¿Cómo se realizan las auditorías de control de soluciones?

Conducting solution control audits ensures the effectiveness and sustainability of implemented changes. 1. **Set Audit Criteria**: Define the key performance metrics to measure success. 2. **Schedule Regular Audits**: Plan audits at consistent intervals to monitor progress. 3. **Review Process Performance**: Compare actual results with expected outcomes. 4. **Gather Feedback**: Collect input from teams and stakeholders. 5. **Document & Act**: Record findings and make necessary adjustments to maintain solution effectiveness. This process keeps improvements on track.

Aqui no Banco Itaú as auditorias são centralizadas por um equipe específica e está separada do time de processos / projetos justamente para ser isento e garantir a aplicação profunda da auditoria. O ponto de partida sempre parte dos processos que estão em quadrantes mais críticos (maior risco e com menor nível de controle/ padronização).

Inicialmente, definimos critérios claros de desempenho e padronização para cada solução implementada, garantindo alinhamento com os objetivos organizacionais e melhores práticas internacionais. Em campo, utilizamos checklists detalhados e metodologias baseadas em dados, como auditorias de processos e entrevistas estruturadas, para avaliar a aderência às normas e identificar oportunidades de melhoria. Revisamos métricas e KPIs, garantindo que os ganhos propostos estão sendo mantidos e que há evolução contínua. Por fim, as auditorias são acompanhadas de um plano de ação robusto, com prazos definidos e revisões periódicas para monitorar o progresso e corrigir desvios, assegurando que os resultados sejam consistentes e replicáveis globalmente.

Conducting solution control audits using Lean Six Sigma involves meticulous evaluation to ensure sustained process improvements. Imagine a manufacturing company that recently streamlined its assembly line to reduce defects. First, define audit criteria based on key performance indicators such as defect rates and cycle times. Use control charts to monitor these metrics continuously. Next, perform Gemba walks to observe the process firsthand and gather feedback from workers. Regularly review data for variations and conduct root cause analysis if deviations occur. This rigorous approach ensures the improvements are maintained and identifies areas for further optimization.

The second step in the audit process is to select the audit team. The effectiveness of an audit largely depends on the qualifications, independence, and collaboration of the team members. Here’s how to ensure the audit team is well-equipped to conduct a thorough and impartial audit

Choose a team of qualified auditors with relevant expertise and experience in the area being audited. Ensure the team includes individuals with an understanding of both the technical aspects and the operational context of the solutions being evaluated. This diversity in expertise helps in providing a balanced and thorough assessment.

Quando eu seleciono os membros para compor a equipe, priorizo a diversidade de conhecimentos e a experiência prática em processos lean. Incluo profissionais que não só dominam as ferramentas de auditoria, mas também têm um entendimento profundo dos processos específicos que serão auditados. Isso permite uma análise mais rica e a identificação de não-conformidades com maior precisão. Além disso, busco garantir que a equipe seja capaz de trabalhar colaborativamente e que possua habilidades de comunicação para garantir um feedback construtivo e a aceitação das recomendações de melhoria.

Para conduzir uma auditoria de controle de soluções, a seleção da equipe de auditoria é crucial. Comece identificando profissionais com conhecimento técnico e experiência relevante nas áreas a serem auditadas, como TI, segurança da informação ou processos operacionais. Certifique-se de incluir membros com habilidades analíticas. A diversidade de habilidades dentro da equipe enriquece a análise e cobre diferentes aspectos da auditoria. Além disso, garanta que a equipe tenha uma compreensão clara dos objetivos da auditoria e das normas a serem seguidas. Finalmente, assegure que todos os membros tenham a disponibilidade necessária para realizar a auditoria de forma eficaz e dentro dos prazos estabelecidos.

It involves choosing individuals with diverse expertise to ensure a comprehensive evaluation. The team typically includes internal auditors with knowledge of auditing standards, IT professionals who understand the technical aspects of the solutions and business process experts familiar with the operational context. It's crucial to include individuals with analytical skills to interpret data and those with a strong understanding of compliance requirements. The selection process should consider the team's ability to work collaboratively and objectively. A well-rounded team ensures that the audit covers all relevant aspects, identifies potential risks and provides actionable recommendations to enhance control measures & operational efficiency.

The audit checklist is a structured tool for auditors to systematically gather evidence to ensure compliance and process effectiveness after implementing the improvements. While preparing your checklist, you have to focus on the Xs and Ys that were changed in the improvement project.

