ISO 17021 2016 - Treinamento

NORMA ABNT NBR
BRASILEIRA ISO/IEC
17021-1
Primeira edio
16.05.2016
Verso corrigida
12.09.2016
Avaliao da conformidade Requisitos para

organismos que fornecem auditoria
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Parte 1: Requisitos
Conformity assessment Requirements for bodies providing audit
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Part 1: Requirements
ICS 03.120.20 ISBN 978-85-07-06232-5
Nmero de referncia
ABNT NBR ISO/IEC 17021-1:2016
54 pginas
ISO/IEC 2015 - ABNT 2016

ISO/IEC 2015
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ABNT 2016
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escrito da ABNT.
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ii ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados

Sumrio Pgina
Prefcio Nacional ..............................................................................................................................vii

Introduo ...........................................................................................................................................ix
1 Escopo ................................................................................................................................1
2 Referncias normativas .....................................................................................................1
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4 Princpios ............................................................................................................................4
4.1 Generalidades.....................................................................................................................4
4.2 Imparcialidade ....................................................................................................................5
4.3 Competncia .......................................................................................................................6
4.4 Responsabilidade...............................................................................................................6
4.5 Transparncia .....................................................................................................................6
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4.8 Abordagem baseada em risco ..........................................................................................7
5 Requisitos gerais ...............................................................................................................7
5.1 Aspectos legais e contratuais...........................................................................................7
5.1.1 Responsabilidade legal .....................................................................................................7
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5.2 Gesto da imparcialidade ..................................................................................................8
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6 Requisitos de estrutura ...................................................................................................10
6.1 Estrutura organizacional e Alta Direo ........................................................................10
6.2 Controle operacional ....................................................................................................... 11
7 Requisitos de recursos.................................................................................................... 11
7.1 Competncia do pessoal ................................................................................................. 11
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7.1.2 Determinao de critrios de competncia ................................................................... 11
7.1.3 Processos de avaliao ...................................................................................................12
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7.3 Uso de auditores e especialistas tcnicos externos ....................................................13
7.4 Registros do pessoal .......................................................................................................13
7.5 Terceirizao.....................................................................................................................14
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ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados iii

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9 Requisitos dos processos...............................................................................................19
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9.1.1 Solicitao ........................................................................................................................19
9.1.2 Anlise crtica da solicitao ..........................................................................................19
9.1.3 Programa de auditoria .....................................................................................................20
9.1.4 Determinao do tempo de auditoria .............................................................................21
9.1.5 Amostragem de multi-site ...............................................................................................21
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9.2 Planejando auditorias ......................................................................................................22
9.2.1 Determinao dos objetivos, escopo e critrios de auditoria .....................................22
9.2.2 Seleo da equipe auditora e designao de tarefas ...................................................22
9.2.3 Plano de auditoria ............................................................................................................24
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9.4 Conduzindo auditorias ....................................................................................................27
9.4.1 Generalidades...................................................................................................................27
9.4.2 Conduo da reunio de abertura ..................................................................................27
9.4.3 Comunicao durante a auditoria ..................................................................................28
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9.4.7 Conduo da reunio de encerramento.........................................................................29
9.4.8 Relatrio de auditoria ......................................................................................................30
9.4.9 Anlise das causas das no conformidades .................................................................31
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9.5.1 Generalidades...................................................................................................................31
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9.6.1 Generalidades...................................................................................................................33
9.6.2 Atividades de superviso ................................................................................................33
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9.6.4 Auditorias especiais ........................................................................................................35
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9.9 Registros de clientes .......................................................................................................38
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iv ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados

10.2 Opo A: Requisitos gerais de sistema de gesto .......................................................39

10.2.1 Generalidades...................................................................................................................39
10.2.2 Manual do sistema de gesto .........................................................................................39
10.2.3 Controle de documentos .................................................................................................39
10.2.4 Controle de registros .......................................................................................................40
10.2.5 Anlise crtica pela direo .............................................................................................40
10.2.6 Auditorias internas...........................................................................................................41
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10.3 Opo B: Requisitos de sistema de gesto de acordo com a ABNT NBR ISO 9001 .42
10.3.1 Generalidades...................................................................................................................42
10.3.2 Escopo ..............................................................................................................................42
10.3.3 Foco no cliente .................................................................................................................42
10.3.4 Anlise crtica pela direo .............................................................................................42
Anexo A (normativo) Conhecimentos e habilidades exigidos........................................................43
A.1 Generalidades...................................................................................................................43
A.2 Requisitos de competncia para auditores de sistemas de gesto............................44
A.2.1 Conhecimento de prticas de gesto de negcios.......................................................44
A.2.2 Conhecimento de princpios de auditoria, prticas e tcnicas ...................................44
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A.2.5 Conhecimento do setor de negcios do cliente ...........................................................44
A.2.6 Conhecimento dos produtos, processos e organizao do cliente............................44
A.2.7 Habilidades no idioma apropriadas para todos os nveis dentro da organizao do
cliente ................................................................................................................................44
A.2.8 Habilidades para tomar notas e redigir relatrios ........................................................44
A.2.9 Habilidades para apresentao ......................................................................................45
A.2.10 Habilidades de realizar entrevistas ................................................................................45
A.2.11 Habilidades para gesto da auditoria.............................................................................45
A.3 Requisitos de competncia para o pessoal que analisa criticamente relatrios de
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A.3.1 Conhecimento dos princpios, prticas e tcnicas de auditoria .................................45
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A.4 Requisitos de competncia para pessoal que conduz anlise crtica da solicitao
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ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados v

A.4.4 Conhecimento dos produtos, processos e organizao do cliente............................46

Anexo B LQIRUPDWLYRPossveis mtodos de avaliao .................................................................47
B.1 Generalidades...................................................................................................................47
B.2 Anlise crtica de registros .............................................................................................47
B.3 Realimentao ..................................................................................................................47
B.4 Entrevistas ........................................................................................................................48
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B.6 Exames ..............................................................................................................................48
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Anexo D LQIRUPDWLYRComportamento pessoal desejado .............................................................50
Anexo E LQIRUPDWLYR$XGLWRULDHSURFHVVRGHFHUWLFDomR ..........................................................51
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Figuras
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Figura E.1 Fluxo de processo tpico para auditoria de terceira parte e processo
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Tabela
Tabela A.1 Tabela de conhecimentos e habilidades ...................................................................43
vi ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados

Prefcio Nacional
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Scope
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Introduo
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ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados ix

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NORMA BRASILEIRA ABNT NBR ISO/IEC 17021-1:2016
Avaliao da conformidade Requisitos para organismos que fornecem

