Downloadable Operational Audit Checklists

Streamline audits on your organization’s operations to ensure everything is well-accounted for with the help of operational audit checklists.

Operational Audit Checklist

Download and use this free operational audit checklist template to systematically assess and enhance the efficiency, effectiveness, and compliance of your organization’s day-to-day processes. Follow this structured framework encompassing key operational areas and best practices by doing the following:

1. Fill in basic details about your organization’s key operations, the audit’s objectives, and the expected deliverables once completed.
2. Audit each key aspect of your operations and mark Pass, Needs Attention, or Not Applicable.
3. Add notes and attach media documentation to provide further context on your findings.
4. Before completing the checklist report, include a summary of findings, recommendations, and an overall assessment.
5. After affixing digital signatures, export it into an operational audit checklist PDF, Excel, or Word file for recordkeeping and store it securely on the cloud.

What is an Operational Audit Checklist?

An operational audit checklist is a structured tool used to systematically evaluate various facets of an organization’s operational activities. It lists specific items, tasks, or criteria that auditors or evaluators follow to review processes, controls, and performance within the organization. With this checklist, organizations can identify areas for improvement, enhance efficiency, and comply with relevant standards, regulations, and best practices.

Why Use a Checklist for Operational Audits

Utilizing a checklist in the context of operational audits proves to be a strategic and effective approach, streamlining the evaluation process and ensuring a comprehensive assessment of an organization’s operational landscape. This is why it’s also important to create an audit plan to help establish the scope and objectives of such audits.

Apart from that, here are other reasons why incorporating a checklist is advantageous in the realm of operational audits:

Streamlined Evaluation Process

A checklist provides a structured framework for auditors, ensuring a systematic and thorough evaluation of various operational aspects. This structure allows auditors to follow a sequence, preventing oversight and enabling a more efficient identification of strengths and weaknesses in the organization’s operational procedures.

Enhanced Consistency and Standardization

Using checklists can also build a consistent process of auditing operations. It ensures that auditors assess the same aspects across different departments or periods, promoting fairness and reliability in the audit process. This standardization facilitates easier comparisons and trend analyses, leading to more informed decision-making by the management.

Compliance

Operational audit checklists also serve as a guide to verify that operational processes align with legal requirements and organizational standards. This not only helps mitigate regulatory risks but also provides a clear framework for implementing corrective actions and maintaining a culture of compliance within the organization.

In this sense, operational audit checklists can be used in high-risk and regulated industries, such as manufacturing, healthcare, and construction. For example, organizations in these sectors can follow Quality Management System (QMS) guidelines set by the International Organization for Standardization (ISO) and regulatory requirements mandated by the US Occupational Safety and Health Administration (OSHA).

What to Include in an Operational Audit Checklist

An operational audit checklist is a comprehensive tool designed to assess various dimensions of an organization’s operational processes. When creating such a checklist, consider including the following key components:

• Title Page — organization name, location, audit date, auditor name
• General Operational Procedures — overview, documentation and communication, training and competency
• Internal Controls — fraud prevention and asset safeguarding, financial controls
• Compliance and Legal Requirements — regulatory compliance, contractual agreements
• Risk Management — risk identification and assessment, reporting, and monitoring
• Technology and Information Security — IT systems and security, employee training
• Continuous Improvement — feedback mechanisms, implementation
• Completion Page — summary of findings, improvement recommendations or next steps, overall assessment, auditor sign-off

How to Create an Operational Audit Checklist

Crafting an effective operational audit checklist is a pivotal step in thoroughly examining an organization’s processes and controls. Follow these key considerations and steps to guide you in creating a comprehensive and tailored operational audit checklist:

1. Identify and prioritize the key operational areas critical to the organization’s success. Consider input from stakeholders, management, and industry best practices when determining which processes to include to ensure diverse audits.
2. Tailor the operational audit checklist to the unique characteristics and requirements of the organization. Make sure to incorporate feedback from key stakeholders to enhance the checklist’s relevance and effectiveness.
3. Integrate mechanisms for continuous improvement into the checklist. Include sections for collecting feedback, monitoring Key Performance Indicators (KPIs), and implementing corrective actions.
4. Regularly review and update the checklist to adapt to evolving organizational needs and changes in the operational environment.

How to Use an Operational Audit Checklist

Effectively utilizing an operational audit checklist helps organizations extract meaningful insights and improvements from the audit process. To use the checklist to its full potential, here are steps you can take:

1. Engage relevant stakeholders, including department heads and operational staff, to gather insights and input. Encourage open communication to ensure that the audit process considers the perspectives of those directly involved in the operational areas under examination.
2. Systematically document findings, observations, and evidence to support the assessment of operational processes.
3. Analyze the collected data to identify patterns, trends, and areas of strength or weakness. Interpret results in the context of organizational goals, industry benchmarks, and regulatory requirements.
4. Based on the audit findings, develop actionable and realistic improvement plans for identified weaknesses. Actively work with relevant stakeholders to implement corrective actions and enhancements and monitor the progress of these action plans.

