17 12/12/16 8/23/2017 8/30/2017 8/23/2017 8/30/2017 8/30/2017 8/23/2017 Clemson University Colorado State University Cornell University 400832 400856 400938 Y Y Y FY2016 FY2016 FY2016 6/30/2016 6/30/2016 6/30/2016 Y Y Y N N N 11/22/16 03/31/17 02/06/17 8/16/2017 8/30/2017 8/23/2017 Dana Farber Cancer Institute Duke University Emory University 418684 401166 405223 Y Y Y FY2016 FY2016 FY2016 9/30/2016 6/30/2016 8/31/2016 Y Y Y N N N 03/31/17 03/09/17 04/06/17 8/30/2017 8/30/2017 8/23/2017 RLW RLW RLW RLW RLW RLW Findings related to imcomplete effort certifications but no questioned costs and unallowable compensation costs but findings not related to Purdue funding RLW RLW Finding related to delayed disbursement under reimbursement method Not related to Purdue RLW RLW Florida Agricultural and Mechanical University Florida International University Florida State University 407175 407317 401391 Y Y Y FY2016 FY2016 FY2015 6/30/2016 6/30/2016 6/30/2015 Y Y Y N N N 03/31/17 03/31/17 03/31/17 8/30/2017 8/30/2017 8/23/2017 RLW RLW RLW Georgia Tech Research Corporation 415820 Y FY2016 6/30/2016 Y N Page 03/22/17 8/30/2017 RLW Under the State of Georgia in Clearinghouse Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings Harvard Medical School 408556 Y FY2016 6/30/2016 Y N 02/15/17 7/18/2017 Harvard T.H Chan School of Public Health 421160 Y FY2016 6/30/2016 Y N 02/15/17 7/18/2017 Harvard University Icahn School of Medicine at Mount Sinai Indiana University Purdue University Indiana University Bloomington 401644 402604 401956 401950 Y Y Y Y FY2016 FY2015 FY2016 FY2016 6/30/2016 12/31/2015 6/30/2016 6/30/2016 Y Y Y Y N N N N 02/15/17 03/31/17 03/31/17 03/22/17 7/18/2017 8/30/2017 8/30/2017 8/23/2017 Institute for Systems Biology Iowa State University of Science and Technology 409701 Y FY2016 12/31/2016 Y N 07/17/17 8/16/2017 402061 Y FY2016 6/30/2016 Y N 01/30/17 8/30/2017 Johns Hopkins University 407759 Y FY 2016 6/30/2016 Y N 03/29/17 7/20/2017 Page Finding related to Equipment and Real Property Management and the lack of a full inventory being performed There were no questioned costs Finding related to Equipment and Real Property Management and the lack of a full inventory being performed There were no questioned costs Finding related to Equipment and Real Property Management and the lack of a full inventory being performed There were no questioned costs RLW RLW RLW Findings related to unallowable cost not excluded from F&A base and improper rate used on invoices for shared service center but none related to Purdue funding RLW Findings related to Exceeding NIH Salary Cap & Subrecipient Monitoring but none related to Purdue funding Subrecipient Information Subrecipient Name Massachusetts Institute of Technology Medical University of South Carolina Michigan Technological University Nevada System of Higher Education University of Nevada, Las Vegas Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings 402407 406669 405418 Y Y Y FY2016 FY2016 FY2016 6/30/2016 6/30/2016 6/30/2016 Y Y Y N N N 03/08/17 03/22/17 02/09/17 8/23/2017 8/30/2017 8/30/2017 415541 Y FY2016 6/30/2016 Y N 12/02/16 8/23/2017 403855 Y FY2016 6/30/2016 Y N 12/02/16 7/20/2017 403854 408336 Y Y FY2016 FY2016 6/30/2016 8/31/2016 Y Y N N 12/02/16 05/24/17 8/30/2017 8/30/2017 New York University, Washington Square 402802 Y FY2016 8/31/2016 Y N 03/29/17 8/30/2017 North Carolina State University Northern Illinois University 402836 402845 Y Y FY2016 FY2016 6/30/2016 6/30/2016 Y Y N N 03/28/17 03/29/17 7/20/2017 8/30/2017 Northwestern University, Evanston Oregon Health & Sciences University 402855 404730 Y Y FY2016 FY2016 8/31/2016 6/30/2016 Y Y N N 05/31/17 12/16/16 8/30/2017 8/23/2017 Partners Health System, Brigham and Women's Hospital 407206 Y FY2016 9/30/2016 Y N 01/20/17 8/30/2017 Nevada System of Higher Education University of Nevada, Reno Nevada System of Higher Education (Sponsored Programs Office) New York University School of Medicine Page Findings related to lack of documentation related to Subrecipient Monitoring (no questioned costs) and no communication to NASA on change of key personnel (no questioned costs) RLW RLW RLW Findings related to Student Fin Asst Cluster and Procurement None related to Purdue funding RLW RLW Finding related to Equipment and Real Property Management and untimely updates There were no questioned costs Findings related to Student Fin Aid Cluster RLW Finding related to Student Fin Asst Cluster and Equipment