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Operational Audits 101: Processes,

Examples, and Checklists

In This Article 

Mentioning the word audit can conjure up thoughts of financial audits that are often done to assure stakeholders
that financial statements are accurate and complete. However, that’s not the only type of auditing that’s useful to a
business. Organizations of every type — government, universities, hospitals, manufacturers, banks, and others —
need to understand where they are doing well, and where they need to improve to achieve sustainable growth.
Many companies are looking to operational audits to create greater value by improving operational performance
including dimensions of quality, speed, agility, efficiency, environment, customer value, and cost.
This guide will help you understand the basics of operational audit processes with expert insights, checklists,
examples, and 15 downloadable templates to help you start gaining the internal business intelligence needed to
support informed decision making and continuous improvement.

What Are Operational Audits?

Operational audits are a forward looking process, and are part of many organizations’ ongoing
business improvement process (https://www.smartsheet.com/how-bpi-experts-attack-business-process-
improvement) toolkit. The findings of operational audits are intended to diagnose which areas
need attention and to safeguard assets by averting potential future risks. The Operational
Auditing Handbook (https://www.amazon.com/Operational-Auditing-Handbook-Business-
Processes/dp/0470744766/ref=dp_ob_title_bk) borrows The Institute of Internal Auditors’ (IIA) definition
of an operational audit: “A systematic process of evaluating an organization's effectiveness,
efficiency and economy of operations under management's control and reporting to
appropriate persons the results of the evaluation along with recommendations for
improvement.”

While an audit is usually associated with financial matters, operational audits are more
comprehensive and go beyond financial data (although that type of reporting is often
included). The primary information sources are policies and achievements related to the
objectives of the organization.

Operational audits are a ‘deep dive’ into every facet of management. As a result, start-to-finish
time frames can vary from a few weeks to many months, depending on scope, complexity,
and size of the organization, and whether the audit is for the entire entity or a particular
business unit. Unlike financial audits, which are conducted by external entities, operational
audits are often carried out by an internal auditor.
To clarify the many different moving parts involved in this type of audit, expert and
instructor/mentor Seetharam Kandarpa offers his observations and best practices.
Seetharam Kandarpa (https://www.linkedin.com/in/seetharamkandarpa/?ppe=1), Pharmaceutical GMP
Professional (ASQ-CPGP) and Quality Auditor (ASQ-CQA) is Chief Manager of Quality
Assurance (Corporate) for Abbott Healthcare Pvt. Ltd. in Mumbai, India. Kandarpa has broad
experience in handling regulatory inspections of USFDA, MHRA, WHO, TGA, KFDA, PMDA,
and other agencies. He applies his expertise to quality system elements such as personnel
training, quality risk management, deviation, change control, internal audits, complaints,
recalls, and CAPA. Kandarpa provides coursework, mentorship, and shares his expertise and
information at his website (http://seetharamkandarpa.webnode.in/about-me/?
utm_source=copy&utm_medium=paste&utm_campaign=copypaste&utm_content=https%3A%2F%2Fptop.only.wip.la%3A443%2Fhttp%2Fseetharamkanda
rpa.webnode.in%2Fabout-me%2F).
 Products Solutions Pricing Customers Support Resources More 

In addition to the information Kandarpa provides in this article, you can review his latest
instructional SlideShare, Auditing Fundamentals (https://www.slideshare.net/ramu9682/asq-cqa-part-1-
auditing-fundamentals).

What Is the Objective of an Operational

Audit?
“The first step is to establish its objectives,” explains Kandarpa. Objectives can vary
depending on the type of organization and its KPIs, or whether the audit is being conducted to
answer a specific concern from challenges arising in areas like human resources, customer
relations, or manufacturing slow downs. There may also be government compliance issues to
consider such as consumer safety.”

Part of the objective should also be to maintain quality in the auditing process. “The standards
that apply are defined by ISO 19011 (https://www.smartsheet.com/iso-9000-certifications-and-training), and
that is what I recommend as a best practice,” says Kandarpa. The graphic below covers the
main standard areas that govern audits:
Source: How to ConductProducts
a Quality Internal
Solutions PricingAudit, Seetharam
Customers KandarpaMore 
Support Resources

 
1. Integrity: Withstand pressures that may be exerted and take care to comply with any legal
requirements.

2. Fair Presentation: Present all results fairly and report significant concerns.

3. Due Professional Care: Use diligence, due care, and reasoned judgments in every
situation.

4. Confidentiality: Keep information secure, and protect confidential or sensitive information.

5. Independence: Maintain impartiality and keep actions and reporting bias-free.

6. Evidence-Based: Depend on a fact-based approach to reach reliable conclusions.

Understanding the true status of operations is the basis for a healthier, more competitive, and
more profitable organization.

