QC Checklist by CgnH1v

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									                                                                                               Research Management Quality Control List - Final 1/10/11



                           QUALITY CONTROL RESPONSIBILITIES AND AUDIT CHECKLIST - Final 1/11/11


                                                                   QC Team Spot Audit:
                                                                                                                                                  QC Team /
                                 Original Point of                                                                                                 Analytics
                                                               50% of Prior Month's Activity                                     Post-GA          Team: TBD
                                      Entry:                                                                QC Team
                                                                      JIT                                                       Interface
                                                       Proposal Submissio Awards             Renewals     Award Receipt        Fund Setup Exception
     Summary Page:                                   Submissions      ns      Activated     Activated     Audit: 100%*         Audit: 100% Report?
 1   Submit Date                        Pre               u           u
 2   Deadline Date                      Pre               u           u
 3   Onsite or Offsite                  Pre               u           u
 4   Conflict of Interest               Pre               u           u
 5   Cost Sharing                       Pre               u           u
 6   Title                              Pre               u           u                                                                u
 7   Short Title                        Pre               u           u                                                                u
 8   Associated Dept (Chief Code)       Pre               u           u                                                                u
 9   Date Received                      Pre               u           u
10   Pre-Award Manager                  Pre               u           u                                                                u
11   Post-Award Manager                 Pre               u           u                                                                u
12   Department Manager                 Pre               u           u
13   Insititution                       Pre               u           u                                                                u
14   Cancer Related                     Pre               u           u
15   Radiation                          Pre               u           u
16   Biohazard                          Pre               u           u
17   rDNA                               Pre               u           u
18   Human Subjects                     Pre               u           u
19   Animals                            Pre               u           u
20   FFATA Reporting                   Post                                       u
     Sponsor Page:
 1   Instrument Type                    Pre               u           u
 2   Immediate Sponsor                  Pre               u           u                        u                uNew                   u
     Origininating Sponsor (if
 3   applicable)                        Pre               u           u                        u                uNew                   u
 4   Immediate Sponsor Type             Pre               u           u                        u                uNew                   u
     Originating Sponsor Type (if
 5   applicable)                        Pre               u           u                        u                uNew                   u
 6   Fund Code (auto defaults)          Pre               u           u                        u                uNew                   u
 7   Activity Type                      Pre               u           u
 8   Sub-Activity Type                  Pre               u           u
     Peoplesoft Activity Type
 9   Code (auto defaults)               Pre               u           u                                         uNew                   u
10   Account Cycle                      Pre               u           u                                                                u
11   Rate Type                          Pre               u           u                                                                u
12   RM Billable                  Sub Team / Post                                 u                                                    u                  u
                                   Pre @ JIT; QC
                                  Team @ Award
13   Reference Award No.              Receipt                         u                                         uNew                   u
14   CFDA No.                        QC Team                                                                    uNew                   u
15   Document ID No.                 QC Team                                                                    uNew                   u
     Budget Summary:
 1   Project Period Dates               Pre               u           u
 2   Year 1 Budget Detail:              Pre               u           u
 3   Year 1 F&A Rate & Base             Pre               u           u
 4   YR 1 Key Personnel & Effort        Pre                           u
 5   Subcontractor names                Pre               u           u
     Sub Risk Assessment, if
 6   applicable                         Pre               u           u
                                                                                               Research Management Quality Control List - Final 1/10/11



                                                                   QC Team Spot Audit:                                             QC Team /
                                                                                                                          Post-GA   Analytics
                                 Original Point of                                                          QC Team
                                                               50% of Prior Month's Activity                             Interface Team: TBD
                                      Entry:                                                              Award Receipt Fund Setup Exception
                                                       Proposal       JIT      Awards        Renewals
   Award Summary:                                    Submissions Submissio Activated        Activated     Audit: 100%* Audit: 100% Report?
 1 Project Period Dates                Post                                       u                                                    u
 2 Year 1 Budget                       Post                                       u
 3 Year 1 F&A Rate & Base                                                         u
   Future Year Committed
 4 Budgets                             Post                                       u            u
   Current Renewal Year
 5 Budget                                                                                      u
   Current Renewal Year F&A
 6 Rate & Base                                                                                 u
   Cumulative Awarded
 7 Budgets                             Post                                                    u
   Key Personnel & Committed
 8 Effort                              Post                                       u            u
 9 Award Period Status                 Post                                       u            u                                       u
   Sub Risk Assessment, if
10 applicable                          Post                                       u            u
   Approvals (if applicable):
 1 Human Subjects                   Pre / Post            u           u           u            u
 2 Animals (for MGH only)           Pre / Post            u           u           u            u
   Location:
 1 Location                             Pre               u           u                                                                u
   Deliverables:
 1 Progress Reports                    Post                                       u                          uRenewals
 2 Financial Reports                   Post                                       u
 3 Final Invoice                       Post                                       u
 4 Invention Report                    Post                                       u
 5 Other                               Post                                       u            u
   Attachments,
   incl Naming Conventions :                                                                                                                              u
 1 Proposal                             Pre               u           u
 2 Proposal Guidelines                  Pre               u           u
   Partners Coversheet/PI
 3 Assurance for Renewals               Pre               u           u                                      uRenewals
 4 Conflict of Interest Forms           Pre               u           u                                      uRenewals
 5 Budget Template                      Pre               u           u
   Cost Share Form, if
 6 applicable                           Pre               u           u
 7 JIT Package, if applicable           Pre                           u
   IRB Approval for non-
 8 Partners IRB, if applicable      Pre / Post            u           u           u            u
   IACUC Approval for BWH, if
 9 applicable                       Pre / Post            u           u           u            u
10 Progress Report                     Pre                                                                   uRenewals


                                    QC Team;
11 Notice of Award               Sub Team if sub;                                 u            u                uNew
12 Revised Award Backup                                                                                       uRevised
   Status History:
 1 Pending Sponsor, for Proposals      Pre                u           u
 2 FEAA, for Awards                    Post                                       u                                                    u
   * Records that receive a new award and did not go through a Proposal or JIT spot audit would require the
   same QC as indicated under JIT;

								
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