and Real Property Mgmt lack of thorough review procedures No questioned RLW Finding related to unallowable cost as airfare was upgraded Finding not related to Purdue funding Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings Partners Health System, McLean Hospital Pennsylvania State University Pennsylvania State University College of Medicine Purdue University RF SUNY Albany RF SUNY Alfred RF SUNY Binghampton RF SUNY Brockport RF SUNY Buffalo RF SUNY Buffalo State College RF SUNY Cobleskill RF SUNY Cortland RF SUNY Delhi RF SUNY Downstate Medical Center RF SUNY Empire State College 425051 402976 Y Y FY2016 FY2016 9/30/2016 6/30/2016 Y Y N N 01/20/17 03/22/17 8/30/2017 8/23/2017 Finding related to unallowable cost as airfare was upgraded Finding not related to Purdue funding Finding related to unallowable cost as airfare was upgraded Finding not related to Purdue funding RLW ???? 403145 407816 417810 ???? ???? 417037 406782 ???? ???? ???? 422174 ???? Y Y Y Y Y Y Y Y Y Y Y Y Y FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 Y Y Y Y Y Y Y Y Y Y Y Y Y N N N N N N N N N N N N N 03/31/17 03/16/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 RLW RLW RLW RLW RLW RLW RLW RLW RLW RLW RLW RLW RLW RF SUNY Environmental Science and Forestry RF SUNY Fredonia RF SUNY Genesco RF SUNY Maritime RF SUNY New Paltz RF SUNY Old Westbury RF SUNY Oneonta RF SUNY Optometry RF SUNY Oswego RF SUNY Plattsburgh RF SUNY Polytechnic Institute RF SUNY Potsdam RF SUNY Purchase College RF SUNY Stony Brook RF SUNY Upstate Medical Center ???? ???? ???? ???? 421316 ???? ???? ???? 424638 ???? ???? ???? ???? 411650 423433 Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y N N N N N N N N N N N N N N N 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 03/31/17 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 RLW RLW RLW RLW RLW RLW RLW RLW RLW RLW RLW RLW RLW RLW RLW Partners Health System, Massachusetts General Hospital 402406 Y FY2016 9/30/2016 Y N 01/20/17 8/30/2017 Page Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings Rockefeller University 417230 Y FY2016 6/30/2016 Y N 03/30/17 8/30/2017 Stanford University Syracuse University 403500 403585 Y Y FY2016 FY2016 8/31/2016 6/30/2016 Y Y N N 05/24/17 03/29/17 8/29/2017 8/30/2017 Texas Tech University 407136 Y FY2016 8/31/2016 Y N 03/22/17 8/30/2017 Tufts University, Health Sciences Campus (Boston) 404714 Y FY2015 6/30/2016 Y N 02/09/17 8/16/2017 Tufts University, Medford/Somerville 404714 Y FY2015 6/30/2016 Y N 12/02/16 8/16/2017 University of Alabama University of Alabama at Birmingham University of Alabama in Huntsville University of Arkansas for Medical Sciences 403815 405407 408193 403819 Y Y Y Y FY2016 FY2015 FY2015 FY2016 9/30/2016 9/30/2015 9/30/2015 6/30/2016 Y Y Y Y N N N N 06/15/17 06/27/17 06/27/17 11/09/16 8/30/2017 8/23/2017 8/23/2017 8/30/2017 University of California, Berkeley 408335 Y FY2016 6/30/2016 Y N 03/07/17 7/20/2017 University of California, Davis 405694 Y FY2016 6/30/2016 Y N 03/07/17 8/30/2017 Page RLW Findings related to inaccurate direct cost related to compensation charged and Erroneous Service Center charge to a Fed Award No funding RLW Under the State of Findings related to Student TX in the Fin Asst Center Clearinghouse One finding related to inadequate Subrecipient Risk Assessment Documentation No funding from Purdue was One finding related to inadequate Subrecipient Risk Assessment Documentation No funding from Purdue was Finding related to Student Fin Aid Cluster RLW RLW RLW Various findings including Student Fin Asst Cluster; IT Privileged Access; Under the State of Equipment Inventory; Cash California in the Mgmt - timing of draws; Clearinghouse Key Personnel monitoring None related to Purdue Under the State of California in the RLW Clearinghouse Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings University of California, Irvine 404357 Y FY2016 6/30/2016 Y N 03/07/17 7/20/2017 University of California, Los Angeles 403822 Y FY2016 6/30/2016 Y N 03/07/17 8/23/2017 University of California, Riverside 403823 Y FY2016 6/30/2016 Y N 03/07/17 7/20/2017 University of California, San Francisco University of Central Florida University of Cincinnati 408117 407753 403825 Y Y Y FY2016 FY2016 FY2016 6/30/2016 6/30/2016 6/30/2016 Y Y Y N N N 11/18/16 11/14/16 11/14/16 8/30/2017 8/23/2017 8/30/2017 University of Colorado Boulder University of Florida University Of Georgia 422360 403834 Y Y N FY2016 FY2016 FY2016 