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Internal Audit Plan in Retail

#1
Hello everyone,

Currently I am setting up an IA department in one of the biggest retail businesses in my country.

Could anyone help me sending me IA plan and universe for retail business with working papers?

Any advises would be appreciated.

Thank you all in advance.
 

Coury Ferguson

Moderator here to help
Staff member
Super Moderator
#2
The audit plan is generated by the Internal Auditor specifically to the organization.

My suggestion is that you get a copy of ISO 19011 which is the basis for auditing. It will assist you in creating the Audit Plan. That is where you need to start.

There are white papers out for free download that have been written by the The Auditing Practices Group. Here is their link to the papers:

www.iso.org/tc176/ISO9001AuditingPracticesGroup

Have you had any formal training in Auditing? It might help more people to try and assist you. Just my suggestion.
 
#3
Hi Coury,

Thank you very much for your reply.

As I am living in Montenegro where Internal Audit departments are just starting to expand, it is very limited where I can search for some more serious advice.
So far, I did not have any formal training in Internal Audit, I worked as external auditor for several years.

Once more, thank you.
 

Coury Ferguson

Moderator here to help
Staff member
Super Moderator
#4
Hi Coury,

Thank you very much for your reply.

As I am living in Montenegro where Internal Audit departments are just starting to expand, it is very limited where I can search for some more serious advice.
So far, I did not have any formal training in Internal Audit, I worked as external auditor for several years.

Once more, thank you.
Since you have worked as an External Auditor, then you should have some formal training. Was the External Auditor as the customer 2nd Party or Registrar 3rd Party?
 

Ed Panek

VP QA RA Small Med Dev Company FDA and ISO13485:16
Trusted
#6
Most auditing consists of three steps

1) Define what you want
2) Provide documents that achieve 1
3) Verify with evidence people are following 2 and that 2 is achieving 1.
 

Jim Wynne

Super Moderator
#7
Most auditing consists of three steps

1) Define what you want
2) Provide documents that achieve 1
3) Verify with evidence people are following 2 and that 2 is achieving 1.
Could #1 and #2 be combined to say "Define and document the requirements"?
 

Ed Panek

VP QA RA Small Med Dev Company FDA and ISO13485:16
Trusted
#9
I guess my point is that some auditor approaches their work like a giant game of company Simon Says. That the reason the QMS exists stands behind whether or not they can trap someone in a gotcha moment. For me, the audit must be value added and works with the reason the QMS exists. Not to catch Simon Says errors. For example, a recent audit I was noted because the SOP says initial and an employee signed. Really?
 
#10
Basically, as I see there is a mixture between ISO audit and internal audit which is conducted by IIA Standards.
For now, there is no QMS system in my company, neither any of the ISO standards is implemented. At the moment , I am planning to conduct an audit following IIA standards, based on risk assessment of each audit unit in the company, and to make a 3 year strategic plan.
As well, today I contacted ISO professionals so we can start implementation of ISO 9001:2015.
 

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