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Parte 1: Requisitos
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DFUHGLWDomRRXDYDOLDomRGHSDUHVRXRXWURVSURFHVVRVGHDXGLWRULD
2 Referncias normativas
2VGRFXPHQWRVUHODFLRQDGRVDVHJXLUVmRLQGLVSHQViYHLVjDSOLFDomRGHVWHGRFXPHQWR3DUDUHIH-
UrQFLDVGDWDGDVDSOLFDPVHVRPHQWHDVHGLo}HVFLWDGDV3DUDUHIHUrQFLDVQmRGDWDGDVDSOLFDPVH
DVHGLo}HVPDLVUHFHQWHVGRUHIHULGRGRFXPHQWRLQFOXLQGRHPHQGDV
$%171%5,62Sistemas de gesto da qualidade Fundamentos e vocabulrio
$%171%5,62,(&Avaliao de conformidade Vocabulrio e princpios gerais
3 7HUPRVHGHQLo}HV
3DUDRVHIHLWRVGHVWHGRFXPHQWRDSOLFDPVHRVVHJXLQWHVWHUPRVHGHQLo}HV
3.1
FOLHQWHFHUWLFDGR
RUJDQL]DomRFXMRVLVWHPDGHJHVWmRIRLFHUWLFDGR
ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 1

3.2
imparcialidade
SUHVHQoDGHREMHWLYLGDGH
127$ $REMHWLYLGDGHLPSOLFDDDXVrQFLDGHFRQLWRVGHLQWHUHVVHRXDVXDUHVROXomRGHPRGRDQmR
LQXHQFLDUGHIRUPDDGYHUVDQDVDWLYLGDGHVVXEVHTXHQWHVGRRUJDQLVPRGHFHUWLFDomR
127$ 2XWURVWHUPRV~WHLVSDUDHQWHQGHURHOHPHQWRGHLPSDUFLDOLGDGHLQFOXHPLQGHSHQGrQFLDDXVrQFLD
GHFRQLWRVGHLQWHUHVVHDXVrQFLDGHWHQGrQFLDVQmRGLVFULPLQDomRQHXWUDOLGDGHHTXLGDGHPHQWH
DEHUWDMXVWLoDGHVSUHQGLPHQWRHTXLOtEULR
3.3
consultoria de sistema de gesto
SDUWLFLSDomRQDLPSODQWDomRLPSOHPHQWDomRRXPDQXWHQomRGHXPVLVWHPDGHJHVWmR
(;(03/2 3UHSDUDomRRXSURGXomRGHPDQXDLVRXSURFHGLPHQWRV
(;(03/2 )RUQHFLPHQWRGHDVVHVVRULDLQVWUXo}HVRXVROXo}HVHVSHFtFDVFRPUHODomRDRGHVHQYROYL-
PHQWRHLPSOHPHQWDomRGHXPVLVWHPDGHJHVWmR
127$ 2UJDQL]DU WUHLQDPHQWRV H SDUWLFLSDU FRPR LQVWUXWRU QmR p FRQVLGHUDGR FRQVXOWRULD GHVGH TXH
DR WUDWDU GH DVVXQWRV UHODFLRQDGRV DRV VLVWHPDV GH JHVWmR RX DXGLWRULD R WUHLQDPHQWR VH UHVWULQMD DR
IRUQHFLPHQWR GH LQIRUPDo}HV JHQpULFDV LVWR p QmR FRQYpP TXH R LQVWUXWRU RIHUHoD VROXo}HV HVSHFtFDV
SDUDRFOLHQWH
127$ 2 IRUQHFLPHQWR GH LQIRUPDo}HV JHQpULFDV SRUpP QmR VROXo}HV HVSHFtFDV SDUD R FOLHQWH SDUD
DPHOKRULDGHSURFHVVRVRXVLVWHPDVQmRpFRQVLGHUDGRFRQVXOWRULD7DOLQIRUPDomRSRGHLQFOXLU
H[SOLFDomRGRVLJQLFDGRHGDLQWHQomRGRVFULWpULRVGHFHUWLFDomR
LGHQWLFDomRGHRSRUWXQLGDGHVGHPHOKRULD
H[SOLFDomRGHWHRULDVDVVRFLDGDVPHWRGRORJLDVWpFQLFDVRXIHUUDPHQWDV
FRPSDUWLOKDPHQWRGHLQIRUPDomRQmRFRQGHQFLDOVREUHPHOKRUHVSUiWLFDVUHODFLRQDGDV
RXWURVDVSHFWRVGHJHVWmRTXHQmRHVWHMDPFREHUWRVSHORVLVWHPDGHJHVWmRVHQGRDXGLWDGR
3.4
DXGLWRULDGHFHUWLFDomR
DXGLWRULDUHDOL]DGDSRUXPDRUJDQL]DomRGHDXGLWRULDLQGHSHQGHQWHGRFOLHQWHHGDVSDUWHVLQWHUHV-
VDGDVQDFHUWLFDomRSDUDQVGHFHUWLFDomRGRVLVWHPDGHJHVWmRGRFOLHQWH
127$ 1DVGHQLo}HVDVHJXLURWHUPRDXGLWRULDIRLXVDGRSRUVLPSOLFLGDGHSDUDUHIHULUVHjVDXGLWRULDV
GHFHUWLFDomRGHWHUFHLUDSDUWH
127$ $XGLWRULDVGHFHUWLFDomRLQFOXHPDXGLWRULDVLQLFLDLVGHVXSHUYLVmRHGHUHFHUWLFDomRHWDPEpP
SRGHPLQFOXLUDXGLWRULDVHVSHFLDLV
127$ $XGLWRULDV GH FHUWLFDomR VmR WLSLFDPHQWH UHDOL]DGDV SRU HTXLSHV GH DXGLWRULD GRV RUJDQLVPRV
TXHRIHUHFHPFHUWLFDomRGHFRQIRUPLGDGHDRVUHTXLVLWRVGDVQRUPDVGHVLVWHPDVGHJHVWmR
127$ 8PDDXGLWRULDFRQMXQWDpTXDQGRGXDVRXPDLVRUJDQL]Do}HVGHDXGLWRULDFRRSHUDPSDUDDXGLWDU
XP~QLFRFOLHQWH
2 ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados

127$ 8PD DXGLWRULD FRPELQDGD p TXDQGR XP FOLHQWH p DXGLWDGR SHORV UHTXLVLWRV GH GXDV RX PDLV
QRUPDVGHVLVWHPDVGHJHVWmRMXQWDV
127$ 8PDDXGLWRULDLQWHJUDGDpTXDQGRXPFOLHQWHLQWHJUDDDSOLFDomRGRVUHTXLVLWRVGHGXDVRXPDLV
QRUPDVGHVLVWHPDVGHJHVWmRHPXP~QLFRVLVWHPDGHJHVWmRHpDXGLWDGRSRUPDLVGHXPDQRUPD
3.5
cliente
RUJDQL]DomRFXMRVLVWHPDGHJHVWmRpDXGLWDGRSDUDQVGHFHUWLFDomR
3.6
auditor
SHVVRDTXHUHDOL]DXPDDXGLWRULD
3.7
competncia
FDSDFLGDGHSDUDDSOLFDUFRQKHFLPHQWRHKDELOLGDGHVSDUDFRQVHJXLURVUHVXOWDGRVSUHWHQGLGRV
3.8
guia
SHVVRDGHVLJQDGDSHORFOLHQWHSDUDDX[LOLDUDHTXLSHDXGLWRUD
3.9
observador
SHVVRDTXHDFRPSDQKDDHTXLSHDXGLWRUDPDVQmRDXGLWD
3.10
rea tcnica
iUHD FDUDFWHUL]DGD SRU SURFHVVRV FRP FDUDFWHUtVWLFDV FRPXQV SHUWLQHQWHV D XP WLSR HVSHFtFR
GHVLVWHPDGHJHVWmRHVHXVUHVXOWDGRVSUHWHQGLGRV
NOTA Ver Nota de 7.1.2.
3.11
no conformidade
no atendimento a um requisito
3.12
no conformidade maior
QmR FRQIRUPLGDGH TXH DIHWD D FDSDFLGDGH GR VLVWHPD GH JHVWmR GH DWLQJLU RV UHVXOWDGRV
pretendidos
127$ 1mRFRQIRUPLGDGHVSRGHULDPVHUFODVVLFDGDVFRPRPDLRUHVQDVVHJXLQWHVFLUFXQVWkQFLDV
VHKRXYHUXPDG~YLGDVLJQLFDWLYDGHTXHKiXPFRQWUROHHIHWLYRGHSURFHVVRRXGHTXHSURGXWRV
RXVHUYLoRVLUmRDWHQGHUDRVUHTXLVLWRVHVSHFLFDGRV
XPQ~PHURGHQmRFRQIRUPLGDGHVPHQRUHVDVVRFLDGDVDRPHVPRUHTXLVLWRRXDVVXQWRSRGHULD
GHPRQVWUDUXPDIDOKDVLVWrPLFDHDVVLPFRQVWLWXLUXPDQmRFRQIRUPLGDGHPDLRU
3.13
no conformidade menor
QmRFRQIRUPLGDGHTXHQmRDIHWDDFDSDFLGDGHGRVLVWHPDGHJHVWmRGHDWLQJLURVUHVXOWDGRV
pretendidos

3.14
especialista tcnico
SHVVRDTXHIRUQHFHFRQKHFLPHQWRHVSHFtFRRXH[SHUWLVHjHTXLSHDXGLWRUD
127$ &RQKHFLPHQWRHVSHFtFRRXH[SHUWLVHpUHODWLYRjRUJDQL]DomRDRSURFHVVRRXjDWLYLGDGHDVHU
auditada.
3.15
HVTXHPDGHFHUWLFDomR
VLVWHPD GH DYDOLDomR GD FRQIRUPLGDGH UHODWLYR DRV VLVWHPDV GH JHVWmR SDUD RV TXDLV RV PHVPRV
UHTXLVLWRVHVSHFLFDGRVUHJUDVHSURFHGLPHQWRVHVSHFtFRVVHDSOLFDP
3.16
tempo de auditoria
WHPSR QHFHVViULR SDUD SODQHMDU H FRQFOXLU XPD DXGLWRULD FRPSOHWD H HIHWLYD GR VLVWHPD GH JHVWmR
GDRUJDQL]DomRFOLHQWH
3.17
GXUDomRGHDXGLWRULDVGHFHUWLFDomRGHVLVWHPDGHJHVWmR
SDUWHGRWHPSRGHDXGLWRULDGHVSHQGLGRFRQGX]LQGRDWLYLGDGHVGHVGHDUHXQLmRGHDEHUWXUD
DWpDUHXQLmRGHHQFHUUDPHQWRLQFOXVLYH
127$ $WLYLGDGHVGHDXGLWRULDQRUPDOPHQWHLQFOXHP
FRQGXomRGDUHXQLmRGHDEHUWXUD
UHDOL]DomRGHDQiOLVHFUtWLFDGDGRFXPHQWDomRHQTXDQWRFRQGX]DDXGLWRULD
FRPXQLFDomRGXUDQWHDDXGLWRULD
GHVLJQDomRGHWDUHIDVHUHVSRQVDELOLGDGHVGHJXLDVHREVHUYDGRUHV
FROHWDHYHULFDomRGHLQIRUPDomR
JHUDomRGHFRQVWDWDo}HVGHDXGLWRULD
SUHSDUDomRGDVFRQFOXV}HV
FRQGXomRGDUHXQLmRGHHQFHUUDPHQWR
4 Princpios
4.1 Generalidades
4.1.1 2V SULQFtSLRV GHVFULWRV QHVWD 6HomR IRUQHFHP D EDVH SDUD R GHVHPSHQKR HVSHFtFR
VXEVHTXHQWHHSDUDRVUHTXLVLWRVGHVFULWRVQHVWDSDUWHGD$%171%5,62,(&(VWDSDUWHGD
$%17 1%5 ,62,(& QmR RIHUHFH UHTXLVLWRV HVSHFtFRV SDUD WRGDV DV VLWXDo}HV TXH
SRVVDPRFRUUHU&RQYpPDSOLFDUHVWHVSULQFtSLRVFRPRRULHQWDomRSDUDWRPDUGHFLV}HVTXHSRGHP
VHUQHFHVViULDVHPVLWXDo}HVLPSUHYLVWDV3ULQFtSLRVQmRVmRUHTXLVLWRV
4.1.2 2REMHWLYRJHUDOGDFHUWLFDomRpSURSRUFLRQDUFRQDQoDDWRGDVDVSDUWHVTXHXPVLVWHPD
GH JHVWmR DWHQGH D UHTXLVLWRV HVSHFtFRV 2 YDORU GD FHUWLFDomR p R JUDX GH FRQDQoD S~EOLFD
HVWDEHOHFLGD SRU PHLR GH XPD DYDOLDomR FRPSHWHQWH H LPSDUFLDO UHDOL]DGD SRU XPD WHUFHLUD SDUWH
$VSDUWHVFRPLQWHUHVVHQDFHUWLFDomRLQFOXHPHQWUHRXWUDV
D FOLHQWHVGRVRUJDQLVPRVGHFHUWLFDomR

