Self-audits

Self-audits are the third recertification requirement for optometrists and dispensing opticians. Continuing professional development (CPD) and CPR certification are the other requirements.

The self-audit process helps us to assess whether practitioners are competent to practise their professions. Self-audits review patient care against required standards, helping to ensure practitioners are working safely within their scope of practice. They also help practitioners to reflect on the way they work, and consider whether it’s necessary to make any improvements.

On this page: Random self-audit | CPD deficit self-audit | Targeted self-audit | Self-audit guidelines | Self-audit outcomes

Random self-audit

The ODOB randomly selects up to 15% of practising optometrists and dispensing opticians to complete a self-audit.

The selection process is designed so that all practitioners are audited within an 8-year period, but no single practitioner is reselected within four years of having successfully completed a previous random self-audit.

Self-audit questions relate to:

Practice related information
Practitioners are asked to provide demographical information about themselves and the type of practice they work in.
Practice systems
This helps ensure that there are policies and process in place for the continuity of care, and that follow-ups and recalls are appropriately actioned, even though this may not always be under the direct control of the practitioner.
Cultural and ethical practices
The purpose of this section is to ensure practitioners meet the cultural and ethical standards of the ODOB.
Clinical competence
Through record cards and cases, the practitioner is required to demonstrate the use of procedures and examination techniquedocumentation of findings, diagnostic skills, and the management of decisions, to safely meet the visual and ocular needs of patients.
Reflection statement
The practitioner is required to provide a reflective statement on anything they have learnt about the practice during the self-audit, and how they will incorporate any discoveries they’ve made.

CPD deficit self-audit

If at the end of a recertification cycle you have not met the CPD recertification requirements, you may be asked to complete a CPD deficit self-audit.

This is a non-randomly selected self-audit, designed to provide the ODOB’s Professional Standards Committee (PSC) with information about whether you are practising at the required standard of competence. The CPD deficit self-audit is similar in content to the random self-audit, but with additional questions on how the CPD deficit will be cleared.

You will receive a letter from the ODOB if you are required to complete a CPD deficit self-audit. Completing a CPD deficit self-audit does not remove the practitioner from selection for a random self-audit.

Targeted self-audit

Targeted self-audits can also be used as part of a competence process, or to evaluate a specific area of practise. They are generally be ordered by the Professional Standards Committee (PSC) if a notification or complaint is received by the ODOB, or if concerns are raised about your practise through the regular recertification processes.

Targeted self-audits are similar in content to a random self-audit, but may have additional questions or require additional tasks so that the PSC can determine if you are practising at the required standard of competence. Completing a targeted self-audit does not remove the practitioner from selection for a random self-audit.

Self-audit guidelines

Below are some guidelines for completing the random self-audits:

Optometrist self-audit guidelines

Dispensing optician self-audit guidelines

Self-audit outcomes

Typically, practitioners’ self-audit outcomes are as follows:

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OUTCOME	REASONING	ACTION
Pass	Meeting minimum safe standard No concerns or risk factors identified	No further action
Pass with comments	Meeting minimum safe standard Some minor concerns or risk factors identified	Advice or recommendations on areas of concern to improve standard
Further information required	Sections of SA not completed Case studies not adequate or specific type of cases required Further clarification on any section	Request further information from the practitioner
Non-pass, concerns but no immediate concern of harm	Not meeting minimum standard of safe practice Major concerns about meeting clinical, cultural, or ethical standards	Refer to the Professional Standards Committee (PSC) for further assessment
Non-pass, concern of harm	Not meeting minimum standard of safe practice Evidence or concern about risk of harm to public	Immediate notification to Registrar and ODOB

If a practitioner’s self-audit is incomplete or raises concerns, they may be asked for clarifications or to provide more information. The ODOB’s Professional Standards Committee (PSC) will then consider the information and make a final decision on whether any further steps are required.