6/30/2016 6/30/2016 6/30/2016 Y Y Y N N N 03/21/17 04/27/17 8/30/2017 8/23/2017 9/21/2017 University of Hawaii University of Idaho 403838 404442 Y Y FY2015 FY2016 6/30/2015 6/30/2016 Y Y N N 12/21/13 10/28/16 7/20/2017 8/30/2017 Y FY2016 6/30/2016 Y N 02/27/17 7/20/2017 University of Illinois, Chicago Page Various findings including Student Fin Asst Cluster; IT Privileged Access; Under the State of Equipment Inventory; Cash California in the Mgmt - timing of draws; Clearinghouse Key Personnel monitoring None related to Purdue Under the State of California in the RLW Clearinghouse Various findings including Student Fin Asst Cluster; IT Privileged Access; Under the State of Equipment Inventory; Cash California in the Mgmt - timing of draws; Clearinghouse Key Personnel monitoring None related to Purdue Under the State of California in the RLW Clearinghouse RLW RLW Under the State of Colorado in the RLW Clearinghouse RLW RLW Findings related to Student Fin Asst Cluster; Improper Consultant Exp; Subrecipient Monitoring None related to Purdue RLW Numerous findings related to Student Fin Asst Cluster; Block grants; R&D findings were general to policies & procedures None related to Purdue Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code University of Kansas Center For Research Inc ?????? University of Kansas Medical Center Research Institute, Inc University of Kentucky (dba University of Kentucky Research Foundation) University of Maryland, Baltimore University of Maryland, College Park University of Massachusetts Medical School University of Miami All Campuses Dept of Education University of Miami Coral Gables Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings Y FY2016 6/30/2016 Y N 11/04/16 8/30/2017 RLW Y FY2016 6/30/2016 Y N 11/15/16 8/23/2017 Y Y FY2016 FY2015 6/30/2016 6/30/2015 Y Y N N 10/31/16 03/29/17 7/20/2017 8/30/2017 RLW Findings related to Student Fin Asst Cluster RLW Y Y FY2015 FY2016 6/30/2015 6/30/2016 Y Y N N 03/30/17 01/13/17 7/18/2017 8/30/2017 ?????? Y FY2016 5/31/2016 Y N 10/21/16 8/23/2017 ?????? Y FY2016 5/31/2016 Y N 10/21/16 8/23/2017 University of Miami Miller School of Medicine ?????? Y FY2016 5/31/2016 Y N 10/21/16 8/23/2017 University of Miami RSMAS ?????? Y FY2016 5/31/2016 Y N 10/21/16 8/23/2017 University of Michigan University of Minnesota, Crookston University of Minnesota, Duluth University of Minnesota, Morris University of Minnesota, Twin Cities 403849 ?????? ?????? ?????? ????? Y Y Y Y Y FY2016 FY2016 FY2016 FY2016 FY2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 Y Y Y Y Y N N N N N 03/29/17 01/04/17 01/04/17 01/04/17 01/04/17 8/23/2017 8/23/2017 8/23/2017 8/23/2017 8/23/2017 University of Missouri - Columbia University of Nebraska - Lincoln University of North Carolina at Chapel Hill 405359 ????? Y Y FY2016 FY2016 6/30/2016 6/30/2016 Y Y N N 03/08/17 02/02/17 8/30/2017 8/30/2017 Y FY2015 6/30/2015 Y N 03/28/17 7/20/2017 Page Under the State of Findings related to Student Maryland in the Fin Asst Cluster Clearinghouse RLW Finding related to Student Fin Asst Cluster Finding related to Student Fin Asst Cluster Finding related to Student Fin Asst Cluster Finding related to Student Fin Asst Cluster Findings related to noncompliance with Fly America Act (questioned costs); equipment monitoring and Student Fin Asst Cluster None related to Purdue funding RLW RLW RLW RLW RLW RLW Finding related to Failure to Complete Required Fed Closeouts None related to Purdue funding Under the State of Missouri System in Clearinghouse Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings University of Notre Dame 403860 Y FY2016 6/30/2016 Y N 01/26/17 8/23/2017 University of Rochester University of South Alabama 403868 Y Y FY2015 FY2016 6/30/2015 9/30/2016 Y Y N N 03/31/17 03/18/17 7/20/2017 8/30/2017 RLW Findings related to Subrecipient Monitoring; Student Fin Asst Cluster; Procurement None related to Purdue funding RLW University of Tennessee Health Science Center Y FY2016 6/30/2016 Y N 03/24/17 8/23/2017 RLW University of Tennessee, Knoxville Y FY2016 6/30/2016 Y N 03/24/17 8/23/2017 RLW University of Texas Health Science Center, San Antonio Y FY2016 8/31/2016 Y N 03/22/17 8/30/2017 University of Texas Medical Branch at Galveston Y FY2016 8/31/2016 Y N 03/22/17 7/18/2017 University of Texas, Austin Y FY2016 8/31/2016 Y N 03/22/17 7/20/2017 University of Texas, Dallas Y FY2016 8/31/2016 Y N 03/22/17 8/30/2017 University of Washington Y FY2016 6/30/2016 Y N 03/30/17 