Operational Audit Checklist Example

For small businesses, large enterprises, or anything in between, operational audit checklists serve as a straightforward tool to identify areas for improvement, strengthen controls, and foster a culture of ongoing enhancement within your operational landscape.

To give you an idea of what it looks like as a report, here’s a general example of a filled-out checklist after completing an operational audit:

FAQs About Operational Audit Checklists

Are operational audit checklists only for large organizations?

While large organizations may have more complex and extensive operational processes, smaller organizations can also benefit from using checklists to evaluate and enhance their operational efficiency. The scope and depth of the checklist can be adjusted to match the scale and specific needs of each organization, ensuring that the audit process is relevant and impactful regardless of size.

For example, small and medium-sized enterprises (SMEs) can leverage operational audit checklists to identify areas for improvement, strengthen internal controls, and ensure compliance with regulations, contributing to their overall effectiveness and sustainability.

Can operational audit checklists be used for continuous improvement?

Yes, operational audit checklists are valuable tools for fostering continuous improvement within an organization. By systematically assessing various aspects of operational processes, these checklists help identify areas for enhancement, efficiency gains, and opportunities for innovation. The findings from operational audits, facilitated by the checklist, can inform the development of action plans and strategies aimed at continuous improvement.

What is the difference between a management audit checklist and an operational audit checklist?

A management audit checklist typically emphasizes high-level organizational components, assessing leadership effectiveness, strategic planning, and governance structures. It often includes items related to leadership competency, strategic decision-making, and the establishment of overarching policies and procedures.

In contrast, an operational audit checklist zooms in on the day-to-day functions of an organization. It delves into specific operational areas such as financial processes, internal controls, risk management, and compliance with regulations.

While both checklists contribute to organizational improvement, they differ in terms of their scope. The management checklist tends to have a strategic and holistic perspective, while the operational checklist provides a more granular assessment of the organization’s functional aspects.

Conduct Efficient Operational Audits Using SafetyCulture

Why use SafetyCulture?

Improving and transforming an organization’s process of conducting operational audits can yield positive results for its scalability, sustainability, and even success. Irrespective of an organization’s size or industry, leveraging technology in operational audits not only modernizes the process but also positions organizations to adapt swiftly to evolving industry standards and regulatory requirements by maintaining operational excellence.

Solutions like SafetyCulture (formerly iAuditor), a workplace operations platform, offer a seamless integration of technology into the operational audit process. This not only streamlines the audit workflow but also enhances accuracy and efficiency. Apart from that, SafetyCulture enables organizations and auditors to do the following and more:

• Streamline the process of auditing key organizational operations toward efficiency and standardization using checklists and templates.
• Ensure timely completion of operational audits and inspections across sites by creating and setting schedules.
• Ensure a demonstrative audit of your organization’s operations by adding media evidence and supporting notes during inspections.
• Improve the process of documenting and reporting non-compliance and non-conformance by raising them as issues and creating corrective actions.
• Communicate the results of conducted operational audits to relevant stakeholders by generating reports in various formats, including PDF, Excel, Word, or Weblink, and store them on SafetyCulture’s secure cloud.
• Easily manage and gain an overview of operational performance metrics audited using the Analytics dashboard.
• Review risk management processes for company tools, systems, resources, and other assets as part of wider operational performance monitoring.
• Diversify data sources for operational insights by integrating other Business Intelligence (BI) tools your organization uses with SafetyCulture.
• Manage best-practice alignment on an organizational level on auditing operations by creating and deploying training programs.
• Share Standard Operating Procedures (SOPs) and updates on key operational auditing processes using the Heads Up feature.

Featured Operational Audit Checklists

Operational Process Audit Checklist

This operational process audit checklist can be used to internally audit operational processes (predominantly Clause 8 processes of ISO management systems). Indicate whether process documentation and training are available, and record any issues found during the audit.

Food Safety Operational Audit Form

Download this free operational audit form that you can use to record non-conformance and non-compliance on food safety procedures. Note whether product handling and environmental factors pose food safety threats, and describe your overall assessment.

Internal Audit Checklist

To complement your operational audits, use this internal audit checklist to make sure that the 4 basic stages of internal auditing are performed in any workplace: preparation, execution, reporting, and monitoring.

Patricia Guevara is a content writer and researcher for SafetyCulture. With her extensive content writing and copywriting experience, she creates high-quality content across a variety of relevant topics. She aims to promote workplace safety, operational excellence, and continuous improvement in her articles. She is passionate about communicating how technology can be used to streamline work processes, empowering companies to realize their business goals.

Explore more templates

Operational Process Audit Checklist

This operational process audit checklist can be used to internally audit operational processes (predominantly Clause 8 processes of ISO management systems). Indicate whether process documentation and training are available, and record any issues found during the audit.

Food Safety Operational Audit Form

Download this free operational audit form that you can use to record non-conformance and non-compliance on food safety procedures. Note whether product handling and environmental factors pose food safety threats, and describe your overall assessment.

Internal Audit Checklist

To complement your operational audits, use this internal audit checklist to make sure that the 4 basic stages of internal auditing are performed in any workplace: preparation, execution, reporting, and monitoring.