RATING YOUR INTERNAL AUDIT PROGRAMME

Rate your internal audit progarmme against the 10 most common

problems using a 5 point scale from 1- 5; where 1 = Not done at all and 5 =
Consistently Done Well.

# Problem Description Rating

between 1
-5
1 Linking with KPI’s and quality
THE 10 MOST COMMON
PROBLEMS
measurement.

2 Priorities for auditing the right things

THAT IMPACT ON
3 Internal audit tools don’t align with
Policy and Procedure.

4 Lack of Independence.

5 Lack of depth for the audit sample. RESULTS

6 Sample sizes and techniques.

7 Identifying Corrective Actions and

closing them out.
FROM POOR INTERNAL
8 Re-auditing when identified (adding to
the schedule).
AUDITING
9

10
No adjustments to new goals/strategy.

Lack of understanding of assessing

(OCTOBER 2014)
skills and methods.

ADD UP YOUR TOTAL SCORE

Total Score Action Plan

Score Recommendation
Internal audits done poorly result in wasted time
< 30 Take action NOW to review and update your and potentially compliance, risk, or quality issues.
approach

31 - 40 Next opportunity to review your audit

programme for “doing the right things right”

41 - 50 Well done – aim for continual alignment of

internal audits to goals and objectives
My very next action is to:
______________________________________________________
Introduction: Quality and risk management systems include Common Problem #6) Sample sizes and techniques. Internal
internal audits to assess compliance against policy, procedures, audits require clear guidelines on how to complete the audit tool.
systems and processes. The aim is to identify gaps between what This should include the required sample size i.e.: how many client
is expected versus what is actually occurring so that quality files to review when completing a documentation audit and
improvements occur. From our experience of reviewing many techniques required when undertaking the audit; i.e.: observation,
quality systems and implementation of internal audit programmes documentation review, staff interview. Key skills include how to
we have identified the ten most common problems with determine sample sizes and having audit tools provide that
internal auditing. direction so that the resulting report shows evidence of the
sample.
Common Problem #1) Linking with KPI’s and quality
Common Problem #7) Identifying Corrective Actions and
measurement. Quality plans often identify and link to internal
closing them out. Many audits are completed as per the
auditing as part of the monitoring process. Key performance
schedule and this becomes routine. Often areas of non-compliance
indicators are often established for internal audit results, however
are identified and then what happens may be unclear. Many
results of internal audits are often never compared with the KPI’s
internal audit tools do not have an area for follow-on such as a
or reviewed as part of the annual quality review.
corrective action table (or equivalent) that identifies the areas
needing action and an area to sign these out when completed.
Common Problem #2) Priorities for auditing the right
things. Annual Audit plans or schedules shouldn’t remain
Common Problem #8) Re-auditing when identified (adding
stagnant. Are 30 - 40 internal audits necessary or is a smaller
to the schedule). Often an internal audit that has achieved a low
scope with greater depth that covers key areas of service delivery
compliance is required to be re-audited and this needs to be
more effective? It is important that the internal audits support the
followed through.
organisation’s purpose/direction.
Common Problem #9) No adjustments to new
Common Problem #3) Internal audit tools don’t align with
goals/strategy. Audit plans should be reviewed to determine
Policy and Procedure. Many times you will see audit tools being
whether they are achieving your current goals or objectives. Also,
developed that assess areas such as medication management and
that current practices are changed when identified through audits.
documentation requirements. However the criterion being
Audit tools should also be reviewed to determine their relevance,
measured in the audit tools do not always align with documented
effectiveness and whether they achieve their purpose.
procedure.
Common Problem #10) Lack of understanding of assessing
Common Problem #4) Lack of Independence. Using an
skills and methods. Internal auditing requires an understanding
example from aged care, one often sees the cook completing an
of knowledge and skills to be effective. Auditors should be trained
internal audit on the kitchen and the registered nurse completing
so that you know they are completing the audit schedule
an internal audit on care plans. However, internal audits should be
correctively.
completed by independent staff wherever possible.

Conclusion: I’m sure that you or your organisation has considered

Common Problem #5) Lack of depth for the audit sample.
many of those listed above. Wouldn’t it be great to address those
Many audit tools developed are basic, generally lacking in scope or
10 most common problems and anymore obstacles or concerns
depth. Some tools consistently get a 100% result when completed
that you may have about internal auditing and learn to implement
and often this perfect result is due to an audit tool that lacks depth
an effective and time-efficient internal auditing programme in your
rather than the service being perfect. If you find that your audit
organisation that achieves its purpose?
results are consistently perfect or 100%, maybe the scope of the
tool needs to be reviewed. Or perhaps this area of the service
isn’t really a priority for audit. Internal audit tools should be
aiming for a high standard of service delivery. Turn over to rate your internal audit programme