Benefits of Organizational Audits

Conducted by an internal or external auditor, audits are objective. They supply a fresh
perspective on the good and not-so-good aspects of organizational practices and processes.
The final report should make management aware of problems they might not have otherwise
understood, and gives them a knowledge-base for making improvements. Executives can also
use organizational audit results to motivate team members and emphasize existing or new
goals. Subsequent actions can then lead to greater profitability, legal compliance, and
employee satisfaction in the long term.

Kandarpa says that from an overarching perspective, operational audit programs are valuable
to four entities:

The Organization can achieve its aims by applying disciplined, systematic methods to assess
and advance the effectiveness of control, risk management (https://www.smartsheet.com/enterprise-
risk-management-guide), and governance processes.

The Individual can continuously improve their ability to apply knowledge and skills to
deliver the intended results.

The End User or Consumer receives more cost efficient and high-quality products or
services.

The World benefits from a better, more sustainable future.

Organizations can expect to achieve five primary goals or main advantages by performing any
operational audit:
Influence Positive Change: Understand how future processes, policies, procedures, and
other types of management are producing maximum effectiveness and efficiency.

Review Internal Controls: Establish the potential impact of successes and failures in the
specialized functional areas of operation.

Understand Risks: The type of risks associated with business and operational risk range
from business interruption, employee omissions or errors, IT system failure, product
failure, safety and health issues, loss of key employees, fraud, loss of suppliers, and
litigation.

Identify Improvement Opportunities: As a result of understanding risks, auditors can

determine where to make improvements and how to mitigate risks and improve
opportunities. The broad categories of risk - and where improvements should occur - are
operational risk, financial risk, environmental risk, and reputational risk.

Inform Senior Management: The results of the audit should appear in a clear report that
provides objective analysis, appraisals, recommendations, and pertinent comments
concerning the activities reviewed.

Operational Audits Are Continuous Improvement Tools

To meet the challenges of a rapidly changing marketplace and regulatory environment,
companies must continually reinvent the way they do business. As Kandarpa notes, “The
most widely used tools are the plan-do-check-act or Deming Cycle
(https://www.isixsigma.com/dictionary/deming-cycle-pdca/), which the auditor uses in their own auditing
activities.” Organizations should conduct audits regularly to support continuous improvement
and to check the progress of quality measures recommended in previous audits.
The internal audit isn’t immune to the pressures organizations can experience, so auditors
need to find innovative means to help their company succeed. Many companies or specific
departments (such as IT) focus on incremental improvement to improves processes, products,
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and services, or all three.

Source: How to Conduct a Quality Internal Audit, Seetharam Kandarpa

Learn more by reading How BPI Experts Attack Business Process Improvement
(https://www.smartsheet.com/how-bpi-experts-attack-business-process-improvement).

Operational Audit Challenges

When asked about the biggest challenges to conducting operational audits, Kandarpa says,
“Top management support for the auditing program can sometimes be difficult to obtain, since,
by its nature, the process highlights management issues.” He adds, “There needs to be
effective management processes in place to handle conflict management which may arise due
to the audit, and a systems approach to linking organizational goals and objectives.”

Change Management
Change management (https://www.smartsheet.com/essential-guide-everything-change-management)needs to
be well-handled. The results of the audit will likely lead to multiple changes, and team
members and managers may have difficulty adjusting to different expectations, processes,
personnel, or budgets. Change can also affect teamwork, but those issues can be mitigated.
To learn about how to manage and build strong teams who can deal with change, review
Everything You Need to Know About Team Assessments (https://www.smartsheet.com/all-about-team-
assessments).

A helpful tool to help manage change is to use RACI (Responsible, Accountable, Consulted,
Informed) principles to achieve change that may result from an operations audit. Get more
details on how to implement RACI effectively by reading A Comprehensive Project
Management Guide for Everything RACI (https://www.smartsheet.com/comprehensive-project-management-
guide-everything-raci-b), which also includes free templates to help teams cope and flourish during
times of change.

