Operational Audit Program Template - Editable Free PDF

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Operational audit program template

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Use this template with Lumiform

The Lumiform application helps frontline teams uphold internal standards effortlessly.

Customize this template or build your own
Fill out templates via mobile app
Assign and track corrective actions
Get reports and analyse your data

Prices start from ░░░ per month

Book a demo

Learn more

Transform how you conduct internal audits with this operational audit program template. Unlike basic checklists, it provides a comprehensive structure for documenting audit scope, risk assessments, control evaluations, and department-specific insights. You can systematically evaluate organizational processes, identify improvement opportunities, and track corrective actions through completion.

When department heads disagree on process ownership, this template creates clarity by mapping responsibilities and control points. Operational audits are valuable because they help identify inefficiencies, with studies showing they can reduce operational costs by up to 25% through process optimization. The template’s department-specific sections ensure findings are directed to the right teams with clear timelines for resolution.

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Preview of the template

Entity

Page 1

General Information

Company Name

Audit Date

Audit Scope

Audit Team Members

Organizational Structure

Is the organizational structure clearly defined?

Are roles and responsibilities documented for each position?

Is there appropriate segregation of duties?

Are there any conflicts of interest identified?

Comments

Policies and Procedures

Are all critical policies and procedures documented?

Are they regularly reviewed and updated?

Are they easily accessible to all employees?

Comments

Risk Management

Are key risks identified and assessed regularly?

Are appropriate controls in place to mitigate risks?

Is there a business continuity/disaster recovery plan?

Comments

Internal Controls

Are appropriate controls in place for critical processes?

Are controls regularly tested and monitored?

Are there any control weaknesses identified?

Comments

Financial Management

Are financial records accurately maintained?

Are appropriate controls in place for financial transactions?

Are financial reports reviewed regularly?

Comments

Human Resources

Are HR policies and procedures documented?

Are employees properly trained and developed?

Are there any HR-related compliance issues?

Comments

Information Technology

Are IT policies and procedures documented?

Are appropriate security controls in place?

Are data backups and recovery procedures in place?

Comments

Regulatory Compliance

Are all relevant laws and regulations identified?

Are appropriate controls in place to ensure compliance?

Are there any compliance issues identified?

Comments

Audit Findings and Recommendations

Summary of Key Audit Findings

Recommendations for Improvement

Proposed Corrective Actions

Responsible Parties and Timelines

Frequently asked questions

How do I customize the operational audit program template for my specific industry

Start by identifying the key operational areas unique to your industry, then modify the department-specific sections accordingly. Add industry-specific compliance requirements, adjust risk assessment criteria to reflect your sector’s challenges, and incorporate relevant performance metrics that matter most to your business operations.

How often should I conduct operational audits using this template?

The frequency depends on your organization’s needs, but quarterly audits for high-risk areas and semi-annual or annual reviews for stable processes are common approaches. Consider conducting focused audits after significant operational changes, when performance issues arise, or when implementing new systems to ensure optimal adoption.

How can I ensure follow-up actions from the operational audit are implemented?

Use the template’s action tracking section to assign specific responsibilities with deadlines. Schedule regular review meetings to discuss progress, document completed actions, and address any implementation challenges. Consider implementing a scoring system to measure improvement between audit cycles.

This template, developed by Lumiform employees, serves as a starting point for businesses using the Lumiform platform and is intended as a hypothetical example only. It does not replace professional advice. Companies should consult qualified professionals to assess the suitability and legality of using this template in their specific workplace or jurisdiction. Lumiform is not liable for any errors or omissions in this template or for any actions taken based on its content.