Operational Audit Checklist
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About this operational audit checklist
An operational audit checklist gives operations teams a repeatable way to verify standards, spot risk early, and turn findings into clear actions. The goal is simple: stop guessing. Start knowing — what’s working, what’s drifting, and what needs support.
This checklist covers four things frontline audits often miss: preparation checks (so the visit has a clear scope), in-process checks (so you assess reality, not paperwork), escalation criteria (so critical risks do not linger), and close-out actions (so issues get fixed, not filed).
What this operational audit checklist covers
- Audit setup and scope — site details, audit type, evidence expectations, and previous actions
- Safety and compliance baseline — the non-negotiables that trigger immediate escalation
- Operational readiness — resourcing, handover, systems, and maintenance visibility
- Process and standards in action — what you can see happening on the floor, not what should happen
- Communication and knowledge — whether people can find the right answer in the moment
- Escalation and close-out — clear triggers, owners, due dates, and follow-up
How to use it on a real site visit
1) Start with scope and evidence. Agree what you’re checking and what proof counts (photos, readings, documents). This prevents debates later and makes scoring fair across sites.
2) Check the non-negotiables first. If a safety or compliance baseline fails, do not continue as normal. Capture evidence, take immediate action where possible, and escalate.
3) Observe work in motion. Ask yourself: are people relying on memory and workarounds, or can they find the right process quickly and follow it consistently?
4) Close out on site. Before you leave, summarise what’s good, what must change, and what support is needed. Then log actions with a single owner and a due date.
Escalation criteria you can standardise
Most operational audits fail at the same point: issues are identified, but escalation is vague. Use clear triggers so teams know when to act fast.
- Escalate today when there is a safety risk, a compliance breach, or a critical system outage without a safe workaround.
- Assign an immediate owner when the site can fix the issue locally (for example, housekeeping, storage, task discipline).
- Escalate to central support when the site cannot fix it alone (for example, maintenance backlog, supply constraints, unclear policy).
- Stop work when continuing creates unacceptable risk.
What good looks like
A strong operational audit is not a ‘gotcha’. It creates shared knowledge. You leave the site with fewer unknowns: clear evidence, clear actions, and a follow-up plan that prevents repeat issues.
Want to run audits without the spreadsheet chase?
Ocasta replaces manual audit admin with structured checklists, consistent evidence capture, and real-time visibility of actions across sites. That means less guesswork for the frontline and better insight for operations leaders.
Disclaimer: This checklist is for general guidance only and does not constitute legal, regulatory, health and safety, or professional advice. You are responsible for ensuring compliance with applicable laws, standards, and internal policies.
Included questions
Here's what's included in this operational audit checklist:
Audit setup and scope (7)
Confirm the purpose, coverage, and evidence requirements before you start.
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Yes/No
Is the audit date and time confirmed with the site?
If this is unannounced, confirm internal approval and safety access arrangements.
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Dropdown
What type of operational audit is this?
Choose the closest match so results can be compared over time.
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Text
Record site name and location
Include store/site code if you use one.
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Person
Who is completing the audit?
Select the auditor responsible for accuracy and close-out.
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Person
Who is the site contact during the audit?
This is the person you will brief, escalate to, and close out with.
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Yes/No
Have you reviewed previous audit actions and overdue items?
Start with what was missed last time — it’s the fastest way to spot repeat issues.
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Yes/No
Are evidence requirements clear (photos, documents, readings)?
Agree what ‘good’ looks like before you start scoring anything.
Safety and compliance baseline (6)
Check the non-negotiables first. If these fail, escalate immediately.
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Yes/No
Are emergency exits and routes clear and unobstructed?
No stock, waste, cages, or equipment stored in escape routes.
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Yes/No
Is fire safety equipment present, accessible, and in date where applicable?
Include extinguishers, alarms, call points, and signage.
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Yes/No
Are first aid arrangements in place and visible?
Check first aid kit availability and named first aider details if required.
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Yes/No
Are immediate hazards identified and controlled?
