Internal Audit - Effectiveness Questionnaire

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* 1. Audit Title (optional):

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* 2. Audit Scope

	Excellent	Above Average	Average	Below Average	Poor
Did Internal Audit solicit feedback from you and your staff during the entrance conference to ensure your concerns were adequately addressed during the audit?	Did Internal Audit solicit feedback from you and your staff during the entrance conference to ensure your concerns were adequately addressed during the audit? Excellent	Did Internal Audit solicit feedback from you and your staff during the entrance conference to ensure your concerns were adequately addressed during the audit? Above Average	Did Internal Audit solicit feedback from you and your staff during the entrance conference to ensure your concerns were adequately addressed during the audit? Average	Did Internal Audit solicit feedback from you and your staff during the entrance conference to ensure your concerns were adequately addressed during the audit? Below Average	Did Internal Audit solicit feedback from you and your staff during the entrance conference to ensure your concerns were adequately addressed during the audit? Poor
Did you receive written/verbal notification of the overall audit scope and objectives during the initial phase of the audit? Were the audit objectives and audit process clearly communicated?	Did you receive written/verbal notification of the overall audit scope and objectives during the initial phase of the audit? Were the audit objectives and audit process clearly communicated? Excellent	Did you receive written/verbal notification of the overall audit scope and objectives during the initial phase of the audit? Were the audit objectives and audit process clearly communicated? Above Average	Did you receive written/verbal notification of the overall audit scope and objectives during the initial phase of the audit? Were the audit objectives and audit process clearly communicated? Average	Did you receive written/verbal notification of the overall audit scope and objectives during the initial phase of the audit? Were the audit objectives and audit process clearly communicated? Below Average	Did you receive written/verbal notification of the overall audit scope and objectives during the initial phase of the audit? Were the audit objectives and audit process clearly communicated? Poor
Do you feel that the scope of the audit – i.e., the processes, activities, period of coverage, etc. - was sufficient and key risk areas were covered?	Do you feel that the scope of the audit – i.e., the processes, activities, period of coverage, etc. - was sufficient and key risk areas were covered? Excellent	Do you feel that the scope of the audit – i.e., the processes, activities, period of coverage, etc. - was sufficient and key risk areas were covered? Above Average	Do you feel that the scope of the audit – i.e., the processes, activities, period of coverage, etc. - was sufficient and key risk areas were covered? Average	Do you feel that the scope of the audit – i.e., the processes, activities, period of coverage, etc. - was sufficient and key risk areas were covered? Below Average	Do you feel that the scope of the audit – i.e., the processes, activities, period of coverage, etc. - was sufficient and key risk areas were covered? Poor

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* 3. Knowledge and Professionalism

