Management Controls Survey

The Scientific Directors are responsible for conducting the intramural self-assessment of management controls.

The Intramural Self-Assessment Questionnaire

The Office of Intramural Research designed a self-assessment questionnaire form to be filled out by each Scientific Director every year. The self-assessment form is a comprehensive method by which the Scientific Directors identify potential problems and report to the Office of Intramural Research. It also provides a useful tool for follow-up and correction of any recognized problem. As problems emerge and are identified, these issues can be incorporated into future editions of the intramural self-assessment management controls questionnaire.

For additional information regarding the survey and your IC's results, please contact Karen Nemes in OIR.

Background

The Federal Managers’ Financial Integrity Act of 1982 (31 U.S.C. 3512), implemented through OMB Circular A-123, Management Accountability and Control, requires that managers take systematic and proactive measures to:

• Assess the adequacy of management controls in programs and operations;
• Identify needed improvements;
• Take corresponding corrective action; and
• Report annually on management controls.

NIH Implementation Responsibilities

The NIH Office of Management Assessment (OMA) is responsible for administering NIH’s Management Control Program. OMA provides oversight for all NIH components as well as assistance in developing and reviewing management controls.

The Deputy Director for Intramural Research (DDIR) is responsible for:

• Initiating the Management Review process with the Scientific Directors;
• Evaluating and compiling the results of each IC’s self-assessment in a summary report to OMA;
• Assuring that the IC reporting offices are effectively carrying out their responsibility for intramural management controls; and
• Updating the policy for intramural assessment.

The following topics are covered in the questionnaire:

• Program and Project Planning/Management
  • Protection of Human Subjects and Standards for Clinical Research
  • Rules Covering Involvement of Intramural Scientists and Use of Intramural Facilities in NIH-Funded Extramural Projects
  • Board of Scientific Counselor Reviews
  • Animal Care and Use
  • Scientific Misconduct
  • Administrative Procedures
• Health and Safety of Intramural Personnel
• Recruitment, Appointment, Retention and Evaluation of Scientific and Technical Personnel
  • Tenure Track
  • Evaluation of Scientific and Technical Personnel
• Conflict of Interest
• Technology Transfer