Operational Auditing Expenses

There are costs involved during and after an audit. If the auditor is a consultant, of course,
there will be fees for their engagement. There is also the cost of having projects or production
slow temporarily when managers and employees are working with the auditor. If the auditor
usually holds another position within the company, there may be a slowdown in his or her
regular job responsibilities. As mentioned, there may be costs associated with necessary
changes.
Auditor Evaluation
Considering the major responsibility of the auditing position (whether the auditor or auditors
are operating internally or externally), Kandarpa believes that “The competence of the auditor
or auditors should be determined based on explicit evaluation criteria.”
He provides this evaluation checklist to help assist in the selection of the best candidate:
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Source: How to Conduct a Quality Internal Audit, Seetharam Kandarpa

 Download Auditor Evaluation Checklist (http://d2myx53yhj7u4b.cloudfront.net/sites/default/files/IC-
Auditor-Evaluation-Checklist.pdf)

Demand for Internal Auditing Experts Is Increasing

As proof that the number of operational audits is increasing, the need for internal auditing
experts is on the rise. Robert Half International (https://www.roberthalf.com/blog/salaries-and-skills/a-look-
ahead-internal-audit-hiring-and-salary-trends) has found that the demand for internal auditors in the
United States is going strong and that the need for internal auditors is growing faster than the
average for all occupations through 2024. Demand for the profession is also mounting in
Europe and Asia (https://www.wsj.com/articles/internal-audit-chiefs-gain-in-clout-compensation-1477339076).

Different Types of Operational Audits

In addition to overall operational audits, some subcategories cover specific business functions
and operations:
Financial Audits or Review: Financial audits focus on financial controls as they relate to
reporting to internal and external governing bodies. Financial statement auditing is the
bailiwick of external auditors. Internal audits complement the work of operational audits,
which includes some form of budget, or a financial review.

Operational Audits: As noted, operational audits focus on the review and assessment of
single or multiple business processes.

Department Reviews: Different departments or divisions may run a periodic analysis to

assess the adequacy of controls, how well assets are safeguarded, how resources are
used, and if there is compliance with applicable laws.

Information System (IT) Audits: Information systems audits investigate overall

infrastructure and networks, technical operations, data center operation, project
management, and review security status and procedures.

Investigative Audits: When a company suspects a risk of security breach, or when one
has occurred on the part of an individual or department, there is often an investigative
audit to understand causes and additional background information and research.

Compliance Audits: Compliance audits review the level of compliance with external
regulatory requirements or internal policies.

Marketing Audits: A marketing audit is a broad, precise, and autonomous probe into the
marketing of a company or a business. An audit holds both an external situation analysis
and a thorough review of internal marketing goals, strategies, capabilities, processes, and
systems. The result is actionable recommendations to improve progress toward stated
goals.

Follow-Up Audits: After an operational audit report has been issued, it is standard practice
to follow up to evaluate corrective actions, usually within a six month period.

Operational Audit Process and Checklist

The overall process flow for operational audits, according to Kandarpa, has a set of steps,
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which includes the use of PDCA for quality and continuous improvement:

Source: How to Conduct a Quality Internal Audit, Seetharam Kandarpa

 
Establishing Objectives: Base objectives on management goals and priorities. Consider
the characteristics of products, projects, processes, and any changes to them. Take into
account management system requirements, contractual and legal requirements, and other
requirements. Evaluate suppliers and the needs and expectations of interested parties,
including customers. Take into account the auditee’s level of performance, risks, previous
audit results, and the maturity of the management system being audited.

Establishing the Audit Program: Identify the responsibilities of the audit program manager
and establish his or her competence of the person. Determine the scope and potential
risks, then set procedures and identify resources.

Implementing the Audit Program: Define the objectives, scope, and criteria, and select
the audit team members and assign responsibility to the audit team leader. Manage the
outcome and records.

Monitoring the Audit Program: Assess conformity with the program, schedule, and
objectives, and then assess the performance of the audit team members and the ability of
the audit teams to implement the plan. Evaluate feedback of all stakeholders. Some
factors can determine the need to modify the program, including audit findings, the
demonstrated level of management system effectiveness, and changes to the auditee’s
management system, standards, and other requirements.