E FOLHQWHVGDVRUJDQL]Do}HVFXMRVVLVWHPDVGHJHVWmRHVWmRFHUWLFDGRV
F DXWRULGDGHVJRYHUQDPHQWDLV
G RUJDQL]Do}HVQmRJRYHUQDPHQWDLV
H FRQVXPLGRUHVHRXWURVPHPEURVGRS~EOLFR
4.1.3 2VSULQFtSLRVSDUDLQVSLUDUFRQDQoDLQFOXHP
LPSDUFLDOLGDGH
FRPSHWrQFLD
UHVSRQVDELOLGDGH
WUDQVSDUrQFLD
FRQGHQFLDOLGDGH
FDSDFLGDGHGHUHVSRVWDDUHFODPDo}HV
DERUGDJHPEDVHDGDHPULVFR
127$ (VWD SDUWH GD $%17 1%5 ,62,(& GHQH RV SULQFtSLRV GD FHUWLFDomR QD 6HomR RV
SULQFtSLRV FRUUHVSRQGHQWHV UHODWLYRV j DXGLWRULD SRGHP VHU HQFRQWUDGRV QD $%17 1%5 ,62
6HomR
4.2 Imparcialidade
4.2.1 3DUD TXH XP RUJDQLVPR GH FHUWLFDomR SRVVD RIHUHFHU XPD FHUWLFDomR TXH SURSRUFLRQH
FRQDQoDpQHFHVViULRTXHHOHVHMDLPSDUFLDOHSHUFHELGRFRPRWDOeLPSRUWDQWHTXHWRGRRSHVVRDO
LQWHUQRHH[WHUQRHVWHMDFRQVFLHQWHGDQHFHVVLGDGHGHLPSDUFLDOLGDGH
4.2.2 2 IDWR GH D IRQWH GH UHFHLWD GH XP RUJDQLVPR GH FHUWLFDomR SURYLU GR SDJDPHQWR GH VHX
FOLHQWHSHODFHUWLFDomRFRQVWLWXLXPDDPHDoDSRWHQFLDOjLPSDUFLDOLGDGH
4.2.3 3DUDREWHUHPDQWHUDFRQDQoDpHVVHQFLDOTXHDVGHFLV}HVGHXPRUJDQLVPRGHFHUWLFDomR
VHMDP EDVHDGDV HP HYLGrQFLDV REMHWLYDV GH FRQIRUPLGDGH RX QmR FRQIRUPLGDGH REWLGDV SHOR
RUJDQLVPRGHFHUWLFDomRHTXHVXDVGHFLV}HVQmRVHMDPLQXHQFLDGDVSRURXWURVLQWHUHVVHVRXSRU
outras partes.
4.2.4 $VDPHDoDVjLPSDUFLDOLGDGHSRGHPLQFOXLUPDVQmRVHOLPLWDPDRVHJXLQWH
D ,QWHUHVVHSUySULRDPHDoDVTXHVXUJHPGHXPDSHVVRDRXRUJDQLVPRTXHDWXDHPVHXSUySULR
LQWHUHVVH 2 LQWHUHVVH QDQFHLUR SUySULR UHSUHVHQWD XPD DPHDoD VXVFHWtYHO GH FRPSURPHWHU
DLPSDUFLDOLGDGHGHXPDFHUWLFDomR
E $XWR DYDOLDomR DPHDoDV TXH VXUJHP GH XPD SHVVRD RX RUJDQLVPR TXH DYDOLD R VHX SUySULR
WUDEDOKR$DXGLWRULDGRVVLVWHPDVGHJHVWmRGHXPFOLHQWHSDUDRTXDORRUJDQLVPRGHFHUWLFDomR
IRUQHFHXFRQVXOWRULDVREUHVLVWHPDVGHJHVWmRVHULDXPDDPHDoDGHVWHWLSR
F )DPLOLDULGDGHRXFRQDQoDDPHDoDVTXHVXUJHPGHXPDSHVVRDRXRUJDQLVPRTXHSRUVHU

PXLWRIDPLOLDURXFRQDQWHHPRXWUDSHVVRDQmRSURFXUDHYLGrQFLDVGHDXGLWRULD
G ,QWLPLGDomR DPHDoDV TXH VXUJHP GH XPD SHVVRD RX RUJDQLVPR DR SHUFHEHU TXH HVWi VHQGR
FRDJLGR HP S~EOLFR RX GLVFUHWDPHQWH FRPR SRU H[HPSOR XPD DPHDoD GH VHU VXEVWLWXtGR
ou denunciado a um supervisor.

4.3 Competncia
4.3.1 $ FRPSHWrQFLD GR SHVVRDO GR RUJDQLVPR GH FHUWLFDomR HP WRGDV DV IXQo}HV HQYROYLGDV
QDVDWLYLGDGHVGHFHUWLFDomRpQHFHVViULDSDUDRIHUHFHUXPDFHUWLFDomRTXHSURSRUFLRQHFRQDQoD
4.3.2 $ FRPSHWrQFLD WDPEpP SUHFLVD VHU PDQWLGD SHOR VLVWHPD GH JHVWmR GR RUJDQLVPR GH
FHUWLFDomR
4.3.3 eFUtWLFRSDUDDGLUHomRGRRUJDQLVPRGHFHUWLFDomRWHUXPSURFHVVRLPSOHPHQWDGRSDUDD
GHQLomRGRVFULWpULRVGHFRPSHWrQFLDSDUDRSHVVRDOHQYROYLGRQDDXGLWRULDHHPRXWUDVDWLYLGDGHV
GHFHUWLFDomRHSDUDUHDOL]DUDYDOLDomRFRPEDVHQRVFULWpULRV
4.4 Responsabilidade
4.4.1 2 FOLHQWH FHUWLFDGR H QmR R RUJDQLVPR GH FHUWLFDomR p TXHP SRVVXL D UHVSRQVDELOLGDGH
SRU FRQVLVWHQWHPHQWH DOFDQoDU RV UHVXOWDGRV SUHWHQGLGRV GD LPSOHPHQWDomR GD QRUPD GH VLVWHPD
GHJHVWmRHSHODFRQIRUPLGDGHFRPRVUHTXLVLWRVSDUDFHUWLFDomR
4.4.2 2 RUJDQLVPR GH FHUWLFDomR p UHVSRQViYHO SRU DYDOLDU HYLGrQFLDV REMHWLYDV VXFLHQWHV QDV
TXDLVSRVVDEDVHDUXPDGHFLVmRGHFHUWLFDomR&RPEDVHQDVFRQFOXV}HVGHDXGLWRULDRRUJDQLVPR
WRPDDGHFLVmRGHFRQFHGHUDFHUWLFDomRVHKRXYHUHYLGrQFLDVXFLHQWHGHFRQIRUPLGDGHRXGHQmR
FRQFHGHUDFHUWLFDomRVHQmRKRXYHUHYLGrQFLDVXFLHQWHGHFRQIRUPLGDGH
127$ 4XDOTXHUDXGLWRULDEDVHLDVHHPDPRVWUDJHPGHQWURGRVLVWHPDGHJHVWmRGHXPDRUJDQL]DomR
HSRUWDQWRQmRpXPDJDUDQWLDGHGHFRQIRUPLGDGHFRPRVUHTXLVLWRV
4.5 Transparncia
4.5.1 8P RUJDQLVPR GH FHUWLFDomR SUHFLVD RIHUHFHU DFHVVR S~EOLFR RX GLYXOJDU LQIRUPDo}HV
DSURSULDGDV H RSRUWXQDV VREUH VHX SURFHVVR GH DXGLWRULD H GH FHUWLFDomR H VREUH D VLWXDomR GD
FHUWLFDomRRXVHMDDFRQFHVVmRPDQXWHQomRGDFHUWLFDomRH[SDQVmRRXUHGXomRGHHVFRSRGD
FHUWLFDomR UHQRYDomR VXVSHQVmR RX UHVWDXUDomR RX FDQFHODPHQWR GD FHUWLFDomR GH TXDOTXHU
RUJDQL]DomRDPGHREWHUFRQDQoDQDLQWHJULGDGHHFUHGLELOLGDGHGDVFHUWLFDo}HV7UDQVSDUrQFLD
pXPSULQFtSLRGHDFHVVRRXGLYXOJDomRGHLQIRUPDo}HVDSURSULDGDV
4.5.2 3DUD REWHU RX PDQWHU FRQDQoD QD FHUWLFDomR FRQYpP TXH XP RUJDQLVPR GH FHUWLFDomR
RIHUHoDDFHVVRDSURSULDGRRXGLYXOJXHLQIRUPDo}HVTXHQmRVHMDPFRQGHQFLDLVVREUHDVFRQFOXV}HV
GHDXGLWRULDVHVSHFtFDVSRUH[HPSORDXGLWRULDVHPUHVSRVWDDUHFODPDo}HVDSDUWHVLQWHUHVVDGDV
HVSHFtFDV
4.6 &RQGHQFLDOLGDGH
3DUD REWHU DFHVVR SULYLOHJLDGR jV LQIRUPDo}HV TXH VmR QHFHVViULDV SDUD DYDOLDU DGHTXDGDPHQWH
DFRQIRUPLGDGHFRPRVUHTXLVLWRVGHFHUWLFDomRpHVVHQFLDOTXHXPRUJDQLVPRGHFHUWLFDomRQmR
GLYXOJXHTXDOTXHULQIRUPDomRFRQGHQFLDO
4.7 &DSDFLGDGHGHUHVSRVWDDUHFODPDo}HV
$VSDUWHVTXHFRQDPQDFHUWLFDomRHVSHUDPWHUDVVXDVUHFODPDo}HVLQYHVWLJDGDVHFDVRVHMDP
SURFHGHQWHVFRQYpPTXHWHQKDPFRQDQoDGHTXHHVWDVUHFODPDo}HVVHUmRWUDWDGDVDGHTXDGDPHQWH
H FRP UD]RiYHO HPSHQKR SHOR RUJDQLVPR GH FHUWLFDomR SDUD VHUHP VROXFLRQDGDV$ HFiFLD GD
FDSDFLGDGH GH UHVSRVWD D UHFODPDo}HV p XP PHLR LPSRUWDQWH GH SURWHomR SDUD R RUJDQLVPR GH
FHUWLFDomRVHXVFOLHQWHVHRXWURVXVXiULRVGHFHUWLFDomRFRQWUDHUURVRPLVV}HVRXFRPSRUWDPHQWR
LPSUySULR$FRQDQoDQDVDWLYLGDGHVGHFHUWLFDomRpVDOYDJXDUGDGD TXDQGRDVUHFODPDo}HVVmR
tratadas adequadamente.