8/23/2017 Y Y Y Y FY2016 FY2016 FY2016 FY2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 Y Y Y Y N N N N 03/31/17 12/15/16 12/15/16 03/05/17 7/18/2017 8/30/2017 8/30/2017 8/23/2017 Y Y Y FY2016 FY2016 FY2016 9/30/2016 6/30/2016 6/30/2016 Y Y Y N N N 02/17/17 12/06/16 03/24/17 7/20/2017 8/23/2017 9/6/2017 University of Wisconsin, Madison Vanderbilt University Vanderbilt University Medical Center Washington University Wayne State University Yale University Lehigh University 403914 409249 404116 408582 Page Under the State of Tennessee in th Clearinghouse Under the State of Tennessee in th Clearinghouse Under the State of TX in the Clearinghouse RLW Findings related to lack of Under the State of internal controls on TX in the Disaster Grants None Clearinghouse related to Purdue funding Under the State of Findings related to Student TX in the Fin Asst Cluster Clearinghouse Under the State of Finding related to Student TX in the Fin Asst Cluster Clearinghouse Under the State of Washington in the RLW Clearinghouse Findings related to TRIO- Under the State of Support Services Nothing Wisconsin in the related to Purdue funding Clearinghouse RLW RLW RLW Findings related to Student Fin Asst Cluster RLW RLW Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue 06/02/17 03/27/17 9/20/2017 9/6/2017 N N N 01/19/17 11/09/17 02/17/17 8/23/2017 9/6/2017 9/6/2017 Y N 02/07/17 8/23/2017 Y Y Y N N N 03/29/17 03/31/17 02/28/17 04/27/17 04/27/17 8/23/2017 9/14/2017 9/6/2017 Expended less than $500,00 in fed dollars RLW Findings related to internal control and Student Fin Asst cluster only RLW RLW Finding related to untimely implementation of E-Verify Numerous findings related to internal controls, Student Fin Asst Cluster Those with questioned costs did not have funding RLW RLW 03/10/17 9/6/2017 Finding related to Student Fin Asst Cluster 03/30/17 09/30/16 06/02/17 9/6/2017 9/6/2017 RLW RLW 03/06/17 9/20/2017 03/31/17 11/30/17 05/03/17 04/28/17 8/23/2017 9/6/2017 RLW Numerous findings related to internal controls, Student Fin Asst Cluster No questioned costs with the findings and no reference to funding from RLW Animated Dynamics LLC Ball State University 416450 400475 N Y FY2016 FY2016 6/30/2016 Y N N Central State University Bowling Green State University Bryn Mawr College 416772 400605 414953 Y Y Y FY2016 FY2016 FY2016 6/30/2016 5/31/2016 Y Y Y Carnegie-Mellon University 400706 Y FY2016 6/30/2016 Chicago State University Cincinnati Childrens Hospital Med Ctr Dartmouth College Decisive Analytics Corporation Deer Run Associates 416771 409814 407232 416551 420891 Y Y Y N N FY2016 Oct-16 FY2016 FY2016 FY2016 FY2016 6/30/2016 6/30/2016 6/30/2016 DePaul University Exelis Inc Florida Atlantic University Florida Institute of Technology Foxfire Interactive Corp 421723 417140 413050 421633 419282 Y N Y Y N FY2016 FY2016 FY2016 FY2016 FY2016 6/30/2016 George Mason University 407201 Y 2/8/2017 FY2016 6/30/2016 Howard University Harding University Ibm In Space, Llc 404711 422364 401762 408387 Y Y N N FY2016 FY 2015 & 2016 FY2016 FY2016 Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings FOR PROFIT FOR PROFIT FOR PROFIT Y N Y Y N N FOR PROFIT FOR PROFIT 6/30/2016 Y Y Y N Y N Based upon prior invoicing history with the University FOR PROFIT FOR PROFIT Page Under State of VA in Clearinghouse Subrecipient Information Subrecipient Name Indiana State University Mathematica Policy Research Pre-Award Information Sponsor Code 401945 419022 Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Y N FY2016 FY2016 Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue 6/30/2016 Y N FOR PROFIT Iowa State University Ixchel Scientific Inc 402061 421361 Y N FY2016 FY2016 6/30/2016 Y Jackson State University 412784 Y 3/31/2017 FY2016 6/30/2016 Y N Johns Hopkins University Applied Physics Kingston Bay Group LLC Near Space Launch Lockheed Martin Corp 406931 422510 422720 407366 Y N N N FY 2016 FY2016 FY2016 FY2016 6/30/2016 Y N N FOR PROFIT FOR PROFIT FOR PROFIT FOR PROFIT Marine Biological Laboratory 402380 Y FY2016 Y Organic Seed Alliance 418011 N FY2016 Princeton University 403107 Y FY2016 6/30/2016 Y Michigan State University 402503 Y FY2016 6/30/2016 Y Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings N 03/22/17 06/06/17 9/6/2017 03/30/17 05/09/17 9/12/2017 03/31/17 9/12/2017 03/29/17 05/03/17 06/13/17 04/27/17 7/20/2017 04/27/17 8/24/2017 06/13/17 9/20/2017 N 03/28/17 9/6/2017 N 03/07/17 9/6/2017 N Page 10 Non-profit