Survey on Internal Audit Evaluation

Creating a survey form to evaluate an internal audit process involves gathering feedback on various aspects of the audit to improve its effectiveness and

efficiency. Here are the steps to design an effective survey form:

Step 1: Define Objectives

1. Purpose: Determine why you are conducting the survey (e.g., to improve audit quality, assess auditor performance, identify areas for

improvement).

Step 2: Identify Key Areas for Evaluation

1. Audit Planning: Preparation and communication before the audit.

2. Audit Execution: Conduct and thoroughness during the audit.

3. Audit Reporting: Clarity, timeliness, and usefulness of the audit report.

4. Follow-Up: Actions taken post-audit to address findings and recommendations.

5. Overall Satisfaction: General feedback on the audit process and experience.

Step 3: Develop Survey Questions

Create questions for each key area. Use a mix of closed-ended (e.g., Likert scale) and open-ended questions.

Sample Survey Questions Audit Planning

1. How satisfied are you with the communication and planning before the audit began?

o Very Satisfied o Satisfied o Neutral o Dissatisfied o Very Dissatisfied

2. Were the objectives and scope of the audit clearly communicated to you?

o Yes o No

Audit Execution 3. How would you rate the professionalism and conduct of the audit team?

 Excellent

 Good

 Average

 Poor

 Very Poor

4. Were the auditors thorough in their examination of relevant areas?

o Strongly Agree o Agree

o Neutral o Disagree

o Strongly Disagree

Audit Reporting 5. How clear and understandable was the audit report?

 Very Clear

 Clear

 Neutral

 Unclear

 Very Unclear

6. Did the audit report provide actionable recommendations?

o Yes o No

Follow-Up 7. How timely was the follow-up on audit findings and recommendations?

 Very Timely

 Timely

 Neutral

 Delayed

 Very Delayed

8. Were the follow-up actions effective in addressing the audit findings?

o Strongly Agree o Agree

o Neutral o Disagree

o Strongly Disagree

Overall Satisfaction 9. Overall, how satisfied are you with the internal audit process?

 Very Satisfied

 Satisfied

 Neutral

 Dissatisfied

 Very Dissatisfied

10.Do you have any additional comments or suggestions for improving the internal audit process?

Step 4: Design the Survey Form

1. Format: Use an online survey tool (e.g., SurveyMonkey, Google Forms) for ease of distribution and analysis.

2. Anonymity: Ensure respondents that their feedback will be anonymous to encourage honest responses.

3. Instructions: Provide clear instructions at the beginning of the survey.

Step 5: Distribute the Survey

1. Audience: Send the survey to individuals who participated in or were affected by the internal audit.

2. Timing: Distribute the survey soon after the audit is completed to ensure fresh and accurate feedback.

Step 6: Analyze and Act on Feedback

1. Analyze: Review the survey responses to identify trends, strengths, and areas for improvement.

2. Action Plan: Develop an action plan to address any identified issues and improve the internal audit process.

Example Survey Form Template

Internal Audit Process Evaluation Survey

Introduction: Thank you for participating in our internal audit process. Your feedback is valuable and will help us improve our audit practices. Please take a few minutes to complete this survey.

Audit Planning:

1. How satisfied are you with the communication and planning before the audit began?

o Very Satisfied o Satisfied o Neutral o Dissatisfied

o Very Dissatisfied

2. Were the objectives and scope of the audit clearly communicated to you?

o Yes o No

Audit Execution: 3. How would you rate the professionalism and conduct of the audit team?

 Excellent

 Good

 Average

 Poor

 Very Poor

4. Were the auditors thorough in their examination of relevant areas?

o Strongly Agree o Agree

o Neutral o Disagree

o Strongly Disagree

Audit Reporting: 5. How clear and understandable was the audit report?

 Very Clear

 Clear

 Neutral

 Unclear

 Very Unclear

6. Did the audit report provide actionable recommendations?

o Yes o No

Follow-Up: 7. How timely was the follow-up on audit findings and recommendations?

 Very Timely

 Timely

 Neutral

 Delayed

 Very Delayed

8. Were the follow-up actions effective in addressing the audit findings?

o Strongly Agree o Agree

o Neutral o Disagree

o Strongly Disagree

Overall Satisfaction: 9. Overall, how satisfied are you with the internal audit process?

 Very Satisfied

 Satisfied

 Neutral

 Dissatisfied

 Very Dissatisfied

10.Do you have any additional comments or suggestions for improving the internal audit process?

[Text Box for Comments]

Feel free to customize the questions and format based on your specific needs and the context of your organization.

Creating a survey form to evaluate an auditor involves gathering feedback on various aspects of the auditor's performance, such as professionalism,

communication, thoroughness, and the effectiveness of their work. Here’s a step-by-step guide:

Step 1: Define Objectives

1. Purpose: Determine why you are conducting the survey (e.g., to improve auditor performance, provide constructive feedback, assess strengths and areas for improvement).

Step 2: Identify Key Areas for Evaluation

1. Professionalism: Behavior, attitude, and appearance.

2. Communication: Clarity, timeliness, and effectiveness of communication.

3. Thoroughness: Attention to detail and completeness of the audit.

4. Knowledge and Expertise: Understanding of relevant laws, regulations, and industry standards.

5. Objectivity and Independence: Unbiased and impartial judgment.

6. Efficiency: Timeliness and adherence to schedules.

7. Recommendations and Reporting: Quality and usefulness of findings and recommendations.

Step 3: Develop Survey Questions

Create questions for each key area. Use a mix of closed-ended (e.g., Likert scale) and open-ended questions.

