This checklist follows the work through the business, from the enquiry and purchasing to operations, release and change.

Effective Audit Checklists

Prepared using the F-Q2A Audit Checklist form template.

The file is supplied in fully editable MS Word format and can be easily customised, with all text in Calibri font for improved readability.
The following document labelling is included in the footer:

• Checklist number and title
• Information-classification
• Version
• Page number / total pages

alphaZ documents - beautifully designed, tried and tested audit checklists. No junk, jargon or unnecessary questions. Simple and usable audit checklists developed over 25 years through practical use in the real world.

Further Reading

Further guidance on operations and internal auditing:

• ISO 9001 Clause 8 - Operation
• ISO 9001 Clause 8.4 - External Providers
• ISO 9001 Clause 8.3 - Design and Development
• Internal Auditing knowledge base

Logo Update Service

Download this audit checklist template with your company name and logo already added!
Document Preparation is included with the alphaZ subscription.

How to Download

This file is included in the alphaZ subscription. This checklist is also included in the ISO 9001, ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them, so the toolkit route gives you this file plus everything else you need in one download.

Need Help Implementing?

If you'd like hands-on help completing your internal audits or training your internal auditors, our remote support services provide direct expert input from our team, by the day, by project, or on an ongoing basis.

Operational Processes Audit Checklist Template

A management system audit checklist for operational processes, covering enquiries and sales, purchasing and outsourced services, operations, and change, variations and design. It is set out on the F-Q2A Audit Checklist format, with the scope, criteria, site, participants, auditor and date recorded at the top, and each question alongside the auditee and the evidence viewed, response and findings.

Areas Covered

• Enquiries and sales - assessing enquiries, reviewing requirements before quoting or accepting an order, terms and conditions, quote follow-up and conversion, confirming and changing requirements, and checks on new customers
• Purchasing and outsourced services - the supplier policy, the key suppliers list, appraisal, order specifications, sub-contracted and outsourced work, checks on receipt, and supplier performance
• Operations - planning before work starts, competence and equipment, working to instructions, changes during the work, traceability and customer property, checks and release, and delivery and post-delivery activities
• Change, variations and design - planning and approving changes, recording significant changes, customer variations and specifications, and design where it applies

Carrying Out the Audit

Several questions ask for a sample of orders or completed jobs. Choosing one or two jobs and following each from the enquiry through purchasing and operations to release covers most of the checklist with real records, and shows how the processes link together.

Planning the Audit

Choose the jobs or projects to sample and have their records to hand, along with the enquiry register, the key suppliers list and any change records.

Included in the ISO Toolkits

This checklist is part of the ISO 9001 Toolkit and is also included in the ISO 14001, ISO 45001, ISO 27001 and ISO 22301 toolkits, including the integrated toolkits that combine them.

Related Documents

Documents that work alongside this checklist:

• ER7 Enquiry Quote Register
• F-IMS42 Key Suppliers Register
• ER8 Job Register
• F-Q23 Change Review Form
• F-Q1 Design Review and Planning Form

Part of the Management System Audit Checklists

This is one of the alphaZ management system audit checklists. The ISO 9001 Management System Audit Checklist covers the whole system in one audit, while the section checklists for Management System Documentation, Leadership, Commitment and Planning, Resource Management and Support, Operational Processes, Monitoring, Evaluation and Improvement and Information Security let the audit be spread across the year using the ER11 Audit Schedule. The results can be written up using the F-Q31 Audit Report.

Using the IMS1 Manual?

Where the management system is built on the alphaZ IMS1 manual, the IMS1 Section 4 Checklist covers the same ground, with each question referenced to its IMS1 section and the alphaZ forms and registers used with it.

Using the Findings

Gaps found in a job record are raised as actions, and problems that cross from one process to another are passed to corrective action.