	Excellent	Above Average	Average	Below Average	Poor
Did the auditor(s) demonstrate a reasonable understanding of the area under review?	Did the auditor(s) demonstrate a reasonable understanding of the area under review? Excellent	Did the auditor(s) demonstrate a reasonable understanding of the area under review? Above Average	Did the auditor(s) demonstrate a reasonable understanding of the area under review? Average	Did the auditor(s) demonstrate a reasonable understanding of the area under review? Below Average	Did the auditor(s) demonstrate a reasonable understanding of the area under review? Poor
Did the auditor(s) appear fair, reasonable and objective in providing assessments – i.e., not judgmental or argumentative – and offer quality feedback?	Did the auditor(s) appear fair, reasonable and objective in providing assessments – i.e., not judgmental or argumentative – and offer quality feedback? Excellent	Did the auditor(s) appear fair, reasonable and objective in providing assessments – i.e., not judgmental or argumentative – and offer quality feedback? Above Average	Did the auditor(s) appear fair, reasonable and objective in providing assessments – i.e., not judgmental or argumentative – and offer quality feedback? Average	Did the auditor(s) appear fair, reasonable and objective in providing assessments – i.e., not judgmental or argumentative – and offer quality feedback? Below Average	Did the auditor(s) appear fair, reasonable and objective in providing assessments – i.e., not judgmental or argumentative – and offer quality feedback? Poor
Did the auditor(s) take actions to minimize the impact on your daily operations - e.g., provide meeting agendas, coordinate mutually agreeable meeting times, and start and finish meetings on time?	Did the auditor(s) take actions to minimize the impact on your daily operations - e.g., provide meeting agendas, coordinate mutually agreeable meeting times, and start and finish meetings on time? Excellent	Did the auditor(s) take actions to minimize the impact on your daily operations - e.g., provide meeting agendas, coordinate mutually agreeable meeting times, and start and finish meetings on time? Above Average	Did the auditor(s) take actions to minimize the impact on your daily operations - e.g., provide meeting agendas, coordinate mutually agreeable meeting times, and start and finish meetings on time? Average	Did the auditor(s) take actions to minimize the impact on your daily operations - e.g., provide meeting agendas, coordinate mutually agreeable meeting times, and start and finish meetings on time? Below Average	Did the auditor(s) take actions to minimize the impact on your daily operations - e.g., provide meeting agendas, coordinate mutually agreeable meeting times, and start and finish meetings on time? Poor
Was the audit conducted in an efficient manner?	Was the audit conducted in an efficient manner? Excellent	Was the audit conducted in an efficient manner? Above Average	Was the audit conducted in an efficient manner? Average	Was the audit conducted in an efficient manner? Below Average	Was the audit conducted in an efficient manner? Poor
Did the audit team demonstrate courtesy, professionalism, and a constructive and positive approach?	Did the audit team demonstrate courtesy, professionalism, and a constructive and positive approach? Excellent	Did the audit team demonstrate courtesy, professionalism, and a constructive and positive approach? Above Average	Did the audit team demonstrate courtesy, professionalism, and a constructive and positive approach? Average	Did the audit team demonstrate courtesy, professionalism, and a constructive and positive approach? Below Average	Did the audit team demonstrate courtesy, professionalism, and a constructive and positive approach? Poor

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* 4. Audit Communication and Reporting

	Excellent	Above Average	Average	Below Average	Poor
Were audit observations communicated fairly, clearly, accurately, and in a timely manner during the course of the audit?	Were audit observations communicated fairly, clearly, accurately, and in a timely manner during the course of the audit? Excellent	Were audit observations communicated fairly, clearly, accurately, and in a timely manner during the course of the audit? Above Average	Were audit observations communicated fairly, clearly, accurately, and in a timely manner during the course of the audit? Average	Were audit observations communicated fairly, clearly, accurately, and in a timely manner during the course of the audit? Below Average	Were audit observations communicated fairly, clearly, accurately, and in a timely manner during the course of the audit? Poor
Were your concerns adequately addressed and differences of opinions, if any, resolved before the final audit results were communicated?	Were your concerns adequately addressed and differences of opinions, if any, resolved before the final audit results were communicated? Excellent	Were your concerns adequately addressed and differences of opinions, if any, resolved before the final audit results were communicated? Above Average	Were your concerns adequately addressed and differences of opinions, if any, resolved before the final audit results were communicated? Average	Were your concerns adequately addressed and differences of opinions, if any, resolved before the final audit results were communicated? Below Average	Were your concerns adequately addressed and differences of opinions, if any, resolved before the final audit results were communicated? Poor
Was the content of the audit report communicated clearly, fairly and accurately and the report issued in a timely manner?	Was the content of the audit report communicated clearly, fairly and accurately and the report issued in a timely manner? Excellent	Was the content of the audit report communicated clearly, fairly and accurately and the report issued in a timely manner? Above Average	Was the content of the audit report communicated clearly, fairly and accurately and the report issued in a timely manner? Average	Was the content of the audit report communicated clearly, fairly and accurately and the report issued in a timely manner? Below Average	Was the content of the audit report communicated clearly, fairly and accurately and the report issued in a timely manner? Poor

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* 5. General

	Excellent	Above Average	Average	Below Average	Poor
Did the results of the audit add value to your department?	Did the results of the audit add value to your department? Excellent	Did the results of the audit add value to your department? Above Average	Did the results of the audit add value to your department? Average	Did the results of the audit add value to your department? Below Average	Did the results of the audit add value to your department? Poor

Comments: If any of the above questions were rated lower than average, please provide comments outlining your concerns that pertain to the specific evaluation criterion.

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* 6. Audit Scope:

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* 7. Knowledge and Professionalism:

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* 8. Audit Communication and Reporting:

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* 9. Other:

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* 10. General: