A.5.37 Audit Checklist

When to use this

Use this during internal audits to test whether A.5.37 Documented Operating Procedures is designed, implemented, operating, and evidenced.

Audit checklist

• Operating procedure register lists procedures, owners, approvers, users, scope, version, review date, and storage location.
• Procedures cover relevant day-to-day and infrequent operational activities.
• Procedure documents have version control, approval, change history, and access protection.
• Personnel can find the current approved procedure and explain when to use it.
• Supplier or outsourced operating procedures are available and aligned with contracts/service requirements.
• Compliance checks show procedures are followed and bypasses are identified.

Evidence requested

• Review/procedure/register reviewed.
• Responsible owner interviewed.
• Sample records selected.
• Evidence location recorded.
• Gaps converted into findings or corrective actions.

Related notes

• A.5.37 Documented Operating Procedures
• A.5.37 Audit Evidence Pack