Reviewing and Improving the Audit Program: Evaluate if objectives have been achieved.
Use lessons learned as inputs for continual improvement. The review should consider
results and trends, conformity with procedures, the evolving needs and expectations of
interested parties, records, alternative or new auditing methods, the effectiveness of the
measures to address associated risks, and confidentiality and information security issues
relating to the audit program.

Operational Audit Activities

What’s included in a typical audit implementation? Kandarpa provides an overview and a brief
look into the details for each phase:
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Source: How to Conduct a Quality Internal Audit, Seetharam Kandarpa

 
Initiating the Audit: Establish initial contact with the auditee and any designated leaders.
Determine the feasibility of the audit and review the assignment to ensure the objectives
are achievable.

Preparing Audit Activities: Review pertinent documents. Prepare the audit plan, assign
work as needed, and organize necessary action plans and documents.

Conducting Audit Activities: Conduct a meeting to confirm that all parties agree to the
proposed plan. Introduce team members to management and each other. Double check
that you can perform the audit actions defined in the plan as intended. Review documents
as needed throughout the process. The team should regularly meet to review and
exchange information, assess progress, and reassign work if necessary.

Source: How to Conduct a Quality Internal Audit, Seetharam Kandarpa

 
Collecting and Verifying Information: After you receive the audit documents, review the
information sources. Audit the evidence and evaluate it against the audit criteria. Review
 conclusions.
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Generating Audit Findings: The findings will conform or not conform with audit criteria. For
a non-conforming finding, record the supporting evidence. Review the information with the
auditee to ascertain if the evidence is correct. The team should meet to review findings at
designated and/or appropriate audit stages.

Conducting the Audit Activities: Before the closing meeting to review findings, the audit
team should confer and collect information against objectives. The team should agree on
conclusions, prepare recommendations, and discuss follow-up. Have a closing meeting
facilitated by the team leader to present the findings and conclusions.

Preparing and Distributing the Audit Report: The team leader reports the results with a
complete, accurate, concise, and clear audit record, and delivers it within the agreed
period. In case of a delay, auditee and program manager should discuss why it happened.
The report must be dated, reviewed, and approved based on agreed upon procedures.
Distribute the report as defined in the plan to the appropriate recipients.

Completing the Audit: Work is complete when all planned audit activities are
accomplished. Documents are kept or destroyed based on the procedures and applicable
requirements set at the beginning of the audit. If disclosure is necessary, inform the audit
client and auditee as soon as possible. Add lessons learned from the audit to the
continual improvement process.

Operational Auditing Checklists

When asked about using checklists, Kandarpa explains, “Checklists vary based on the
purpose, audit type, and audit criteria. However, the audit process and auditing principles
remain constant.”
Here’s a checklist that you can use as a framework. Each part of the checklist will likely need
to be broken down into separate activities - plan, do, check, and act - based on the size and
scope of your particular operational audit. To help organize more granular activities, you’ll find
downloadable templates later in this article.
 Products Solutions Pricing Customers Support Resources More 

 Download PDCA Checklist for the Operational Audit Process

(http://d2myx53yhj7u4b.cloudfront.net/sites/default/files/IC-PDCA-Checklist-for-the-Operational-Audit-Process.pdf)

Audit PBC Checklist Template

Whether you have an internal or external auditor, the entire process is much easier when
you’re prepared. Based on the goal of the audit, the checklist can be a valuable guide to
gathering needed documents, clarifying objectives to the team, and keeping key stakeholders
in the loop. This template helps manage and track the pre-audit, and you can share it with
your auditor in real time to generate comment threads, attach documents and track status with
RYG alerts.

 Download Audit PBC Checklist Template (http://www.smartsheet.com/try-it-e?

trp=9024&lpv=icsmartsheettemplate&lpa=operational%20audit%20pbc%20checklist%20smartsheet%20template&lx=
Gprc3WREOxqgtTmqtKaR4V2F3tjZfBYMXSEruozjq1E&tg=&sc=&cta_from=&cta_to=)

Operational IT Audit Guide

If you’re preparing for an IT audit, this complete guide for IT managers, security officers,
systems engineers, developers, or help desk managers provides information to maximize
efficiency of your audit, ensure security, and create repeatable processes.
  Download IT Operations Audit Guide (http://www.smartsheet.com/sites/default/files/Audit-Compliance-
Products Solutions Pricing Customers Support Resources More 
Security-Solution-Guide.pdf)

