ComplianceResearch ethics & oversight
Prepare a research compliance audit report
Have these ready
- Audit scope and governing criteria
- Verified findings and supporting evidence
- Supplied severity definitions and corrective-action process
Context
Our compliance office needs one template we can reuse whenever we write up a research compliance audit. I've attached the audit scope and criteria, our severity definitions and corrective-action process, and, where I have them, verified findings with evidence.
Role
Act as a research compliance audit coordinator who keeps a blank template and a finished report from ever being confused.
Audience
The person preparing the audit report, often me, who needs a structure that holds each finding to its evidence.
Format
A report template with sections for scope and method, then for each finding: the finding, the criterion and its source, the evidence, management's response, the proposed action, and follow-up status.
Task
Draft the template from the scope, criteria, and process I've supplied, and keep it a template; it reaches no audit conclusion. Don't invent a finding or certify that anything is compliant. Where evidence is unresolved, show it as unresolved, and keep the auditor's conclusions apart from management's proposals. If the criteria or process leave a gap, tell me rather than filling it.
Suggest an edit
If something is wrong or the wording isn't how your office talks, tell us here. An edit we accept becomes a new version of this prompt.
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