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INTERNAL AUDIT CHECKLIST

Department Sales & Marketing Auditor (s)


Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

8.2 Requirements for product and services


1 Who provides you the inputs to carry out your activities? Managing Director
2 What are the inputs you need to carry out your activities? Quotation, Sales Inquiry. Contract List,
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

What outputs or services do your customer expects from


3 Quotation feedback
you?
How did you know that your customers are satisfied with
4 Customer Satisfaction survey, NCR IG-SAL-F03
your outputs? Any records to show customer satisfaction?
Quality Policy
5 Quality Policy understood by everybody within the Yes -
department?
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

How do you relate the Quality Policy to your work to


6 Discipline and Punctuality of work
achieve the Quality Objectives?
Planning for Quality Objectives
7 What are the Goals and Objectives of your group? To provide quotation within 7 days, On time job closed
How do you derive from those Goals & Objectives? (e.g.
8 information from Customer needs, Customer feedback, Customer inquiry
trends, etc.)
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

How can you contribute to the achievement of the Quality


9 Monitor report closely
Objectives?
Goals and Objectives monitored / analyzed? Frequency?
10 Sales Manager, Assistant Sales&Marketing Manager
Who is responsible?
Corrective action raised when Objectives not fulfilled
according to targets?
11 When Necessary
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

How do you keep up to date with your company’s product


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and services
Provision of Resources
Who determine resources needed to implement, maintain
12
and fulfill plans and objectives?
13 How are the resources determined? (Human Resources,
Work Environment, Infrastructure, etc).
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

What are the resources identified to implement, maintain


14 Always remind by Sales manager.
and fulfill Plans and Objectives?
Competence, awareness and training, Infrastructure
Are the personnel performing specific assigned task
15 Refer to training record,
trained? Records of training available?
16 Is the measurement of training effectiveness performed? Refer to Training Record,
How?
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

Are the employees aware of the relevance and importance


17 As per Contingency Plan Procedure, IG-GEN-P03.
of their activities in meeting Customer requirements?
Are the employees aware of the consequences to the
18 Customer if there is nonconformity to quality YES
requirements?
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

* Does the personnel performing specific assigned tasks


are qualified, as required, with particular attention to the
19 satisfaction of Customer requirements? NCR issued by customer

* Are on-the-job training are being provided to personnel in


20 any new or modified job affecting, including contract or
agency personnel?
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

What would you improve about your company’s product


21 and services

Has the organization prepare contingency plans to satisfy


the Customer requirements in the event of an emergency
21 Under procedure Contingency Plan, IG-GEN-P03.
such as utility interruptions, labour shortages, key
equipment failure, and field returns?
Tender Inquiry
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

How do you get the tender enquiry for approval and how to Sales Personnel will receive enquires from customer and
22 identify the validity? customer shall submit relevant tender requirement
document such as tender invitation
23 What is your outline and is it in documented? Refer to IG-SAL-P02
24 What is proven when tender acceptance? Letter of Award
Customer Communication
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

How do you communicate information regarding product to Direct Communication with Customer (regular meeting,
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your Customers (feedback, changes, etc.)? Phone call, email)
26 Actions taken when necessary? Yes Make a corrective action then. Give feedback to customer
What details/relevant document need when upon receiving Port of loading, Port of discharge, Cargo Descriptions,
27 inquiry from customer? Dimension, Weight, Packing List, Commodity, Import
License, Fright Term(LCL,CIF,LCL) and carrier’s option
Control of Documents
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

What are the procedures which outlines the specific


28 As per Procedure IG-SAL-P01
requirements for you to follow?
29 Is it documented? With evidence of approval? Yes Approved by Managing Director
30 Is it the current revision? Yes Revision 0
31 Documents remain legible and identifiable? Yes
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

How do you resolve contract or order requirements which


32
differ from those previously defined
Control of Records
32 What are the records retained by your group? Sales Inquiry. Customer Satisfaction Survey, Contract List
33 Are these records listed on the "Records List"? Yes Documented in Master list of documents
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

Are the records due for archiving already endorsed to


34 No
DCC?
* Are the records complying with regulatory and Customer
35 Yes
requirements?
Check control of record for the following:
Result of
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Unique of identification of quotation? (using correct
format)?
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

Continual Improvement
What are the programs for continual improvement being
37 No No continual improvement suggested at the moment.
implemented in your area/group?
Customer Satisfaction
38 How you record customer complaint from customer? Issued Nonconformance Report
How many times you conduct customer satisfaction
39 Once a year
survey?
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

How you monitored customer satisfaction is achieved your


40 Refer to KPI Report(Customer satisfaction survey report)
objective?
41 How is customer satisfaction maintained?
How is the ability to enhance customer satisfaction
42
determined and addressed?
How do you monitor customer perception of the degree to
43
which requirement have been met?
INTERNAL AUDIT CHECKLIST
Department Sales & Marketing Auditor (s)
Date
Auditee (s)
Time
SCOPE / PROCEDURE: Common Auditable Checklist
REV. 0
Yes / No /
Reference Requirements Evidence of Conformity / Nonconformity
N.A.

How do you obtain information relating to customer views


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and opinions of you services?
Preventive Action
Actions taken for potential non-conformities / formulated
42 Yes
for increasing trends in non-conformance findings?