127$ eQHFHVViULRPDQWHUXPHTXLOtEULRDGHTXDGRHQWUHRVSULQFtSLRVGHWUDQVSDUrQFLDHGHFRQGHQ-
FLDOLGDGHLQFOXVLYHFDSDFLGDGHGHUHVSRVWDDUHFODPDo}HVDPGHGHPRQVWUDULQWHJULGDGHHFUHGLELOLGDGH
SDUDWRGRVRVXVXiULRVGHFHUWLFDomR
4.8 Abordagem baseada em risco
2UJDQLVPRV GH FHUWLFDomR SUHFLVDP OHYDU HP FRQVLGHUDomR RV ULVFRV DVVRFLDGRV D RIHUHFHU
FHUWLFDomRFRPSHWHQWHFRHUHQWHHLPSDUFLDO5LVFRVSRGHPLQFOXLUPDVQmRVHOLPLWDPDDTXHOHV
associados a:
REMHWLYRVGDDXGLWRULD
DPRVWUDJHPXVDGDQRSURFHVVRGHDXGLWRULD
LPSDUFLDOLGDGHUHDOHSHUFHELGD
DVVXQWRVOHJDLVUHJXODWyULRVHGHUHVSRQVDELOLGDGHFLYLO
RUJDQL]DomRGRFOLHQWHVHQGRDXGLWDGDHVHXDPELHQWHRSHUDFLRQDO
LPSDFWRGDDXGLWRULDQRFOLHQWHHVXDVDWLYLGDGHV
VD~GHHVHJXUDQoDGDVHTXLSHVDXGLWRUDV
SHUFHSomRGDVSDUWHVLQWHUHVVDGDV
DUPDo}HVGRFOLHQWHFHUWLFDGRTXHLQGX]DPDRHUUR
uso de marcas.
5 Requisitos gerais
5.1 Aspectos legais e contratuais
5.1.1 Responsabilidade legal
2RUJDQLVPRGHFHUWLFDomRGHYHVHUXPDHQWLGDGHFRPSHUVRQDOLGDGHMXUtGLFDSUySULDRXXPDSDUWH
GHQLGDGHXPDHQWLGDGHFRPSHUVRQDOLGDGHMXUtGLFDSUySULDTXHSRVVDVHUUHVSRQViYHOOHJDOPHQWHSRU
WRGDVDVVXDVDWLYLGDGHVGHFHUWLFDomR8PRUJDQLVPRGHFHUWLFDomRJRYHUQDPHQWDOpFRQVLGHUDGR
HQWLGDGHOHJDOFRPEDVHHPVHXHVWDWXWRJRYHUQDPHQWDO
5.1.2 &RQWUDWRGHFHUWLFDomR
2 RUJDQLVPR GH FHUWLILFDomR GHYH WHU XP FRQWUDWR OHJDO H YLJHQWH FRP FDGD FOLHQWH SDUD R
IRUQHFLPHQWRGHDWLYLGDGHVGHFHUWLILFDomRGHDFRUGRFRPRVUHTXLVLWRVSHUWLQHQWHVGHVWDSDUWH
GD $%17 1%5 ,62,(& $OpP GLVVR TXDQGR RV RUJDQLVPRV GH FHUWLILFDomR SRVVXtUHP
GLYHUVRV HVFULWyULRV RX XP FOLHQWH SRVVXLU YiULRV ORFDLV R RUJDQLVPR GH FHUWLILFDomR GHYH
DVVHJXUDU D H[LVWrQFLD GH XP FRQWUDWR OHJDO H YLJHQWH HQWUH R RUJDQLVPR GH FHUWLILFDomR TXH
FRQFHGHDFHUWLILFDomRHRFOLHQWHTXHFXEUDWRGRVRVORFDLVLQFOXVRVQRHVFRSRGDFHUWLILFDomR
127$ 8PDFRUGRSRGHVHUFRQVHJXLGRDWUDYpVGHP~OWLSORVDFRUGRVTXHUHIHUHQFLHPRXSRURXWURODGR
associem-se um ao outro.