Finding related to Student Fin Asst Cluster and lack of internal control over disbursement to students RLW Under State of Iowa in Clearinghouse Under State of MS in Clearinghouse RLW Findings related to Exceeding NIH Salary Cap & Subrecipient Monitoring but none related to Purdue funding Finding related to failure to obtain certifications from vendors on debarment & suspension No questioned costs Expended less than $500,000 in Fed Funding Finding related to untimely equipment and real property management There were no questioned costs Finding related to not retaining evidence that a search for suspension and debarment occurred prior to doing business with a vendor No questioned Finding related to Student Fin Asst Cluster No questioned costs Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Mississippi State University 402541 Y 3/31/2017 FY2016 Multimedia Research New York Wired for Education 419283 420449 N N FY2016 FY2016 North Dakota State University Northeastern University Ohio State University Ohio University Oklahoma State University PU/IUPUI Intercampus Applied Res Pro Research Triangle Edu Consult Research Triangle Institute 405456 402844 402901 409488 402903 411491 414965 403204 Y Y Y Y Y Y N Y FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 FY2016 Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue 6/30/2016 Y Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings N N 03/31/17 9/12/2017 05/02/17 9/20/2017 RLW Expended less than $500,000 in Fed Funding 8/31/2017 9/6/2017 9/6/2017 9/6/2017 9/6/2017 Finding related to weakness in only reviewing vendor list for debarred & suspended annually Questioned costs are RLW RLW RLW RLW Under State of MS in Clearinghouse FOR PROFIT 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 Y Y Y Y Y Y N N N N N 03/30/17 12/14/16 12/27/16 01/05/17 11/30/16 N FOR PROFIT 9/30/2016 Y N 03/22/17 05/19/17 02/14/17 8/23/2017 RLW 9/6/2017 RLW Univ of North Carolina Greensboro Rosalind Franklin University 410501 417546 Y Y 4/6/2017 FY2016 FY2016 6/30/2016 6/30/2016 Y Y N N 03/28/17 12/12/16 9/20/2017 9/6/2017 RLW RLW South Dakota School of Mines 417971 Y 3/31/2017 FY2016 6/30/2016 Y N 05/03/17 9/14/2017 RLW South Dakota State University Sterling Performance Inc Taylor University 404712 421670 403594 Y N Y 3/31/2017 FY2016 FY2016 FY2016 6/30/2016 Y N 9/14/2017 RLW 5/31/2016 Y N 05/02/17 04/28/17 10/21/16 9/6/2017 RLW Texas A&M AgriLife Research 412463 Y FY2016 8/31/2016 Y N 03/22/17 9/6/2017 Texas A&M University 403635 Y FY2016 8/31/2016 Y N 03/22/17 9/6/2017 RLW Finding related to Student Fin Asst Cluster Texas Engineering Experiment Station 408880 Y FY2016 8/31/2016 Y N 03/22/17 9/6/2017 RLW FOR PROFIT Page 11 Under State of North Dakota in the Clearninghouse Under IUPUI which is under IU A-133 audit Included in State of NC in clearinghouse Under State of S Dakota report Under State of S Dakota report Under State of TX in Clearinghouse Under State of TX in Clearinghouse Under State of TX in Clearinghouse Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings The Catholic University Of America 408958 Y FY2016 4/30/2016 Y N 01/31/17 The City College of NY Trine University 413001 416590 N Y FY2016 FY2016 6/30/2016 4/30/2016 Y N N 04/28/17 08/12/16 Tuskegee University 403722 Y FY2016 Y N 02/24/17 Finding related to no evidence of search for suspended or debarred vendors - no questioned costs Finding related to 9/6/2017 Student Fin Asst Cluster RLW (per submitted 10/11/2017 certification) 9/6/2017 RLW Findings related to Cash Mgmt., Student Fin Aid Cluster, Contract not containing required prevailing wage rate clause, Subrecipient Monitoring and F&A calculation No findings were related to 8/24/2017 funding from Purdue Univ Of California (Santa Barbara) 406807 Y FY2016 6/30/2016 Y N 03/07/17 8/30/2017 RLW University Of North Dakota 409894 Y FY2016 6/30/016 Y N 03/30/17 8/31/2017 RLW University Of Alaska 403816 Y 11/3/2016 FY2016 6/30/2016 Y N 03/31/17 9/14/2017 RLW University of AR at Pine Bluff 414015 Y 2/13/2017 FY2016 6/30/2016 Y N 03/21/17 9/20/2017 RLW University Of Arkansas 403819 Y FY2016 6/30/2017 Y N 03/21/17 9/20/2017 RLW Page 12 Included in State of California audit in clearinghouse Included in State of North Dakota audit in clearinghouse but couldn't find any findings Included in State of Alaska audit in clearinghouse Under State of Arkansas in Clearinghouse Included in State of Arkansas in clearinghouse Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings