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Operational audit program template

Operational audit program template

Document audit scope, risks, controls, and department-specific insights with this template. It’s designed to standardize internal audits across your team.

Use this template
or download pdf
Operational audit program template

Document audit scope, risks, controls, and department-specific insights with this template. It’s designed to standardize internal audits across your team.

Use this template
or download pdf

About the Operational audit program template

Tracking internal processes across departments isn’t always straightforward—especially when each team has their own way of doing things. An operational audit program template gives you and your team a clear structure for documenting findings, identifying gaps, and recording improvement areas in a consistent way.

It’s a go-to tool for streamlining how you conduct and report audits. With this ready-to-use template, you’ll save time setting up audit frameworks from scratch and make it easier to spot trends across multiple audits.

Key elements of the operational audit report template

The operational audit program template helps you organize internal reviews, making audits repeatable and easier to act on. Here are its essential components:

  • Organizational structure overview This section helps you map out the chain of command, clarify roles, and spot any overlaps or conflicts. You can use it to check if you’ve properly segregated duties and if everyone has clearly defined responsibilities..
  • Policies and procedures review: Capture how well your documented processes are working in practice. This part of the template aids you in evaluating if procedures are up-to-date and relevant and your team is actually following them.
  • Risk and control evaluation: You’ll want to assess key risks and see if the right controls are in place to manage them. A good template prompts you to track not just risks, but also how often they’re reviewed and how you’re responding.
  • Internal controls and compliance checks: Flag potential control weaknesses before they become real problems. This section lets you test critical processes, monitor controls, and keep tabs on compliance-related tasks.
  • Department-specific sections: Sections like finance, HR, and IT allow for targeted reviews. You can tailor findings to the teams responsible and assign follow-up tasks with clear timelines.

Best practices for using the operational audit program template

With this template, you can move beyond surface-level reviews and dig into how your business actually runs. The practices below will help you turn routine audits into practical insights.

First, use real examples when documenting risks or findings. Instead of vague statements like “lack of control over inventory,” be specific: “Stock discrepancies in warehouse B occurred three times in Q1 due to manual entry errors.”

Link audit items to measurable KPIs where possible. If you’re reviewing efficiency, tie findings to metrics like processing time, error rates, or delivery delays. This gives your audit clear benchmarks.

Conduct regular reviews, not just one-offs. Audits lose their impact if they’re treated as annual formalities. Set up a recurring schedule—monthly, quarterly, or per project phase—to keep insights fresh and catch issues early.

Streamline your audits with confidence

Download this template and make your audit process more consistent, actionable, and aligned across departments. You can assign roles, document key findings, and organize follow-ups. Use it as-is or tailor it to fit your internal processes—it’s flexible, clear, and built to support the way you already work.

Related categories

  • Operational excellence templates
  • Quality management templates
  • General templates
  • Leadership and management templates
  • Templates for business processes
Preview of the template
entity_item!!!
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

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Related resources

Access a complete set of resources aimed at maximizing safety, quality, and operational excellence, including detailed guides, related templates, and real-world use cases.

Topic guides

Read in-depth guides covering key topics related to this article.

Operational readiness: A mandatory guide for projects & business leadersOperational risk management: Best practices and toolsWhat is operational excellence and how can your business achieve it?
See all topic guides

Template collections

See comprehensive collections of best practice templates related to this topic.

5 best free operational audit checklistsTop 3 free operational risk management templatesTop 7 free operational readiness checklists
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Use cases

Check out how the Lumiform software can be utilized for related use cases.

Operational audit softwareOperational readiness softwareOperational risk management softwareAudit program software
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Other resources

Explore all the additional resources we offer to assist you in mastering this topic.

10 principles of operational excellence4 compliance audit key objectives5 Benefits of internal auditsHow to measure operational excellence

Frequently asked questions

Who should be involved in preparing an operational audit report?

Typically, the internal audit team leads the preparation, but collaboration is key. Involve department heads, process owners, and relevant managers who can provide operational insight and context. It’s also useful to include someone from compliance or risk management to validate internal controls.

How do you decide which departments to audit?

Look at areas first with high operational costs, recurring issues, or significant impact on business performance. You can also prioritize departments that haven’t been audited in a while or those undergoing changes, like a new system rollout. Risk-based criteria—like incident reports or customer complaints—can guide the decision too.

What are common mistakes during operational audits?

A few common mistakes include setting a vague audit scope, focusing too much on minor issues, or failing to follow up on past recommendations. Auditors sometimes overlook informal processes or undocumented workarounds, which can hide real inefficiencies. Another mistake is presenting findings without actionable next steps, which makes the report less impactful.


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.
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