What are the best practices for conducting a program quality assurance audit?

1 Define the scope and purpose of the audit

Before conducting a program quality assurance audit, it is important to define the scope and purpose of the audit clearly and communicate them to the relevant stakeholders. The scope of the audit should specify what aspects of the program will be audited, such as the program design, implementation, monitoring, evaluation, reporting, or governance. The purpose of the audit should state the objectives and expected outcomes of the audit, such as verifying compliance, assessing quality, identifying gaps, or providing recommendations.

2 Plan and prepare the audit

The next step is to plan and prepare the audit, which involves selecting the audit team, developing the audit criteria, designing the audit methodology, and scheduling the audit activities. The audit team should consist of qualified and experienced auditors who have the necessary skills, knowledge, and independence to conduct the audit. The audit criteria should be based on the relevant standards, guidelines, and best practices that apply to the program. The audit methodology should outline the audit tools, techniques, and procedures that will be used to collect and analyze the audit evidence. The audit schedule should allocate sufficient time and resources for the audit tasks and coordinate with the program staff and stakeholders.

3 Conduct the audit

The third step is to conduct the audit, which involves executing the audit plan, collecting and documenting the audit evidence, and evaluating the audit findings. The audit team should follow the audit methodology and adhere to the audit principles of professionalism, integrity, objectivity, confidentiality, and competence. The audit evidence should be sufficient, reliable, relevant, and verifiable to support the audit conclusions. The audit findings should be based on the comparison of the audit evidence and the audit criteria and should identify any non-conformities, deficiencies, or best practices.

4 Report and follow up the audit

The final step is to report and follow up the audit, which involves preparing and presenting the audit report, communicating and discussing the audit results, and implementing and monitoring the audit recommendations. The audit report should summarize the audit scope, purpose, methodology, findings, conclusions, and recommendations in a clear, concise, and accurate manner. The audit results should be communicated and discussed with the program staff and stakeholders in a constructive and respectful way and should solicit their feedback and agreement. The audit recommendations should be prioritized, actionable, and realistic and should be implemented and monitored by the program staff and stakeholders to ensure continuous improvement and accountability.

5 Here’s what else to consider

This is a space to share examples, stories, or insights that don’t fit into any of the previous sections. What else would you like to add?