Operational Audit and Audit Plan Examples

To see what operational audit processes and documentation looks like in practice, we’ve
included some examples.
Government Audits: For entities of any size - from cities to the United States federal
government - the documentation is made available to the public in the interest of
transparency.
Non-Government Audits: By definition, audits are proprietary, internal processes that an
organization’s management uses for its own improvement. They are released for public
viewing based on the organization’s discretion.
Financial audits: This type of audit provide an opinion about whether or not financial
statements are true based on accounting standards for the benefits of tax authorities,
customers, investors, and regulators. To learn more specific about financial audits, read
Financial Audit Manual: Processes, Requirements and Checklists.
City Operational Audit Examples - El Paso, Texas: Like most cities, El Paso Texas reports
each fiscal year on multiple operations, functions and services, such as community and
human development management, capital improvements, and other specific areas it
governs. The internal audit for Fiscal Year 2017 is available in multiple downloadable
sections. The reports focus on different areas each year, as well. Review El Paso Internal
Audit for Fiscal Year 2017 and El Paso Internal Audit for Fiscal Year 2016.

State Operational Audit Plan Example - Indiana Office of Management & Budget: Deloitte
& Touche performed an audit for the for the Indiana Department of Revenue for its
oversight agencies in 2012. You can review the full results in its Controls and Performance
Audit.

Hospital Operational Audit Plan Document Example - University of Texas (UT): The Office
of Internal Audit for UTHealth North conducted a risk-based audit which reviewed
equipment leases, acquisitions, maintenance, and warranties. You can examine the full
27-page document at Capital Equipment Operational Audit.

University Internal Audit Plan - University of Colorado: Operational audits evaluate

whether university processes are adequate and function in a manner that helps ensure
achievement of objectives. They review operations to see what can be improved, conduct
investigations into suspected or reported irregularities, assess programs and initiatives,
consult with stakeholders, and provide feedback to ensure sound business practices. You
can review the current University of Colorado Department of Internal Audit 2018 Audit
Plan.

Public Facilities - The Port of Seattle: Airport public parking operation management
controls were reviewed to ensure that transactions were handled correctly in the Seattle-
Tacoma International Airport garage and to ensure facilities were well-managed. Examine
The Internal Audit Report: Comprehensive Operational Audit Airport Public Parking
Operation to see the results.

Credit Union - Sample Credit Union Report on Operations: This is a reporting template
credit unions follow to comply with National Credit Union Administration (NCUA) standards
for operations and management review. Examine the 22-page format in Sample Credit
Union Report on Operations.

Non-Profit/International Relief - United Nations (UN) Audit: The United Nations

performed an audit to track how logistical support was hampered in its African Union-
United Nations Hybrid Operation in Darfur from January 2008 through 2010. Review the
Audit of Logistic Operations in UNAMID full report.

Intellectual Property - World Intellectual Property Organization: A 2015 operational report

examined the effectiveness and efficiency of essential business processes including
organizational structure, risk management, and controls. Review the Audit of the
Management of WIPO Customer Services.

Pharmaceutical Manufacturing - Univar: Univar is a leading global distributor of chemistry

and related innovative products and services. Labtopia, a consulting firm, created a
sample audit report for suppliers to use to report on operations. Review the 18-page
template Audit Report.

Manufacturing - Factory Audit Report (Asia): Asian Inspection provides the means for its
customers to conduct operational audits. The format for a report includes workflow charts,
system management, labor, hygiene and social responsibility sections. View the 33-page
Factory Audit Report.
 Products Solutions Pricing Customers Support Resources More 

Free Operational Audit Templates

By nature, operational audits are about identifying the details that reveal the strengths and
weaknesses of an organization’s day-to-day business practices. These downloadable,
customizable checklists and templates help organize and document the necessary fact finding
that are part and parcel of operational audits.

Audit Project Plan Template

This customizable template includes budget, variances, Gantt chart with dependencies, and
status summaries. An audit project plan makes it easy to compare costs for materials, labor,
and any other important estimated and actual labor and other expenditures in a single page.

Create an Audit Project Plan in Smartsheet (https://www.smartsheet.com/try-it-e?

trp=9024&lpv=icsmartsheettemplate&lpa=operational%20audit%20project%20plan%20smartsheet%20template&lx=0
d6rUHcyoWNi_rawXMDRDl2F3tjZfBYMXSEruozjq1E&tg=&sc=&cta_from=&cta_to=)

Stock Inventory Control Template

You can modify this stock inventory control template to identify stock levels, reorder frequency,
excess inventory, and information about key suppliers. View the entire stock lifecycle to
discover audit information to determine if your stock procedures need to be refined.