5.1.3 5HVSRQVDELOLGDGHSHODVGHFLV}HVGHFHUWLFDomR
2RUJDQLVPRGHFHUWLFDomRGHYHVHUUHVSRQViYHOHPDQWHUDXWRULGDGHSRUVXDVGHFLV}HVHPUHODomR
j FHUWLFDomR LQFOXLQGR FRQFHVVmR UHFXVD PDQXWHQomR GD FHUWLFDomR H[SDQVmR RX UHGXomR
GRHVFRSRGHFHUWLFDomRUHQRYDomRVXVSHQVmRRXUHVWDXUDomRDSyVVXVSHQVmRRXFDQFHODPHQWR
GDFHUWLFDomR
5.2 Gesto da imparcialidade
5.2.1 $WLYLGDGHVGHDYDOLDomRGDFRQIRUPLGDGHGHYHPVHUDVVXPLGDVLPSDUFLDOPHQWH2RUJDQLVPR
GH FHUWLFDomR GHYH VHU UHVSRQViYHO SHOD LPSDUFLDOLGDGH GH VXDV DWLYLGDGHV GH DYDOLDomR GD
FRQIRUPLGDGH H QmR SRGH SHUPLWLU TXH SUHVV}HV FRPHUFLDLV QDQFHLUDV RX RXWUDV FRPSURPHWDP D
LPSDUFLDOLGDGH
5.2.2 2RUJDQLVPRGHFHUWLFDomRGHYHWHURFRPSURPHWLPHQWRGD$OWD'LUHomRQDLPSDUFLDOLGDGH
GDVDWLYLGDGHVGHFHUWLFDomRGHVLVWHPDVGHJHVWmR2RUJDQLVPRGHFHUWLFDomRGHYHSRVVXLUXPD
SROtWLFDTXHHQWHQGDDLPSRUWkQFLDGDLPSDUFLDOLGDGHQDUHDOL]DomRGHVXDVDWLYLGDGHVGHFHUWLFDomR
GHVLVWHPDVGHJHVWmRJHUHQFLHRVFRQLWRVGHLQWHUHVVHHDVVHJXUHDREMHWLYLGDGHGHVVDVDWLYLGDGHV
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por estas partes interessadas.
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VLVWHPDGHJHVWmRGDTXDOLGDGH
ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados

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NOTA Ver Nota 1 de 5.2.3.
5.2.7 2QGH XP FOLHQWH WHQKD UHFHELGR FRQVXOWRULD HP VLVWHPDV GH JHVWmR GH XP RUJDQLVPR TXH
WHQKD XP UHODFLRQDPHQWR FRP XP RUJDQLVPR GH FHUWLFDomR LVWR p XPD DPHDoD VLJQLFDWLYD j
LPSDUFLDOLGDGH8PDPLWLJDomRUHFRQKHFLGDSDUDHVWDDPHDoDpTXHRRUJDQLVPRGHFHUWLFDomRQmR
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NOTA 1 Ver Nota 1 de 5.2.3.
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HP VLVWHPD GH JHVWmR YLVWR TXH HVVD VLWXDomR FRQVWLWXL XPD DPHDoD LQDFHLWiYHO j LPSDUFLDOLGDGH
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FHUWLFDomRQmRSRGHDUPDURXLQIHULUTXHDFHUWLFDomRVHULDPDLVVLPSOHVPDLVIiFLOPDLVUiSLGD
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5.2.10 'HIRUPDDDVVHJXUDUTXHQmRKDMDFRQLWRGHLQWHUHVVHVRSHVVRDOTXHIRUQHFHXFRQVXOWRULD
HPVLVWHPDGHJHVWmRLQFOXVLYHDTXHOHVDWXDQGRHPXPDIXQomRJHUHQFLDOQmRSRGHVHUXVDGRSHOR
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HVWLYHUHP HQYROYLGRV HP FRQVXOWRULD HP VLVWHPD GH JHVWmR HP UHODomR DR FOLHQWH 8PD PLWLJDomR
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5.2.11 2RUJDQLVPRGHFHUWLFDomRGHYHWRPDUDo}HVSDUDUHVSRQGHU DTXDLVTXHU DPHDoDVjVXD

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5.2.13 2V RUJDQLVPRV GH FHUWLFDomR GHYHP H[LJLU TXH R VHX SHVVRDO LQWHUQR H H[WHUQR UHYHOH
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GHVXDVDWLYLGDGHVGHFHUWLFDomRHTXHSRVVXLPHGLGDVDGHTXDGDVSRUH[HPSORVHJXURRXIXQGRV
GHUHVHUYDSDUDFREULUDVUHVSRQVDELOLGDGHVFLYLVUHVXOWDQWHVGHVXDVRSHUDo}HVHPFDGDXPGHVHXV
FDPSRVGHDWLYLGDGHHQDViUHDVJHRJUiFDVQDVTXDLVRSHUD
5.3.2 2RUJDQLVPRGHFHUWLFDomRGHYHDYDOLDUVHXVUHFXUVRVQDQFHLURVHVXDVIRQWHVGHUHQGDEHP
FRPRGHYHGHPRQVWUDUTXHLQLFLDOPHQWHHGHIRUPDLQLQWHUUXSWDDVSUHVV}HVFRPHUFLDLVQDQFHLUDV
RXGHRXWURVWLSRVQmRFRPSURPHWHPVXDLPSDUFLDOLGDGH
6 Requisitos de estrutura
6.1 Estrutura organizacional e Alta Direo
6.1.1 2 RUJDQLVPR GH FHUWLFDomR GHYH GRFXPHQWDU D VXD HVWUXWXUD RUJDQL]DFLRQDO GHYHUHV
UHVSRQVDELOLGDGHVHDXWRULGDGHVGDGLUHomRGRSHVVRDOGHFHUWLFDomRHGHRXWURSHVVRDOHQYROYLGR
QDFHUWLFDomRHHPTXDLVTXHUFRPLWrV4XDQGRRRUJDQLVPRGHFHUWLFDomRIRUXPDSDUWHGHQLGD
GHXPDHQWLGDGHOHJDODHVWUXWXUDGHYHLQFOXLUDOLQKDGHDXWRULGDGHHRUHODFLRQDPHQWRFRPRXWUDV
SDUWHVGHQWURGDPHVPDHQWLGDGHOHJDO
6.1.2 $V DWLYLGDGHV GH FHUWLFDomR GHYHP HVWDU HVWUXWXUDGDV H JHUHQFLDGDV GH IRUPD D VDOYD-
JXDUGDUDLPSDUFLDOLGDGH
6.1.3 2 RUJDQLVPR GH FHUWLFDomR GHYH LGHQWLFDU D $OWD 'LUHomR FRPLWrV JUXSR GH SHVVRDV
RXSHVVRDTXHGHWpPDXWRULGDGHHUHVSRQVDELOLGDGHWRWDOSRUFDGDXPDGDVVHJXLQWHVDWLYLGDGHV
D GHVHQYROYLPHQWR GH SROtWLFDV H HVWDEHOHFLPHQWR GH SURFHVVRV H SURFHGLPHQWRV UHODFLRQDGRV