Sample Survey Questions Professionalism

1. How would you rate the auditor’s professionalism during the audit?

o Very Professional o Professional o Neutral

o Unprofessional o Very Unprofessional

2. Did the auditor demonstrate a positive attitude throughout the audit process?

o Strongly Agree o Agree

o Neutral

o Disagree

o Strongly Disagree

Communication 3. How clear and effective was the auditor’s communication with you?

 Very Clear and Effective

 Clear and Effective

 Neutral

 Unclear and Ineffective

 Very Unclear and Ineffective

4. Did the auditor keep you informed about the audit process and any findings in a timely manner?

o Yes o No

Thoroughness 5. How thorough was the auditor in examining relevant areas?

 Extremely Thorough

 Thorough

 Neutral

 Not Thorough

 Very Not Thorough

6. Did the auditor miss any significant areas that should have been examined?

o No

o Yes (please specify)

Knowledge and Expertise 7. How would you rate the auditor’s knowledge and expertise in the relevant areas?

 Excellent

 Good

 Average

 Poor

 Very Poor

8. Did the auditor demonstrate a good understanding of relevant laws, regulations, and industry standards?

o Strongly Agree o Agree

o Neutral o Disagree

o Strongly Disagree

Objectivity and Independence 9. Did the auditor demonstrate objectivity and independence throughout the audit?

 Strongly Agree

 Agree

 Neutral

 Disagree

 Strongly Disagree

Efficiency 10. Was the audit completed within the agreed timeframe? - Yes - No 11.How would you rate the auditor’s efficiency in conducting the audit?

o Very Efficient o Efficient o Neutral o Inefficient o Very Inefficient

Recommendations and Reporting 12. How clear and actionable were the auditor’s recommendations? - Very Clear and Actionable - Clear and Actionable - Neutral - Unclear and Not Actionable - Very Unclear and Not Actionable

13.How satisfied are you with the quality of the auditor’s final report?

o Very Satisfied o Satisfied o Neutral o Dissatisfied o Very Dissatisfied

Overall Satisfaction 14. Overall, how satisfied are you with the auditor’s performance? - Very Satisfied - Satisfied - Neutral - Dissatisfied - Very Dissatisfied

15.Do you have any additional comments or suggestions for the auditor?

Step 4: Design the Survey Form

1. Format: Use an online survey tool (e.g., SurveyMonkey, Google Forms) for ease of distribution and analysis.

2. Anonymity: Ensure respondents that their feedback will be anonymous to encourage honest responses.

3. Instructions: Provide clear instructions at the beginning of the survey.

Step 5: Distribute the Survey

1. Audience: Send the survey to individuals who interacted with or were affected by the auditor’s work.

2. Timing: Distribute the survey soon after the audit is completed to ensure fresh and accurate feedback.

Step 6: Analyze and Act on Feedback

1. Analyze: Review the survey responses to identify trends, strengths, and areas for improvement.

2. Action Plan: Develop an action plan to address any identified issues and enhance auditor performance.

Example Survey Form Template Auditor Evaluation Survey

Introduction: Thank you for providing feedback on the auditor’s performance.

Your input is valuable and will help us improve our audit practices. Please take a few minutes to complete this survey.

Professionalism:

1. How would you rate the auditor’s professionalism during the audit?

o Very Professional o Professional o Neutral

o Unprofessional o Very Unprofessional

2. Did the auditor demonstrate a positive attitude throughout the audit process?

o Strongly Agree o Agree

o Neutral o Disagree

o Strongly Disagree

Communication: 3. How clear and effective was the auditor’s communication with you?

 Very Clear and Effective

 Clear and Effective

 Neutral

 Unclear and Ineffective

 Very Unclear and Ineffective

4. Did the auditor keep you informed about the audit process and any findings in a timely manner?

o Yes o No

Thoroughness: 5. How thorough was the auditor in examining relevant areas?

 Extremely Thorough

 Thorough

 Neutral

 Not Thorough

 Very Not Thorough

6. Did the auditor miss any significant areas that should have been examined?

o No

o Yes (please specify)

Knowledge and Expertise: 7. How would you rate the auditor’s knowledge and expertise in the relevant areas?

 Excellent

 Good

 Average

 Poor

 Very Poor

8. Did the auditor demonstrate a good understanding of relevant laws, regulations, and industry standards?

o Strongly Agree o Agree

o Neutral o Disagree

o Strongly Disagree

Objectivity and Independence: 9. Did the auditor demonstrate objectivity and independence throughout the audit?

 Strongly Agree

 Agree

 Neutral

 Disagree

 Strongly Disagree

Efficiency: 10. Was the audit completed within the agreed timeframe? - [ ] Yes - [ ] No

11.How would you rate the auditor’s efficiency in conducting the audit?

o Very Efficient o Efficient o Neutral o Inefficient o Very Inefficient

Recommendations and Reporting: 12. How clear and actionable were the auditor’s recommendations? - [ ] Very Clear and Actionable - [ ] Clear and Actionable - [ ] Neutral - [ ] Unclear and Not Actionable - [ ] Very Unclear and Not Actionable

13.How satisfied are you with the quality of the auditor’s final report?

o Very Satisfied o Satisfied o Neutral o Dissatisfied o Very Dissatisfied

Overall Satisfaction: 14. Overall, how satisfied are you with the auditor’s performance? - [ ] Very Satisfied - [ ] Satisfied - [ ] Neutral - [ ] Dissatisfied - [ ] Very Dissatisfied

15.Do you have any additional comments or suggestions for the auditor?

[Text Box for Comments]

Feel free to customize the questions and format based on your specific needs and the context of your organization.