Look for trip hazards, spills, unsafe stacking, exposed cables, and damaged flooring.
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Yes/No
Do team members know how to report incidents and near misses?
Ask one person to explain the steps and expected timescales.
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Yes/No
Are required compliance documents available and up to date?
For example: risk assessments, equipment checks, licences, or site-specific logs.
Operational readiness and resourcing (6)
Verify the site can run the shift without relying on heroics or workarounds.
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Yes/No
Has the opening or shift handover been completed properly?
Check that key messages, tasks, and risks were handed over, not just ‘we’re busy’.
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Yes/No
Does staffing match the plan for current trading or workload?
If not, note the gap and the mitigation in place.
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Yes/No
Are critical roles covered (duty manager, keyholder, safety roles)?
Confirm cover for breaks and unexpected absence.
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Yes/No
Has a team brief been completed for today’s priorities?
Look for clarity on the top three priorities and what ‘good’ looks like.
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Yes/No
Are critical tools and systems working (POS, scanners, radios, tablets)?
If there’s an outage, confirm the workaround and escalation route.
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Yes/No
Are maintenance issues logged with clear owners and target dates?
Spot the difference between ‘known issue’ and ‘managed risk’.
Process and standards in action (6)
Check how work is actually done, not how it’s meant to be done.
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Vibe
How consistently is standard work being followed?
Base this on what you observe in the moment, not on intent.
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Vibe
How smooth is the operational flow right now?
Look for bottlenecks, rework, queue build-up, and unclear ownership.
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Yes/No
Is task completion visible and up to date?
You should be able to see what’s done, what’s late, and what’s blocked.
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Yes/No
Are required quality checks being completed at the right time?
Check timing and evidence — not just ticked boxes.
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Yes/No
Are stock or materials controlled and stored correctly?
Check labelling, rotation where applicable, segregation, and tidy storage.
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Vibe
What is the cleanliness and housekeeping standard?
Focus on high-impact areas: entrances, workstations, back-of-house, and waste areas.
Communication and knowledge (5)
Reduce guesswork by checking whether people have the right information, in the moment.
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Yes/No
Have team members seen the latest operational updates?
Ask two people to confirm the key change and what action it requires.
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Yes/No
Can the team quickly find the right policy or process when asked?
Test one common scenario (for example: refund process, safety step, escalation).
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Yes/No
Are there local workarounds being used instead of the standard process?
Workarounds create hidden risk. Capture what’s driving them.
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Yes/No
Have training or confidence gaps been identified during the audit?
If yes, note which role and which task needs reinforcement.
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Text
What does head office need to know from this audit?
Capture blockers the site cannot fix alone (systems, supply, policy clarity, maintenance).
Escalation criteria and immediate actions (5)
Set clear triggers for escalation so issues do not linger as ‘known problems’.
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Yes/No
Is there any critical risk requiring immediate escalation?
Examples: blocked fire exit, unsafe equipment, serious safeguarding concern, major system outage with no workaround.
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Dropdown
If escalation is needed, what level is required?
Choose the highest level that matches the risk.
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Text
What immediate actions were taken on site?
Be specific: what changed, who did it, and what time it happened.
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Yes/No
Have you captured evidence for key findings?
Photos, readings, documents, and clear notes make follow-up faster and fairer.
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Person
Who owns the highest-risk action from this audit?
Assign a single owner, even if multiple teams contribute.
Close-out and follow-up (5)
Turn findings into actions with owners, dates, and a clear re-check plan.
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Yes/No
Have you shared a clear summary with the site before leaving?
Cover: what’s good, what must change, and what will be followed up.
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Yes/No
Are all actions logged with owners and due dates?
If an action has no due date, it will not happen.
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Dropdown
Overall operational audit outcome
Keep this consistent across sites so trends are meaningful.
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Yes/No
Is a follow-up date set for high-risk or repeat issues?
If needed, schedule a re-audit and confirm who will complete it.
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Signature
Auditor sign-off
Sign to confirm the audit reflects what you observed and what was evidenced.