University Of Chicago 403824 Y FY2016 6/30/2016 Y N 03/29/17 9/7/2017 University Of Connecticut 403828 Y FY2016 6/30/2016 Y N 03/30/17 9/8/2017 University Of Dayton University Of Evansville 403829 403833 Y Y FY2016 FY2016 6/30/2016 5/31/2016 Y Y N N 11/13/16 10/19/16 9/8/2017 9/8/2017 University Of Houston 408805 Y 8/31/2016 FY2016 8/31/2016 Y N 03/22/17 9/14/2017 University Of Illinois 403839 Y FY2016 Y N 02/27/17 8/23/2017 University Of Kansas 403842 Y FY2016 6/30/2016 Y N 03/29/17 9/14/2017 University Of Maryland University Of Massachusetts Wake Forest University University of New Haven 403846 403848 421321 420933 Y Y Y Y Mar-17 FY2016 FY2016 FY2016 FY2016 6/30/2016 6/30/2016 6/30/2016 6/30/2016 Y Y Y Y N N N N 03/30/17 01/13/17 01/11/17 03/29/17 9/14/2017 9/6/2017 9/6/2017 9/6/2017 University Of North Carolina-Charlotte 407954 Y 12/2/2016 FY2016 6/30/2016 Y N 03/28/17 9/14/2017 University Of North Texas Wright State University Boise State University 403859 404107 411467 Y Y Y 2/1/2017 FY2016 FY2016 FY2016 8/31/2016 6/30/2016 6/30/2016 Y Y Y N N N 03/22/17 01/18/17 11/12/16 9/14/2017 9/6/2017 9/6/2017 Page 13 Finding includes Student Fin Asst Program and Inaccurate SF-425 Fin Rpt no questioned costs Findings included Period of Performance, Reporting and Student Fin Asst Cluster No findings related to funds from Purdue Finding related to Student Fin Asst Cluster RLW Findings related to Student Under State of TX Fin Asst Cluster Not audit in related to funding from clearinghouse Numerous findings, most related to internal controls (not following policies/procedures but only two with questioned costs and no Purdue funding was involved Under State of Kansas in RLW Clearinhouse Findings related to Student Under State of Fin Asst Cluster Not Maryland in related to funding from Clearinghouse RLW RLW RLW Under State of N Carolina in RLW Clearinghouse Findings related to Student Under State of Fin Asst Cluster Not Texas in related to funding from Clearinghouse RLW RLW Subrecipient Information Subrecipient Name University Of South Carolina Drake University University Of Texas At El Paso Field Diagnostics University Of Utah Friendly Giant Marketing LLC Pre-Award Information Sponsor Code 403869 414570 403880 408617 403884 420569 Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Y Y Y N Y N FY2016 FY2016 2/28/2017 FY2016 Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue 6/30/2016 6/30/2016 8/31/2016 Y Y Y N N 11/23/16 11/10/16 N FOR PROFIT FY2016 6/30/2016 Y Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings N FOR PROFIT 03/22/17 06/06/17 01/09/17 06/06/17 9/6/2017 9/6/2017 9/14/2017 RLW RLW Findings related to Student Fin Asst Cluster Not related to funding from 9/21/2017 Findings include inaccurate annual performance report, incorrect Under the State of classification of eligibility Utah in the and indirect costs Clearinghouse improperly charged, all under the TRIO Program Georgia Institute Of Technology 401522 Y FY2016 6/30/2016 Y N 03/22/17 9/21/2017 RLW University Of Wisconsin-Whitewater 406034 Y FY2016 6/30/2016 Y N 03/31/17 9/20/2017 RLW Utah State University Ivy Tech Community College NW 403904 414893 Y N FY2016 FY2016 6/30/2016 6/30/2016 Y Y N N 01/09/17 04/27/17 9/20/2017 9/20/2017 RLW RLW Page 14 Under State of Texas in Clearinghouse Under the State of Georgia in Clearinghouse Under the State of WI in the Clearinghouse Under the State of Utah in the Clearinghouse Subrecipient Information Subrecipient Name Villanova University Vincennes University Virginia Tech Pre-Award Information Sponsor Code 419923 403940 404201 Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Y Y Y FY2016 FY2016 FY2016 Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue 5/31/2016 6/30/2016 6/30/2016 Y Y Y N N N Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings Numerous findings related to Stud Fin Aid Cluster; nonpayroll expend not having supporting documentation; payroll exp w/o supporting documentation; transfer of costs not following UG guidance - $11,161 of quest costs on various CFDA #s; expend being incurred outside period of perf $678 of quest costs; Fed Fin Report not being submitted timely; ineffective procedures for Subrecipient Monitoring; No findings were related to Purdue funding 02/28/17 9/6/2017 03/24/17 9/6/2017 RLW 03/06/17 9/6/2017 RLW Kansas State University 402144 Y FY2016 6/30/2017 Y N 03/29/17 9/20/2017 Washington State University 403987 Y FY2016 6/30/2017 Y N 03/30/17 9/20/2017 St Joseph College West Virginia University 403489 405599 Y Y FY2016 FY2016 5/31/2016 6/30/2016 Y Y N N 12/26/16 02/22/17 9/6/2017 9/6/2017 University Of California - San Diego 407412 Y FY2016 6/30/2017 Y N 03/07/17 7/20/2017 Page 15 RLW Under the State of Kansas in the Clearinghouse Under the State of WA in the Clearinghouse RLW Finding related to Student Fin Asst Cluster - $6,000 questioned costs but not related to Purdue funding RLW Various findings including Student Fin Asst Cluster; IT Privileged Access; Under the State of Equipment Inventory; Cash California in the Mgmt - timing of draws; Clearinghouse Key Personnel monitoring None related to Purdue Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue University Of Missouri 403851 Y FY2016 6/30/2016 Y N Western Michigan University 405628 Y FY2016 6/30/2016 Y N Cummins Inc College of Charleston Fraunhofer Gold Square, LLC IITA Nigeria Illiana Watermelon Association Infinera Corporation Inst de Tech Alimentaire Senegal 107118 Inst Nacional de Investig Forestale 105813 Johns Hopkins School Of Medicine Local Growers Guild Louisiana State University Metriks Amerique Michigan Fitness Foundation Morgan State University 408758 419233 421871 423521 414026 409864 417465 417284 416834 402101 421722 405183 422953 421110 415970 N Y N N N N N N N Y N Y N N Y FY2016 6/30/2016 Y Y N 6/30/2016 Y 03/08/17 9/8/2017 02/03/17 9/8/2017 RLW Findings related to Student Fin Asst Program; 11/07/16 9/8/2017 RLW 7/20/2017 Findings related to Exceeding NIH Salary Cap & Subrecipient Monitoring but none related to Purdue funding Under the State of Missouri System in Clearinghouse FOR PROFIT and 6/2017 - large amount Contract language should include "Due to large of cost share commitment for cost sharing, ($891,248) the high risk financial language needs to be included in NON-FDP UG Cost Reimbursement Subaward" FOREIGN FOR PROFIT FOREIGN Non-Profit FOR PROFIT FOREIGN FOREIGN FY2016 Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings N 06/23/17 08/03/17 03/29/17 Agriculture Co-Op FY 2016 Y N 03/22/17 9/20/2017 RLW 09/07/17 9/20/2017 No findings per certification Finding related to lack of controls in place to retain supporting documentation for payroll expense Not related to Purdue funding Under State of Louisiana in Clearinghouse For Profit FY2016 FY 2016 6/30/2016 6/30/2016 Y Y N N Page 16 03/30/17 9/14/2017 Under State of Maryland in Clearinhouse Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings Natnl Crops Resources Res Inst 421214 N FY2016 6/30/2016 Y N 07/18/17 9/20/2017 New Mexico State University 402798 Y FY2016 6/30/2016 Y N 01/19/17 9/8/2017 North Carolina A & T University Northrop Grumman Corporation Raytheon Rochester Institute Of Technology 406792 402850 403179 407998 Y N N Y FY 2016 FY2016 6/30/2016 Y N Rutgers, The State University Sage Road Analytics Sokoine University of Agriculture United Technologies Research Center 406124 418450 416820 403795 Y N N N FY2016 6/30/2016 Y N Univ of District of Columbia 418766 N FY2016 Univ of TX Health Sc Ctr-Houston Universidad de los Llanos 107353 University of Aberdeen University of Agricultural Sciences 105252 University Of Delaware University of Eldoret 107118 417264 421215 415672 414006 403831 419543 Y N N N Y N 6/30/2016 Y N FOR PROFIT FOR PROFIT FOR PROFIT FOREIGN FOREIGN FY2016 6/30/2016 8/31/2016 Y Y N N 03/28/17 9/20/2017 08/03/17 01/04/17 9/8/2017 03/30/17 09/01/17 9/21/2017 08/03/17 9/20/2017 No findings per certification -RLW Finding related to Fin Student Aid Cluster RLW RLW Findings related to Fin Statements reported in accordance with Govt Auditing Stds.; Student Fin Asst Cluster; Equipment being omitted during inventory; lack of policy Under the State of related to sole source NJ in the procurement and Clearinghouse verification of debarment or suspended; incorrect FB & F&A are calculated and not reconciled timely; Subrecipient Monitoring weakness in passing on info to subrecipients No No findings per certification - RLW 03/22/17 9/21/2017 RLW 03/28/17 9/8/2017 RLW FOREIGN FOREIGN FOREIGN FY2016 6/30/2016 Y N FOREIGN Page 17 Under State of North Carolina in Clearinghouse Under the State of TX in the Clearinghouse Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement University of Nebraska at Kearney University of Oxford 423306 418770 Y N FY2016 University Of Pennsylvania University of Sao Paulo University Of Southern Indiana 403861 417870 403872 Y N Y