Download Stock Inventory Control Template

Excel (http://d2myx53yhj7u4b.cloudfront.net/sites/default/files/inventory-stock-control-a.xlsx) | Smartsheet
(https://www.smartsheet.com/try-it?
trp=9023&lx=XUn3hq0wKyyJTh83L6hrmF2F3tjZfBYMXSEruozjq1E&lpv=icsmartsheettemplate&lpa=stock%20invento
ry%20control%20smartsheet&tg=&sc=&cta_from=&cta_to=)

Basic Inventory Control Template

For a small business or an organization that only needs a simple inventory management
system, this template is ideal — and a solid auditing tool. Check inventory in a variety of ways:
description ID number, unit price, or name. Track the value and quantity of current inventory,
reorder dates, and discontinued items.
 Products Solutions Pricing Customers Support Resources More 

Download Basic Inventory Control Template

Excel (https://www.smartsheet.com/file/ic-basic-inventory-control-9024xlsx) | Smartsheet
(https://www.smartsheet.com/try-it?trp=9023&lx=pGX_1K1ncUolkvGPO7z-
mF2F3tjZfBYMXSEruozjq1E&lpv=icsmartsheettemplate&lpa=basic%20inventory%20control%20smartsheet&tg=&sc=
&cta_from=&cta_to=)

Asset Tracking Template

Knowing what physical assets your company has on hand (such as
computer hardware, furniture, and other items) is fundamental to many
operational audits. It’s easy to perform this audit with this free template.
Modify the form by deleting or adding columns to get at the detail you
need for greatest efficiency.

 Download Inventory Asset Tracking Template

 
 
Equipment Inventory Tracking and Management
Template
If your company relies on expensive equipment for day-to-day
operations, this template for tracking the condition, location, and value
of your inventory is a necessity. Keep an eye on depreciation,
operating costs, loan balances, and more. The information in this
template will help you determine which items are the most expensive to
operate, when it’s time for an equipment upgrade, and where equipment
is being stored. 
 
 Products Solutions Pricing Customers Support Resources More 

Download Equipment Inventory Tracking and Management Template

Excel (https://www.smartsheet.com/file/ic-equipment-inventory-9024xlsx) | Smartsheet
(https://www.smartsheet.com/try-it?
trp=9023&lx=QevVYsz8wNOPCu7N3rSBDV2F3tjZfBYMXSEruozjq1E&lpv=icsmartsheettemplate&lpa=equipment%2
0inventory%20tracking%20management%20smartsheet&tg=&sc=&cta_from=&cta_to=)

Company Goals Tracker Template

One of the main functions of an audit is to understand if and how

progress is being made on company metrics and initiatives by the year,
quarter, and month. This template can help keep your organization
focused on achieving goals, and provide an easy way to share the data
with key stakeholders.
 

 
Create a Company Goal Tracker in Smartsheet
 
 
Change Management Process Template
Audits often signal the need for changes in the way you operate some -
or all - parts of your business. When it’s time to make organizational
changes, complete this template to follow your change management
procedures, from creating change request flows to reporting. Include
this flow chart for a visual representation of the process in your change
management plan. Breaking down each step provides clarity and an
easy reference for everyone involved.
 
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Download Change Management Process Template
Word (https://www.smartsheet.com/file/ic-change-management-process-9024worddotx) | PDF
(https://www.smartsheet.com/file/ic-change-management-process-9024pdfpdf)

Risk Analysis Matrix Template

For some smaller projects, you may only need to use a risk management matrix (rather than
create a lengthy management plan). With this matrix template, you can organize vital
information in a single spreadsheet and create a detailed plan. In this risk analysis template,
you’ll find risk ratings, mitigation strategy descriptions, a management matrix for identifying
and assessing risks, and a list of monitoring control efforts.