Primeiro, alinho a lista de verificação aos objetivos específicos da auditoria, assegurando que cada item reflita um ponto crítico ou um requisito chave do sistema de controle de soluções. Incluo também referências a padrões e procedimentos relevantes, além de espaço para observações e evidências. A lista é projetada para ser flexível, permitindo que os auditores façam anotações e identifiquem não-conformidades, mas também para guiar a auditoria de forma estruturada, mantendo a equipe focada e minimizando a possibilidade de esquecer pontos importantes.

The third step in the audit process is to prepare the audit checklist. This checklist serves as a vital tool for auditors to systematically collect and record evidence, ensuring that all aspects of the audit scope are thoroughly covered. Here’s how to effectively prepare an audit checklist

Develop a detailed checklist or audit plan that includes all the criteria and standards against which the solutions will be evaluated. This checklist should cover key aspects such as compliance with regulations, efficiency, effectiveness, and sustainability. A well-prepared checklist helps in systematically covering all necessary areas during the audit.

The audit checklist should include items such as compliance with regulatory standards, effectiveness of internal controls, accuracy and integrity of data, security measures, user access controls and disaster recovery plans. Each item should have specific, measurable questions or criteria to ensure a thorough assessment. The checklist acts as a guide to ensure all critical aspects are reviewed systematically, promoting consistency and thoroughness in the audit process. By detailing each control area, the checklist helps auditors focus on identifying gaps and opportunities for improvement, ensuring comprehensive coverage and robust evaluation of the solution controls.

The fourth step in the audit process is to conduct the audit, following the audit plan and utilizing the audit checklist to gather and evaluate evidence. This step is crucial for assessing the compliance and effectiveness of the process under review. Here’s how to conduct the audit effectively

Durante a auditoria, incentivo a equipe a observar ativamente os processos, coletar dados e interagir com os colaboradores para entender as dinâmicas operacionais. Mantenho o foco na identificação de desperdícios, variações e oportunidades de melhoria, ao mesmo tempo em que presto atenção às práticas que funcionam bem. A comunicação é chave: asseguro que todos os membros da equipe estejam alinhados e que qualquer descoberta seja discutida e documentada imediatamente, para evitar perda de contexto. O objetivo é não apenas verificar conformidade, mas também construir um entendimento compartilhado que possa levar a melhorias contínuas e sustentáveis nos processos de controle de soluções.

Execute the audit according to the defined scope and checklist. Collect data through various methods such as interviews, observations, document reviews, and performance tests. Ensure that the audit is conducted impartially and objectively, and that all relevant evidence is thoroughly documented.

Performing Solution Control Audits is a specialised activity and in general solution control auditors/reviewers are drawn from a financial background, or a quality background where audit is training, or they are a subject matter expert, capable of addressing specific issues and context of a specialised topic e.g. IT security, or industry sector e.g. life sciences. Regardless of their background auditors will possess a blend of skills: integrity, excellent communication, attention to detail, critical thinking, analytical, and will be able to work at every level of an organisation. They will bring their tools and techniques to the audit, enabling them to be efficient in their work without overly disrupting day-to-day work.

Conducting the audit requires a disciplined approach to gathering and evaluating evidence in line with the audit plan and checklist. Effective communication with auditees is vital, as it fosters collaboration and openness during observations, performance measurements, and control testing. Documenting findings such as nonconformities, opportunities for improvement, best practices, and lessons learned provides actionable insights for continuous enhancement. Maintaining objectivity, impartiality, and respect throughout the audit not only upholds ethical standards but also strengthens trust between auditors and auditees, ensuring a constructive and impactful audit process.

Compile the findings into a comprehensive audit report. Highlight the strengths, weaknesses, and areas for improvement identified during the audit. Provide clear, actionable recommendations to address any deficiencies or enhance the effectiveness of the solutions. Ensure the report is communicated to all relevant stakeholders.

The fifth step in the audit process is to report the audit results. This involves summarizing and presenting the audit findings, conclusions, and recommendations in a clear, concise, and accurate manner. The audit report should provide a comprehensive overview of the process's strengths and weaknesses and include an actionable plan for improvement. Here’s how to effectively report the audit results

Elaboro um relatório que destaca as conformidades e não-conformidades encontradas, apresentando-as de forma estruturada e com evidências claras. Além disso, incluo recomendações baseadas em melhorias lean, sempre vinculando-as aos impactos potenciais na eficiência e qualidade do processo. Durante a reunião de apresentação dos resultados, promovo um ambiente de abertura para discussões, incentivando o diálogo entre os auditores e a equipe operacional. Isso não apenas facilita a aceitação das descobertas, mas também engaja os colaboradores no processo de melhoria contínua, garantindo que a comunicação seja uma ferramenta poderosa para a transformação lean.

