Process Number Prepared By Date

Alpha Corporation PRO1606Y Internal Audit 20XX

Process Name Region Reviewed By Page
QTC: Sales Order Entry NAM 1 of 2

START
A B

[1] Alpha receives

customer PO ERP Order S.O. Analyst S.O. Analyst PROCESS AND CONTROLS OVERVIEW:
Management [5] Verify customer PO has not [9] Provide SO packet to Thi s procedure covers processing new sales orders for the hardware
System been entered in ERP appropriate individual for meters manufacturing division.
booking & scheduling
Sales orders are:
- Ent ered manuall y in ERP Order Management by the Sales O rder
Analyst
New Customer - Communicated in writing
Yes [6] if a customer purchase
Customer? Maintenance - Created automat ically from an EDI transmi ssion with an EDI partner
order number that is entered S.O. Analyst/Scheduler
with a sale order already [10] Using scheduling Manual Key-Control:
No exists in the system; ERP QTC 01A – A sales planner enters the sales order i nt o the Sales Order
application system, find & Module after matching the customer PO t o the sal es contract,
Order Management inherent schedule item or sales order
S.O. Analyst/Sales Planner functionality will give a Business Management Review, Proposal Approval Form (PAF),
[2] Receives customer PO supported by a Revenue Margin Analy sis (RMA) and/or approved price list. The
notification that the customer
Logistics Manager or designee (other than the person entering the
combination of the following applicable PO number already exists. sales order) rev iews the booked sal es order to determine the
documents: accuracy of prices, quantities and sales terms in the sales order
(a) Approved PAF (Proposal Approval Form) To SO module. The sales packet/customer PO i s signed and dated by the
(b) Approved RMA (Revenue Margin Analysis Integrity reviewer as ev idence of review. Purchase Orders $100K (NAM) and
(c) Pricing Quote Review abov e will be subject to sales order integrity review.
(d) Contract/Contract Pricing S.O. Analyst
(d) BMR [7] Enter SO using ERP Order In order t o create a sales order, a signed Customer Purchase Order
(e) Price List Management System and approved PAF (Proposal Approval Form) or equiv alent must be
recei ved by the Sales Order Representat ive. The PAF or equival ent i s
(f) Hardware specification document (for new matched to the Purchase Order by the Sales Order Representative to
business) ensure that the information agrees on the document s. Orders
submitted and created v ia EDI are reviewed before scheduling to
ensure that a proper PAF or corresponding document is on file.
S.O. Analyst
01A [8] Create SO packets for each A tax exemption certificate or reference number is required for
S.O. Analyst customers who are exempt from sal es or use taxes.
SO to be entered, follow-up
[3] Verify customer PO
on missing documentation
information matches Prior to entering SO i nt o the ERP Order Management Module, the SO
supporting documents Analyst verifies that t he customer PO has not been processed in ERP
by keying the PO number in the syst em. If a customer purchase order
number that is entered with a sale order already exist s in the syst em;
ERP Order Management inherent functi onality wil l giv e a notificati on
B
that the customer PO number already exists.
S.O. Analyst
[4] Follows-up with the For meter sales orders processed in US and Mexi co locations, the
Discrepancies? Yes appropriate person/ sales orders are recei ved and entered by the Sales O rder Anal yst via
department for correction the Order Management User responsibility for the given Operating
or action. Unit. Order Management User has the abilit y to Enter, Book, Cancel
and Delete sales orders.

No

- Manual Key Control - Manual Non- Key Control -Automated Key Control -Automated Non-Key Control - Key SGR - Non- Key SGR
 Process Number Prepared By Date
Alpha Corporation Internal Audit 20XX
Process Name Region Reviewed By Page
QTC: Sales Order Integrity Review NAM 2 of 2

SO Entry

PRO CESS AND CONTROLS OVERVIEW:

Thi s procedure covers weekly/monthly activi ties performed by

the Sales Order Management Group.
S.O. Analyst/Scheduler
PO Value The Sales Order Management Group performs order integrity
No [3] File Sales Order End
>=$100K? procedures that include, but are not l imited to running weekly
documentation reviews of entered sales orders. The Sales Order Analysts
delivers entered sales orders to t he Logisti c Team Members on
a weekly basis. The Order Int egrity Specialist or Logistics
Yes Manager reviews the booked sales order and verify accuracy of
ship-dat e, price, shi p to address, bill to address, quant ities,
Order Integrity Specialist/ 01A purchase order number, and sales t erms in the sales order and
Logistics Manager signs-off on the rev iew package as evi dence of rev iew.
[1] Reviews the booked sales
order and verify accuracy of ship- Sales Order Packet Manual Key-Control:
date, price, ship to address, bill QTC 01A – A sales planner enters the sales order i nt o the Sales
Order Module after matching the customer PO to the sales
to address, quantities, purchase
contract, Business Management Review, Proposal Approv al
order number, and sales terms in Form (PAF), Revenue Margin Analy sis (RMA) and/or approved
the sales order. price list. The Logistics Manager or designee (other than the
person entering the sales order) revi ews the booked sales order
to determine the accuracy of prices, quantiti es and sales terms
in the sales order module. The sales packet/customer PO is
Order Integrity Specialist/ signed and dated by the revi ewer as evidence of review.
Logistics Manager Purchase Orders $100K (NAM) and abov e will be subject to
sales order integrity review.
Errors? Yes [4] Identifies the error and
communicates to the SO Planner
for correction

No

01A
Order Integrity Specialist/
Logistics Manager
Correction
[2] The sales order packet/ AR
No requires Yes
customer PO is signed and dated Adjustments
adjustment?
by the Logistics Manager as
evidence of review.

S.O. Analyst/Scheduler
[3] File Sales Order End
documentation

- Manual Key Control - Manual Non- Key Control -Automated Key Control -Automated Non-Key Control - Key SGR - Non- Key SGR