HIC: Auditing Wishlist

[szwells]

What kind of audit data do those persons currently in HIC dataset manager roles;

• need to see,
• want to see,
• would like to see (iapw), &c.

e.g.

• If you could ask any question about dataset usage, what would it be?

The following checklist is used for an internal project audit in HIC (based on data in pmsystem).

• Ethics required?
• Doc on PM?
• Project description on PM?
• Caldicott required?
• Doc on PM?
• R&D required?
• Doc on PM?
• Other docs on PM?
• HIC data end date
• Project marked as completed?
• Data archived?
• Data compliance info completed?
• Date of last data release
• Docs dated before data released?
• Docs saved that are mentioned in other docs?
• SOP signed? Version?
• SOP signed info on compliance page completed?
• Data release info completed?
• Data receiver(s) mentioned elsewhere?
• DH comments
• AB comments

From external Auditor's Report:

• Enable large sample of projects to be audited
• Visibility/Access? to internal QC audits
• Access to PM system
• Demonstrate robustness of procedures, e.g. by reference to challenges from events
• Timeline: data releases versus permissions granted
• Disallow acceptance/entry of documents into PM system without date or version no. -- NB. same level of completeness will apply to OMERO/HIC
• Complete record of reciept into custody of identifiable data
• Where conditional approval pertains, e.g. from an ethics committee, there should be a mechanism to enable applicable elements of that to be tracked and adhered to or else flagged
• Flag up dates, e.g. if a trial has not started or finished on time

[adjudson]

added internal audit checklist