ISO 9001: 2015 - Internal Audit Checklist for Sales Process in Manufacturing
ISO 9001 Sales Process Audit: Complete Sales Order Checklist
Master ISO 9001 sales process audits with this comprehensive tabular checklist. This guide provides practical audit questions covering customer communication, order management, requirements review, order changes, customer satisfaction monitoring, sales competence, post-delivery services, and sales KPI tracking. Quick reference format for efficient sales process and customer order fulfillment auditing.
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📞 Customer Communication (Clause 8.2.1)
Verify that customers are informed about product availability, prices, and delivery timelines. Check that communication is clear, accurate, and timely.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 8.2.1 | Are customers informed about product availability, prices, and delivery timelines? | Product catalog updated, pricing lists current, delivery timelines communicated, availability checks performed, inquiries responded promptly |
Communication Excellence: Clear upfront communication prevents misunderstandings and sets correct customer expectations.
📝 Determining Customer Requirements (Clause 8.2.2)
Verify that before accepting an order, customer requirements are clearly understood and documented. Check that all order details are confirmed in writing.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 8.2.2 | Before accepting an order, are customer requirements clearly understood? | Requirements discussion documented, needs clarified, customer expectations confirmed, order details captured in writing |
| 8.2.2 | Are product specifications, quantity, delivery date, and price confirmed with the customer? | Written order confirmation sent, all details agreed in writing, product specifications documented, quantity confirmed, delivery date accepted, pricing agreed |
| 8.2.2 | Are special requirements (custom design, packaging, labeling) identified and documented? | Special requests captured, custom specifications documented, packaging requirements noted, labeling instructions recorded, drawings/samples if needed |
⚠️ Critical: Unclear order requirements lead to disputes, rework, or non-compliant deliveries. Documentation is essential.
✅ Review of Customer Requirements (Clause 8.2.3)
Verify that orders are reviewed for feasibility before committing to customers. Check that the organization can meet all requirements.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 8.2.3 | Before committing to the customer, is the order reviewed for feasibility? | Order review process defined, multi-function review conducted, feasibility assessed, constraints identified, approval before commitment |
| 8.2.3 | Can the organization meet the customer's requirements? (quantity, delivery date, specifications) | Capacity analysis conducted, delivery date feasibility assessed, specifications achievable, resources available, risks identified |
Order Review Best Practice: Say "no" upfront if you can't meet requirements rather than disappointing the customer later.
🔄 Changes to Customer Orders (Clause 8.2.4)
Verify that if customers change orders, changes are documented, communicated, and assessed for feasibility before acceptance.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 8.2.4 | If customer changes an order, how is the change documented and communicated? | Change request form used, change details documented, change communicated internally, impact assessed, revised order sent to customer |
| 8.2.4 | Is the feasibility of customer changes assessed before accepting them? | Change impact analysis performed, delivery impact evaluated, cost implications assessed, approval obtained before confirming change |
⚠️ Change Risk: Late order changes can cause production chaos or delivery delays. Always assess feasibility and communicate impact.
😊 Customer Satisfaction Monitoring (Clause 9.1.2)
Verify that customer satisfaction is measured, analyzed, and trends are monitored. Check that feedback drives improvement actions.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 9.1.2 | How is customer satisfaction measured? (surveys, feedback, repeat business) | Satisfaction surveys conducted, feedback mechanisms available, repeat order rate tracked, customer complaints documented, satisfaction metrics defined |
| 9.1.2 | Is customer feedback analyzed to identify improvement opportunities? | Feedback data compiled, analysis performed, common complaints identified, improvement opportunities listed, actions assigned |
| 9.1.2 | Are trends in customer satisfaction monitored and reported? | Satisfaction trends tracked over time, reports prepared, management review conducted, improvement progress tracked |
Customer Voice: Customer feedback is the best source of insights for what matters most to your business.
👤 Sales Authority and Responsibilities (Clause 5.3)
Verify that sales personnel have clearly defined authority levels. Check that discounts, terms, and special requirements are approved by appropriate personnel.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 5.3 | Who has authority to approve discounts, negotiate terms, or commit to special requirements? | Authority matrix documented, approval limits defined per level, escalation procedures clear, discount policy established, authority properly delegated |
⚠️ Control Risk: Without clear authority limits, unauthorized commitments or excessive discounts can erode profitability.
🎁 Post-Delivery Activities and Services (Clause 8.5.5)
Verify that warranty, after-sales services, and technical support are clearly defined and communicated to customers.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 8.5.5 | Are warranty or after-sales services clearly defined and communicated? | Warranty policy documented, warranty terms communicated to customers, warranty period specified, coverage clearly explained |
| 8.5.5 | Are technical support or maintenance services offered to customers? | Support services available, hotline/contact information provided, response time defined, training offered if needed, spare parts available |
Customer Relationship: Good after-sales support builds customer loyalty and differentiates you from competitors.