FY2016 University of Twente 421442 N 403886 403913 417567 404006 417682 Y Y N N N 107501 University Of Virginia Valparaiso University WACCI University of Ghana, Legon Weizmann Institute ZeroUI, Inc Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue 6/30/2016 Y Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings N 02/20/17 Under University of Nebraska at Lincoln in the 9/20/2017 RLW Clearinghouse We have last years audit (2014-2015) Findings related to cost transfers & lack of clearly documented audit trail (no questioned costs); equipment management (no questioned costs); subrecipient monitoring no PI approval on two invoices (no questioned costs); procurement - lack of documentation to support POs (no questioned costs) One finding under cost transfers had the same CFDA # as 9/8/2017 Purdue funding but not the 03/21/17 9/8/2017 06/02/17 9/20/2017 03/06/17 11/08/16 9/8/2017 9/8/2017 02/02/17 FOREIGN 6/30/2016 Y N FOREIGN FY2016 6/30/2016 Y N N FY2016 FY2016 6/30/2016 6/30/2016 Y Y FOREIGN N N FOREIGN FOREIGN FOR PROFIT Page 18 07/20/17 08/25/17 RLW Expended less than $500,00 in fed dollars Findings include Improve myVRS Navigator reconcilliation and Included in the confirmation, Improve Security awareness training Commonwealth of VA audit in the program and Improve and clearinghouse Comply with Sole Source Policies and Procedures No funding from Purdue involved RLW Subrecipient Information Subrecipient Name Zunyi Medical College 107339 American Chemical Society Bangladesh Agricultural University 107824 Cimmyt, Int Cooperative Univ College of Kenya 107118 Fatima Jinnah Medical College 104688 Inst Senegalais de Recherches Agricoles 107118 Kwame Nkrumah Univ of Sci & Tech 102851 Missouri University of Sci & Tech Orbitec Technologies Corp SRA International Inc Univ of Engr & Tech Lahore-Pakistan 104688 Vision Robotics Corporation Peloton Technologies Peterbilt Paladin Associates Company LTD ZF TRW Pre-Award Information Sponsor Code 421194 N 400191 422485 405434 421781 414781 421940 414018 N N N N N N N 406392 415422 418294 415250 417495 Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Y N N N N N N N N Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings FOREIGN FY2016 12/31/2016 N N 07/18/17 FOREIGN FOREIGN FOREIGN FOREIGN FOREIGN FOREIGN FY2016 6/30/2016 Y 07/18/17 03/08/17 Y Y Foreign sub and lack of prior experience with the sub Y FOR PROFIT and lack of experience and cost sharing commitment Y Page 19 Expended less than $500,00 in fed dollars 07/18/17 N FOR PROFIT FOR PROFIT FOREIGN FOR PROFIT FOR PROFIT and lack of experience and large cost sharing commitment FOR PROFIT and lack of experience and large cost sharing commitment 9/20/2017 08/29/17 Mark as high risk and include all high risk language from the non-FDP subaward form Mark as high risk and include all high risk language from the non-FDP subaward form This subaward is high risk due to the lack of relationship with the sponsor and international status Mark as high risk and include all high risk language from the non-FDP subaward form Also clearly define the cost sharing obligation in the subaward 8/30/2017 RLW Under the State of Missouri System in Clearinghouse Subrecipient Information Subrecipient Name Pre-Award Information Sponsor Code Single Audit Information End date for Single Audit received or of Report in Fed Audit If no, date of Clearinghouse or other Part of Federal last entity type of audit or Clearinghouse? profile financial statement Prior High Risk Information Does Subrec Previously Current Receive identified as audit valid direct Fed high risk by thru date Funds? Purdue Noble Research Institute N Y National Security Technologies, LLC N Y Fort Environmental Laboratories Charles Stark Draper Laboratory N N Y N Page 20 Review of Audit/Fin Rpt Information Filed date in Fed Solution to mitigate identified Clearinghouse high risk (ex Contract or date Notes from Review of language; request invoice Certification Date reviewed findings / verification of no Reason for high risk back-up, etc.) received by RAC findings Lack of prior experience with the sub Sub is a nonprofit institute Lack of prior experience with the sub Sub is an LLC For Profit Non-Profit Mark as high risk and include all high risk language from the non-FDP subaward form Mark as high risk and include all high risk language from the non-FDP subaward form Not considered high risk as company is established, not suspended/debarred and receives federal funds