jVXDVRSHUDo}HV
E VXSHUYLVmRGDLPSOHPHQWDomRGDVSROtWLFDVSURFHVVRVHSURFHGLPHQWRV
F JDUDQWLDGDLPSDUFLDOLGDGH
G VXSHUYLVmRGHVXDVQDQoDV
H GHVHQYROYLPHQWRGHVHUYLoRVHHVTXHPDVGHFHUWLFDomRGHVLVWHPDVGHJHVWmR
I UHDOL]DomRGHDXGLWRULDVHGHFHUWLFDomRHFDSDFLGDGHGHUHVSRQGHUDUHFODPDo}HV
J GHFLV}HVVREUHFHUWLFDomR
K GHOHJDomRGHDXWRULGDGHDFRPLWrVRXSHVVRDVFRQIRUPHQHFHVViULRSDUDH[HFXWDUDWLYLGDGHV
GHQLGDVHPVHXQRPH

L GLVSRVLo}HVFRQWUDWXDLV
M IRUQHFLPHQWRGHUHFXUVRVDGHTXDGRVSDUDDWLYLGDGHVGHFHUWLFDomR
6.1.4 2RUJDQLVPRGHFHUWLFDomRGHYHSRVVXLUUHJUDVIRUPDLVSDUDDGHVLJQDomRWHUPRVGHUHIH-
UrQFLDDWULEXLo}HVHRSHUDomRGHTXDLVTXHUFRPLWrVHQYROYLGRVQDVDWLYLGDGHVGHFHUWLFDomR
6.2 Controle operacional
6.2.1 2RUJDQLVPRGHFHUWLFDomRGHYHSRVVXLUXPSURFHVVRSDUDRFRQWUROHHIHWLYRGDVDWLYLGDGHV
GH FHUWLFDomR RIHUHFLGDV SRU OLDLV SDUFHLURV DJHQWHV IUDQTXHDGRV HWF LQGHSHQGHQWHPHQWH
GH VXD VLWXDomR OHJDO UHODFLRQDPHQWR RX ORFDOL]DomR JHRJUiFD 2 RUJDQLVPR GH FHUWLFDomR
GHYHFRQVLGHUDURULVFRTXHHVWDVDWLYLGDGHVLPS}HPjFRPSHWrQFLDFRHUrQFLDHLPSDUFLDOLGDGH
GRRUJDQLVPRGHFHUWLFDomR
6.2.2 2 RUJDQLVPR GH &HUWLFDomR GHYH FRQVLGHUDU R QtYHO DSURSULDGR H R PpWRGR GH FRQWUROH
GDVDWLYLGDGHVH[HFXWDGDVLQFOXLQGRVHXVSURFHVVRViUHDVWpFQLFDVGDVRSHUDo}HVGRRUJDQLVPR
GHFHUWLFDomRFRPSHWrQFLDGRSHVVRDOOLQKDVGHFRQWUROHJHUHQFLDOLQIRUPDomRHDFHVVRUHPRWR
jVRSHUDo}HVLQFOXLQGRUHJLVWURV
7 Requisitos de recursos
7.1 Competncia do pessoal
7.1.1 &RQVLGHUDo}HVJHUDLV
2RUJDQLVPRGHFHUWLFDomRGHYHWHUSURFHVVRVSDUDDVVHJXUDUTXHRSHVVRDOSRVVXDFRQKHFLPHQWR
H KDELOLGDGHV DGHTXDGRV SHUWLQHQWHV DRV WLSRV GH VLVWHPDV GH JHVWmR SRU H[HPSOR VLVWHPDV GH
JHVWmRDPELHQWDOVLVWHPDVGHJHVWmRGDTXDOLGDGHVLVWHPDVGHJHVWmRGHVHJXUDQoDGDLQIRUPDomR
HiUHDVJHRJUiFDVQDVTXDLVRSHUD
7.1.2 Determinao de critrios de competncia
2 RUJDQLVPR GH FHUWLFDomR GHYH WHU XP SURFHVVR SDUD GHWHUPLQDU RV FULWpULRV GH FRPSHWrQFLD
SDUDRSHVVRDOHQYROYLGRQDJHVWmRHUHDOL]DomRGHDXGLWRULDVHRXWUDVDWLYLGDGHVGHFHUWLFDomR
2VFULWpULRVGHFRPSHWrQFLDGHYHPVHUGHWHUPLQDGRVHPUHODomRDRVUHTXLVLWRVGHFDGDWLSRGH
QRUPD RX HVSHFLFDomR GH VLVWHPD GH JHVWmR SDUD FDGD iUHD WpFQLFD H SDUD FDGD IXQomR QR
SURFHVVRGHFHUWLFDomR$VDtGDGRSURFHVVRGHYHVHUFRQVWLWXtGDSHORVFULWpULRVGRFXPHQWDGRV
SDUDRFRQKHFLPHQWRHKDELOLGDGHVUHTXHULGRVQHFHVViULRVSDUDH[HFXWDUFRPHFiFLDDVWDUHIDV
GH DXGLWRULD H FHUWLFDomR D VHUHP FXPSULGRV D P GH DOFDQoDU RV UHVXOWDGRV SUHWHQGLGRV
2$QH[R$ HVSHFLFD R FRQKHFLPHQWR H DV KDELOLGDGHV TXH XP RUJDQLVPR GH FHUWLFDomR GHYH
GHQLU SDUD IXQo}HV HVSHFtFDV 1RV FDVRV HP TXH WHQKDP VLGR HVWDEHOHFLGRV FULWpULRV GH
FRPSHWrQFLD DGLFLRQDLV HVSHFtFRV SDUD XPD QRUPD RX HVTXHPD HVSHFtFR GH FHUWLFDomR
SRU H[HPSOR$%17 ,62,(&76 ,62,(&76 RX$%17 ,6276 HVVHV
FULWpULRVGHYHPVHUDSOLFDGRV
127$ 2WHUPRiUHDWpFQLFDpHPSUHJDGRGHPDQHLUDVGLIHUHQWHVGHSHQGHQGRGDQRUPDGHVLVWHPDGH
JHVWmRFRQVLGHUDGD3DUDTXDOTXHUVLVWHPDGHJHVWmRRWHUPRpUHODWLYRDSURGXWRVSURFHVVRVHVHUYLoRV
QRFRQWH[WRGRHVFRSRGDQRUPDGHVLVWHPDGHJHVWmR$iUHDWpFQLFDSRGHVHUGHQLGDSRUXPHVTXHPD
HVSHFtFRGHFHUWLFDomRSRUH[HPSOR$%17,6276RXSRGHVHUGHWHUPLQDGDSHORRUJDQLVPRGH
FHUWLFDomR,VWRpXWLOL]DGRSDUDFREULUXPQ~PHURGHRXWURVWHUPRVFRPRHVFRSRVFDWHJRULDVVHWRUHV
HWFRVTXDLVVmRWUDGLFLRQDOPHQWHXVDGRVHPGLVFLSOLQDVGHVLVWHPDVGHJHVWmRGLVWLQWDV