 Download Risk Management Matrix (http://d2myx53yhj7u4b.cloudfront.net/sites/default/files/IC-

Operational-Audit-Risk-Management-Matrix-Template.xlsx)

SWOT Analysis Template 

When conducting an operational audit, you’re likely to uncover part of your company that isn't
performing to expectations. A particular division’s ROI may be plummeting, or your marketing
might not have traction. Perform a SWOT analysis to clarify strengths and weaknesses, as
well as identify opportunities and threats. This SWOT matrix template provides a two-by-two
layout for an easy-to-read analysis view. It also includes a column for measuring the
significance of each item in your SWOT categories to quickly see how different elements in
your analysis measure up to each other and which areas require the most attention.
 Products Solutions Pricing Customers Support Resources More 

Download Basic SWOT Matrix Template

Excel (https://www.smartsheet.com/file/ic-swot-analysis-template-9024xlsx) | Word
(http://https://www.smartsheet.com/file/ic-swot-analysis-template-9024worddotx) | PDF
(https://www.smartsheet.com/file/ic-swot-analysis-template-9024pdfpdf) | PowerPoint
(https://www.smartsheet.com/file/ic-swot-analysis-powerpoint-9024potx) | Smartsheet
(https://www.smartsheet.com/try-it?
trp=9023&lx=LesgYfpqRwhfHjIDZYt0cV2F3tjZfBYMXSEruozjq1E&lpv=icsmartsheettemplate&lpa=swot%20analysis%
20smartsheet&tg=&sc=&cta_from=&cta_to=)

Work Schedule Template

Organize departmental schedules and individual assignments. You can modify this template to
schedule audit tasks, or organize team members post-audit for greater day-by-day efficiency.
Plus, you can specify which department the schedule is for, and customize workflows for the
week.

Download Weekly Work Schedule Template

Excel (http://d2myx53yhj7u4b.cloudfront.net/sites/default/files/IC-Operational-Audit-Work-Schedule-Template.xlsx) |
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G9XsqgV2F3tjZfBYMXSEruozjq1E&lpv=icsmartsheettemplate&lpa=weekly%20work%20schedule%20smartsheet&tg
=&sc=&cta_from=&cta_to=)

Project Management Template

This online Gantt chart (https://www.smartsheet.com/gantt-chart-software) gives you control of your
project and visibility into team availability. At a glance, you’ll know who’s assigned to which
task(s), and which tasks are at risk of affecting the project’s schedule. Use this information to
inform decision making.

Create a Project Management Template in Smartsheet (https://www.smartsheet.com/try-it-e?

trp=9024&lpv=icsmartsheettemplate&lpa=operational%20audit%20project%20management%20smartsheet%20templ
ate&lx=cs28EOiSZNzcY0A1dRZR0V2F3tjZfBYMXSEruozjq1E&tg=&sc=&cta_from=&cta_to=)

Root Cause Analysis Template

Because operational audits identify what is and isn’t working in an organization, it’s important
to determine the cause of these matters in order to remedy the situation. This template
supports detailed examination of specific events. Use it to record information on contributing
factors, findings related to the cause, and actions to take or use to reduce future risk.
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 Download Root Cause Analysis Template (http://d2myx53yhj7u4b.cloudfront.net/sites/default/files/IC-

Operational-Audit-Root-Cause-Analysis-Template.xlsx)

Information Gathering Template /Marketing Survey

Webform
Get the information you need with this online suggestion box and web form. Customize the
form to gather intelligence for your audit, and then add it to emails and webpages for
employees or management to submit answers to queries or suggestions. The form is fully
customizable to suit your auditing needs.

Create a Survey Template and Form in Smartsheet (https://www.smartsheet.com/try-it-e?

trp=9024&lpv=icsmartsheettemplate&lpa=operational%20audit%20information%20gathering%20smartsheet%20temp
late&lx=uaL1-CNVkTmm982nTE9XZF2F3tjZfBYMXSEruozjq1E&tg=&sc=&cta_from=&cta_to=)
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Improve Operations with Work

Management in Smartsheet
Once you complete your operational audit, your company will likely find many areas where it
could benefit from improvement. You’ll need a tool to help track lessons learned, if they’re
being implemented, and if they’re affecting your overall business. Smartsheet is a work
management and automation platform that enables enterprises and teams to work better.
Over 65,000 brands and millions of information workers trust Smartsheet to help them align
the right people, resources, and processes to get work done.
Smartsheet's familiar interfaces, designed for how people actually work, lead to rapid and
broad adoption across your organization. Use Smartsheet's self-service reports and
dashboards to provide real-time visibility into resources, status, and performance so you can
rapidly align operations to strategy.

Work Better with Smartsheet

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