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IAS eNews

BDA HOT TOPIC: Quality Systems for Building Departments
(Part Two in a Special Series)

An Introduction to Internal Quality Audits

INTRODUCTION
In part one of this series, readers were provided with information about the origin and definition of Quality Management Systems and how these systems can be used by building departments as a tool to improve the quality of the services they provide. In this article (part two of the series), readers will learn about the purpose, necessary pieces and application of a successful Internal Quality Audit.

Internal Quality Audits are a vital ingredient in the quality management system mix. The International Accreditation Service (IAS) Accreditation Criteria for Building Department/Code Enforcement Agencies (AC251) defines Internal Quality Audits as: internal studies to identify the extent to which documented procedures are followed and the effectiveness of current processes.

Most applicants to the IAS Building Department Accreditation program are familiar with internal financial audits that concentrate on the department’s fiscal matters. One reason internal financial audits have been put in place is to ensure that governmental departments act as good stewards of the public tax dollars with which they have been entrusted. But internal audits are not just about finances. Internal audits can focus on a variety of concerns within a building department. As the name implies, Internal Quality Audits focus on procedures and processes that have been put in place by the building department to control the quality of services it provides.

WHAT IS AN INTERNAL QUALITY AUDIT AND WHY IS IT SO IMPORTANT?
Internal Quality Audits focus on the quality system that has been put in place to ensure code enforcement quality. Such audits are one of the tools used to gauge how well the department’s quality system is working. What is especially important to note is that Internal Quality Audits are directly concerned with the quality of the process and only indirectly with the quality of department services.

Internal Quality Audits are important because even the best quality system can not be effective if it is not being followed. On the other hand, even if the entire department is onboard with the quality system and following each policy and procedure religiously, the system offers no benefits if the policies or procedures being executed are fundamentally flawed.

Two essential purposes of an Internal Quality Audit are to uncover such flaws in the quality system, and to determine whether the department’s staff is actually operating in accordance with its documented quality system.

HOW IS AN INTERNAL QUALITY AUDIT CONDUCTED?
An Internal Quality Audit takes a look at the way the department actually operates on a day-to-day basis and matches up those real-world operations with what the quality system documentation (policies, procedures, etc.) describes. The audit is carried out through document reviews, interviews and observations. The auditor notes any disconnects that he or she finds. Each finding is evaluated as either “minor” or “major” and included as such in the audit report. Each finding (also called a “nonconformance”) will be documented in the official report.

The audit summary and report of findings should be presented to key staff so that corrective actions and a timetable for implementation may be agreed upon. The auditor should then follow up, according to the timetable provided, to ensure that corrective actions have been taken and that they have effectively eliminated any nonconformity.

Internal auditors must be qualified to conduct this important assignment. They may have attended classroom training, or been trained by another qualified auditor on staff, or have completed a self-study course. The method of training may vary as long as the auditor’s training has been adequately documented.

In addition, people who conduct internal audits must not examine their own job functions. The purpose of this rule is to prevent any potential conflicts of interest. For example, if a building department has a quality manager who normally carries out most of the department’s audits, he or she should not be the one who conducts the internal audit of the department’s quality system.

Every part of the quality system needs to be audited at least once a year. The system can be audited all at once or broken up into segments to be audited at regular intervals so that the whole system is examined at least once a year.

After the audit (or at the conclusion of an audit cycle, if broken up into segments), the audit report should be submitted for review by the department’s management team. This “management review” of the audit findings will provide a basis for improvements to the existing quality system.

CONCLUSION
In summary, Internal Quality Audits provide feedback on the effectiveness of the existing quality system, bring about quality awareness, help to decrease the potential for service failures and create opportunities for improvement.

For more information on internal audits, see the “Five Key Steps to Successful Internal Quality Audits,” coming in the next edition of IAS eNews.

To learn more about quality management systems or other topics, visit the IAS newsroom online to view articles and back issues of IAS eNews. For information on the IAS Building Department Accreditation program, please visit our website.