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Report of Audit Findings

  1. Preliminary Report of Audit Findings
    Based on the Research Financial Compliance Audit, a preliminary report is sent to the principal investigator and s/he is given 30 days to review for accuracy
  2. Violations
    Major billing financial violations, or substantive systematic deficiencies are reported immediately to the Associate Dean of Clinical Research Planning and Administration

Final Report of Audit Findings

  1. A final audit summary is provided to the principal investigator, with copies to:
    • Associate Dean of Clinical Research Planning and Administration
    • Vice President for Research Finance
    • Director of Research Compliance
    • Compliance Integrity/Privacy Officer
    • It includes:
      1. Comments on audit procedure and the findings
      2. Description of deficiencies or violations
      3. Recommendations for corrective action plan, including correcting billing errors
  2. The researcher is given 21 days to respond with a corrective action plan
  3. When the corrective action plan is accepted and implemented and no outstanding items remain
    • A letter of acknowledgement is sent to the PI and the audit is officially closed
    • The financial compliance summary form is completed and attached to the file