ORO Checklists and Audit Tools - Office of Research Oversight
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ORO Checklists and Audit Tools

The Checklists below are tools produced by ORO to assist the VA research community (including investigators, administrators, and committee members and staff) in identifying and complying with current VA/VHA policies and procedures and other Federal requirements related to research.  Their internal use as a self-assessment instrument is not mandatory.  For example, VA research programs may choose to review or complete select checklists in preparation for an ORO site review, but unless otherwise directed by ORO, such checklist completion is not an expectation.  ORO will update these checklists as policies and other requirements are revised; therefore, periodic revisitation of this web page is advised, rather than relying on previously downloaded versions of the checklists which may become outdated over time.

The Research Compliance Officer (RCO) Audit Tools below are provided as examples; RCOs are not required to use these specific forms or format.  However, RCOs must audit, at a minimum, all the required information in the audit tools.

HRPP and RDC

Research and Development Committee (RDC) Checklist (July 2021)

Investigational Pharmacy Checklist (March 2015)

Memorandum of Understanding (MOU) Checklist (December 2020)

  • This checklist is a tool to help initiate an MOU with another institution for the use of the IRB and related research services.

VHA Directive 1200.05 Checklist (August 2021)


 Research Information Security


 Research Safety and Animal Welfare

VHA Handbook 1200.07 Checklist (August 2021)

VHA Directive 1200.08 Checklist (August 2021)


 Research Compliance and Technical Assistance

Research Compliance Officer (RCO) Checklist (July 2021)

2021-22 ORO Guidance for RCO Research Audit and Training Requirements

2021-22 Animal Welfare Audit Tool

2021-22 Informed Consent Audit Tool

2021-22 Research Safety Audit Tool

2021-22 HRPP Audit Tool


Research Misconduct

Research Misconduct Checklists</p

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