Reporting the audit results is a critical step in ensuring the audit's impact. The audit report should be clear, concise, and accurate, effectively summarizing the findings, conclusions, and actionable recommendations. It should highlight both the strengths and weaknesses of the process to provide a balanced view. Including an action plan with specific corrective and preventive actions, along with designated responsible parties and deadlines, ensures accountability and follow-through. Communicating the audit report to the project team, process owners, and other relevant stakeholders ensures transparency and facilitates the timely implementation of improvements.

Para comunicar os resultados de uma auditoria de controle de soluções, comece preparando um relatório claro e estruturado que resuma os principais achados, incluindo áreas de conformidade e não conformidade. Detalhe cada descoberta, apoiando-se em evidências coletadas durante a auditoria. Inclua recomendações práticas para resolver problemas e melhorar controles. Em seguida, agende uma reunião com as partes interessadas para apresentar o relatório e discutir os resultados. Durante a reunião, destaque pontos críticos e esteja pronto para responder a perguntas e esclarecer dúvidas. Por fim, envie o relatório formalmente e mantenha a comunicação aberta para acompanhamento das ações corretivas e melhoria contínua.

Priorizo a criação de um plano de ação com responsáveis definidos e prazos claros para cada item identificado. Estabeleço um sistema de gestão visual para monitorar o progresso das ações corretivas e preventivas, garantindo que todas as medidas estejam alinhadas com os princípios lean de eliminação de desperdícios e melhoria contínua. Realizo reuniões periódicas para revisão do status das ações e para discutir qualquer desvio dos planos estabelecidos, assegurando que as soluções implementadas sejam eficazes e sustentáveis.

The sixth and final step in the audit process is to follow up on the audit actions. This step is crucial for ensuring that corrective and preventive actions are implemented effectively and lead to the desired improvements. Here’s how to conduct a thorough follow-up

After the audit report is issued, monitor the implementation of the recommended actions. Ensure that corrective measures are effectively addressing the identified issues. Regular follow-ups and status reports help maintain accountability and track progress towards achieving the desired outcomes.

After the audit, track and verify that corrective actions are done on time, address root causes, and lead to improvements. Give feedback, update documents, and ensure lasting changes for continuous enhancement.

Following up on the audit actions is essential to ensure that corrective and preventive actions are effectively implemented and lead to tangible improvements. Auditors should monitor the completion of actions within the agreed timelines, verify that they address the root causes, and assess the measurable impact on process performance. Providing feedback and recognition to the auditees not only acknowledges their efforts but also encourages continuous improvement. Additionally, updating the control plan and audit checklist based on the findings ensures that future audits are more effective, keeping the process aligned with evolving needs and standards.

Identifying the root causes of non-conformities is essential for developing effective corrective actions. This often involves using root cause analysis tools such as fishbone diagrams or the 5 Whys technique. In a healthcare project to reduce patient readmission rates, I identified non-conformities related to post-discharge follow-up processes. Using root cause analysis, I discovered that the primary issue was inadequate patient education on discharge instructions, leading to targeted interventions that improved outcomes. Compiling a comprehensive audit report that includes findings, analysis, and actionable recommendations ensures that stakeholders are informed and can take necessary actions to address issues.

Adicionalmente, a capacitação contínua dos colaboradores é essencial para que todos estejam alinhados com os objetivos lean e se sintam empoderados para sugerir melhorias. A auditoria não deve ser vista como um evento isolado, mas como parte de um sistema de gestão que promove a cultura de melhoria contínua e a excelência operacional. Por fim, é vital manter uma comunicação transparente e aberta com todas as partes interessadas, garantindo que as lições aprendidas sejam compartilhadas e incorporadas na prática diária, consolidando assim uma mentalidade lean na organização.

Based on my own experience of reviewing and auditing – (mostly process, quality, and IT systems/solutions), one of the most important success factors in performing a solution audit is providing reassurance for the people being audited. In this regard, a timely communication from the audit Sponsor to the in-scope organisation can be very helpful to co-operation and participation. This should explain the purpose and importance of the audit, why participant input is important and what is expected of them, and there should be transparency about the publication of the audit findings i.e. will they be generally available or just for a select group. This will demonstrate respect and minimise potential negativity associated with audits.

Consider the broader context and potential impacts of the audit findings on the organization. Maintain open communication with all stakeholders throughout the audit process to foster transparency and buy-in for the recommended actions. Continuously review and update the audit process to incorporate lessons learned and adapt to any changes in regulatory requirements or organizational priorities. Ensure that the audit process itself is subject to periodic review and improvement to enhance its effectiveness and relevance.

Conduzir auditorias de controle de soluções envolve um processo estruturado para garantir que os sistemas e processos estejam funcionando de forma eficaz e em conformidade com as normas estabelecidas.