ORDER ENTRY/CUSTOMER SERVICE AUDIT WORK

PROGRAM

PROJECT TEAM (LIST MEMBERS)

Project Timing Date Comments

Planning

Fieldwork

Report Issuance

Time Project Work Step Initial Index

Who is in charge of customer service?

Number of full-time equivalents in customer service/order entry?

Average number of orders processed per month?

Number of customers in the customer master record?

Time it takes to process a customer order?

Risk: Customer master records may not be accurate or created in a

timely manner.

What is the process for establishing a customer master record?

What is the process for making changes to the customer master record?

How does customer service ensure that additions and changes to a

customer’s record are processed in a timely manner?

Who maintains the customer master file? What system is used to maintain
the file?

How is access to the customer master file limited?

• Who has access to the customer master file?
• How often are access levels to the customer master file reviewed?

What is the process for notifying Credit that a customer master file has
been established and a credit check needs to be performed?

What metrics are used to measure the time it takes to establish a

customer master record?

Risk: Sales order information may not be correct or timely.

1 Source: www.knowledgeleader.com
 Time Project Work Step Initial Index

• In what format are customer orders received?

• What percentage of customer orders are email, mail, fax and EDI?

How does order entry ensure that prices being entered are the most
current prices for a product?

How does customer service ensure that the correct price is entered into a
sales order for volume sales contracts?

How does customer service ensure that the appropriate material master is
entered for a particular customer?

Upon completion of the order entry process, what review does order entry
perform to ensure that the information entered agrees to the customer
PO? (e.g., price, quantity, material number ordered, customer-requested
ship date, etc.)

What is the process for managing incomplete sales orders?

What reports are used to manage incomplete sales orders?

How does customer service establish a customer ship date?

How is the customer ship date communicated to the customer?

What are the metrics used to measure the time it takes to process a
customer order?

What is the process for approving prices that fall outside of established
price lists or customer contracts?

Risk: Change orders exceed established credit limits, are not

communicated to the factory timely, or are unauthorized.

How are change orders authorized?

How does customer service ensure that change orders do not exceed
established credit limits?

How is the factory notified of the change order?

What reports are used to manage open change orders?

What reports does management use to review change orders?

Conclusions and Opportunities

Based upon the above responses, what level of risk exists that the
customer master records may not be accurate or created in a timely
manner? (High risk, medium risk or low risk?)

• Based on the above responses, what level of risk exists that sales
order information may not be accurate or created in a timely manner?
(High risk, medium risk or low risk?)

2 Source: www.knowledgeleader.com
 Time Project Work Step Initial Index

• Based upon the above responses, what level of risk exists that change
orders may not be accurate, authorized, processed in a timely manner
or may exceed established credit limits? (High risk, medium risk or low
risk?)

List specific areas of control or efficiency concerns previously identified by

management.

List any planned system upgrades or changes that would impact the
customer service process.

3 Source: www.knowledgeleader.com