SM - Checklist

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,
Date
Auditee (s)
Time
REV. 0
Yes / No /
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?
Date
Auditee (s)
Time
REV. 0
Yes / No /
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.)
Date
Auditee (s)
Time
REV. 0
Yes / No /
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
Date
Auditee (s)
Time
REV. 0
Yes / No /
N.A.
How do you keep up to date with your company’s product

12
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).
Date
Auditee (s)
Time
REV. 0
Yes / No /
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?
Date
Auditee (s)
Time
REV. 0
Yes / No /
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?
Date
Auditee (s)
Time
REV. 0
Yes / No /
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?
Date
Auditee (s)
Time
REV. 0
Yes / No /
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
Date
Auditee (s)
Time
REV. 0
Yes / No /
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
Date
Auditee (s)
Time
REV. 0
Yes / No /
N.A.
How do you communicate information regarding product to Direct Communication with Customer (regular meeting,
25
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
Date
Auditee (s)
Time
REV. 0
Yes / No /
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
Date
Auditee (s)
Time
REV. 0
Yes / No /
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
Date
Auditee (s)
Time
REV. 0
Yes / No /
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
36
Unique of identification of quotation? (using correct
format)?
Date
Auditee (s)
Time
REV. 0
Yes / No /
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?
Date
Auditee (s)
Time
REV. 0
Yes / No /
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?
Date
Auditee (s)
Time
REV. 0
Yes / No /
N.A.
How do you obtain information relating to customer views

44
and opinions of you services?
Preventive Action
Actions taken for potential non-conformities / formulated
42 Yes
for increasing trends in non-conformance findings?

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INTERNAL AUDIT CHECKLIST

Department Sales & Marketing Auditor (s)

8.2 Requirements for product and services

What outputs or services do your customer expects from

How do you relate the Quality Policy to your work to

How can you contribute to the achievement of the Quality

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

What are the resources identified to implement, maintain

Are the employees aware of the relevance and importance

* Does the personnel performing specific assigned tasks

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

What would you improve about your company’s product

Has the organization prepare contingency plans to satisfy

What are the procedures which outlines the specific

How do you resolve contract or order requirements which

Are the records due for archiving already endorsed to

How you monitored customer satisfaction is achieved your

How do you obtain information relating to customer views

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