📊 Sales KPIs and Performance Monitoring (Clause 9.1.1)
Verify that sales performance is tracked through key metrics. Check that order fulfillment and delivery performance are monitored.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 9.1.1 | What sales KPIs are tracked? (orders received, revenue, delivery performance, win rate) | Order metrics tracked, revenue monitored, delivery performance measured, win rate calculated, quotation accuracy tracked, sales pipeline reviewed |
Performance Measurement: Track what matters: orders, revenue, delivery performance, and customer retention for comprehensive sales view.
👨💼 Sales Staff Competence and Training (Clause 7.2)
Verify that sales personnel are trained on products and company capabilities. Check that product knowledge is maintained and updated.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 7.2 | Are sales staff trained on products and company capabilities? | Product training conducted, company capabilities explained, service offerings understood, training records maintained, refresher training scheduled |
Sales Excellence: Well-trained sales staff can accurately represent your company and build customer confidence.
🤝 Customer Retention Strategies (Clause 6.1)
Verify that customer retention strategies are developed for key accounts to maintain long-term business relationships.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 6.1 | Are customer retention strategies developed for key accounts? | Key accounts identified, retention strategies planned, relationship management activities, regular customer reviews, feedback sessions scheduled |
⚠️ Business Reality: Retaining existing customers is cheaper than acquiring new ones. Invest in customer relationships.
💡 Sales Knowledge and Best Practices (Clause 7.1.6)
Verify that sales knowledge, techniques, and lessons learned are shared within the sales team for continuous improvement.
| CLAUSE | AUDIT QUESTION | WHAT TO LOOK FOR |
|---|---|---|
| 7.1.6 | Is sales knowledge (techniques, best practices, lessons learned) shared within the team? | Team meetings held, best practices shared, lessons learned documented, success stories discussed, training from experienced sales people |
Team Learning: Share wins and lessons with the team to accelerate everyone's success and improve overall performance.
📌 Sales Process Audit Best Practices
Before the Audit
| 📊 Review Sales Data | Analyze order history, customer satisfaction data, delivery performance, complaint trends |
| 📋 Study Sales Processes | Review sales procedures, order processing, customer communication processes, authority limits |
| 🗓️ Schedule with Sales Team | Interview sales manager, sales personnel, customer service representatives |
| 📚 Gather Documentation | Customer feedback, order records, satisfaction surveys, sales KPIs, training records |
During the Audit
| 🤝 Interview Sales Team | Discuss order processes, customer communication, authority levels, competence requirements |
| 📋 Review Sample Orders | Examine 5-10 recent orders from receipt through delivery for completeness and compliance |
| 💬 Contact Customers | Call 3-5 customers to verify communication, confirm requirements, assess satisfaction |
| 📊 Analyze Sales Metrics | Review KPIs, delivery performance, order accuracy, customer satisfaction data |
| 🔍 Check Documentation | Verify training records, sales procedures, authority matrices, change management |
| ✅ Observe Practices | Observe actual order handling, customer interactions, process execution |
After the Audit
| 📝 Comprehensive Report | Document sales process effectiveness, order management quality, customer satisfaction |
| ⭐ Rate Sales Process | Overall assessment of sales function quality and compliance with ISO 9001 |
| 🎯 Provide Recommendations | Suggest improvements for customer communication, order management, satisfaction |
| ✅ Require Actions | For nonconformities, require corrective actions with specific timelines |
| 🔄 Follow-Up | Verify improvements in next audit period |
🚩 Common Sales Process Findings
| No Order Review | Orders accepted without assessing feasibility or organizational capability |
| Poor Requirements Documentation | Customer requirements not clearly documented in writing; misunderstandings occur |
| Unauthorized Commitments | Sales staff commit to terms beyond their authority; discounts given without approval |
| No Change Control | Customer order changes accepted without feasibility assessment or communication |
| Untrained Sales Staff | Sales personnel lack product knowledge or training on sales procedures |
| No Satisfaction Tracking | Customer satisfaction not measured; feedback not collected or analyzed |
| Missing KPIs | Sales performance not tracked; delivery performance not monitored |
| Poor Communication | Customers unclear on availability, pricing, or delivery; mismatched expectations |
| No Post-Delivery Support | Warranty and after-sales services not defined or communicated |
| Weak Customer Retention | No strategies for maintaining key customer relationships |
✨ Conclusion
This comprehensive ISO 9001 sales process audit checklist in tabular format covers all critical aspects of customer order management from initial communication through post-delivery service. Effective sales audits verify that customer requirements are properly understood and documented, orders are reviewed for feasibility, customer satisfaction is monitored, and sales personnel are competent and properly authorized. Strong sales process management ensures customer expectations are met and exceeded, leading to satisfied customers and repeat business.
Remember: The sales process is your first interaction with customers and sets the tone for the entire relationship. Professional order management and clear communication create the foundation for customer satisfaction and business success.
📚 Explore Related Audit Guides
This blog is part of a comprehensive ISO 9001 internal audit series:
