Human Research Protection Program

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What to Do During an Audit

During the audit

  • Verify credentials of auditor.
  • If federal audit, request to see “notice to inspect."
  • Provide adequate space for auditor(s) to conduct inspection.
  • Ensure the availability of equipment requested by auditor, if applicable.
  • Identify the key point person and ensure that the key point person is available during the audit to address the auditor’s question/concern or find requested documentation.
  • Answer all questions honestly. If you do not know, don’t guess, indicate you will find the answer and provide the information to the auditor.
  • Supply all requested materials. Do not allow auditor to retrieve documents/materials.
  • Make copies of documents as requested by auditor. Make 2nd copy for the record of items provided to auditor.
  • Have Institutional Standard Operating Procedures and, if applicable, Department/Division/Center policies and procedures available.
  • Do not volunteer information.
  • Do not offer anything of significant value to the auditor.

Upon completion of the audit

  • Attend debriefing meeting with auditor(s) for summary and discussion of audit findings and identify what subsequent activities may be expected.
    • Attendees of debriefing meeting should minimally include principal investigator and senior study coordinator/research nurse manager.
    • Review audit findings during the debriefing meeting. In the event a documented deficiency was corrected during the audit, review your concern with the auditor and request deletion of the deficiency from the report.
  • Begin preparation of written response to audit findings.
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Page Updated 08/07/2014