7.1.3 Processos de avaliao
2 RUJDQLVPR GH FHUWLFDomR GHYH WHU SURFHVVRV GRFXPHQWDGRV SDUD D DYDOLDomR LQLFLDO
GD FRPSHWrQFLD H R PRQLWRUDPHQWR FRQWtQXR GD FRPSHWrQFLD H GHVHPSHQKR GH WRGR R SHVVRDO
HQYROYLGR QD JHVWmR H UHDOL]DomR GH DXGLWRULDV H RXWUDV DWLYLGDGHV GH FHUWLFDomR DSOLFDQGR RV
FULWpULRV GHWHUPLQDGRV GH FRPSHWrQFLD 2 RUJDQLVPR GH FHUWLFDomR GHYH GHPRQVWUDU TXH VHXV
PpWRGRVGHDYDOLDomRVmRHFD]HV$VDtGDGHVVHVSURFHVVRVGHYHVHUDLGHQWLFDomRGRSHVVRDOTXH
GHPRQVWURXRQtYHOGHFRPSHWrQFLDH[LJLGRSDUDDVGLIHUHQWHVIXQo}HVGRVSURFHVVRVGHDXGLWRULD
HFHUWLFDomR$FRPSHWrQFLDGHYHVHUGHPRQVWUDGDDQWHVGRLQGLYtGXRDVVXPLUDUHVSRQVDELOLGDGH
SHODUHDOL]DomRGHVXDVDWLYLGDGHVQRRUJDQLVPRGHFHUWLFDomR
127$ 'LYHUVRVPpWRGRVGHDYDOLDomRTXHSRGHPVHUXVDGRVSDUDDYDOLDUDFRPSHWrQFLDHVWmRGHVFULWRV
no Anexo B.
127$ 2 $QH[R & PRVWUD XP H[HPSOR GH XP X[R GH SURFHVVR SDUD GHWHUPLQDomR H PDQXWHQomR
GDFRPSHWrQFLD
7.1.4 2XWUDVFRQVLGHUDo}HV
2RUJDQLVPRGHFHUWLFDomRGHYHWHUDFHVVRDRFRQKHFLPHQWRWpFQLFRQHFHVViULRSDUDDFRQVHOKD-
PHQWR HP TXHVW}HV GLUHWDPHQWH UHODFLRQDGDV j FHUWLFDomR SDUD iUHDV WpFQLFDV WLSRV GH VLVWHPD
GH JHVWmR H iUHDV JHRJUiFDV QDV TXDLV R RUJDQLVPR GH FHUWLFDomR RSHUD (VWH DFRQVHOKDPHQWR
SRGHVHUIRUQHFLGRH[WHUQDPHQWHRXSHORSHVVRDOGRRUJDQLVPRGHFHUWLFDomR
7.2 3HVVRDOHQYROYLGRQDVDWLYLGDGHVGHFHUWLFDomR
7.2.1 2RUJDQLVPRGHFHUWLFDomRGHYHSRVVXLUSHVVRDOFRPSHWHQWHVXFLHQWHSDUDJHUHQFLDUHGDU
VXSRUWHDRWLSRHjYDULHGDGHGHSURJUDPDVGHDXGLWRULDHRXWUDVWDUHIDVGHFHUWLFDomRUHDOL]DGDV
7.2.2 2RUJDQLVPRGHFHUWLFDomRGHYHHPSUHJDURXWHUDFHVVRDXPQ~PHURVXFLHQWHGHDXGLWRUHV
LQFOXLQGRDXGLWRUHVOtGHUHVHHVSHFLDOLVWDVWpFQLFRVSDUDFREULUWRGDVDVVXDVDWLYLGDGHVHSDUDWUDWDU
RYROXPHGHVHUYLoRVGHDXGLWRULDUHDOL]DGRV
7.2.3 2 RUJDQLVPR GH FHUWLFDomR GHYH HVFODUHFHU SDUD FDGD SHVVRD HQYROYLGD RV VHXV GHYHUHV
UHVSRQVDELOLGDGHVHDXWRULGDGHV
7.2.4 2RUJDQLVPRGHFHUWLFDomRGHYHWHUSURFHVVRVSDUDVHOHFLRQDUWUHLQDUHQRPHDUIRUPDOPHQWH
RV DXGLWRUHV H SDUD VHOHFLRQDU H IDPLOLDUL]DU RV HVSHFLDOLVWDV WpFQLFRV XVDGRV QD DWLYLGDGH GH
FHUWLFDomR$ DYDOLDomR LQLFLDO GD FRPSHWrQFLD GH XP DXGLWRU GHYH LQFOXLU D FDSDFLGDGH GH DSOLFDU
R FRQKHFLPHQWR H KDELOLGDGHV QHFHVViULRV GXUDQWH DV DXGLWRULDV FRQIRUPH GHWHUPLQDGR SRU XP
DYDOLDGRUFRPSHWHQWHDRREVHUYDURDXGLWRUUHDOL]DQGRXPDDXGLWRULD
127$ 'XUDQWHRSURFHVVRGHVHOHomRHWUHLQDPHQWRGHVFULWRDFLPDFRPSRUWDPHQWRVSHVVRDLVGHVHMDGRV
SRGHP VHU FRQVLGHUDGRV (VVDV VmR FDUDFWHUtVWLFDV TXH DIHWDP D FDSDFLGDGH GH XP LQGLYtGXR SDUD UHDOL]DU
IXQo}HVHVSHFtFDV3RUWDQWRRFRQKHFLPHQWRVREUHRFRPSRUWDPHQWRGRVLQGLYtGXRVSRVVLELOLWDTXHRRUJDQLVPR
GHFHUWLFDomRWLUHSURYHLWRGHVHXVSRQWRVIRUWHVHPLQLPL]HRLPSDFWRGHVXDVIUDTXH]DV2FRPSRUWDPHQWR
SHVVRDO GHVHMDGR TXH p LPSRUWDQWH SDUD R SHVVRDO HQYROYLGR QDV DWLYLGDGHV GH FHUWLFDomR HVWi GHVFULWR
no Anexo D.
7.2.5 2RUJDQLVPRGHFHUWLFDomRGHYHWHUXPSURFHVVRSDUDUHDOL]DUHGHPRQVWUDUXPDDXGLWRULD
HFD] LQFOXLQGR R XVR GH DXGLWRUHV H DXGLWRUHVOtGHUHV FRP FRQKHFLPHQWR H KDELOLGDGHV JHQpULFDV
GHDXGLWRULDDVVLPFRPRFRQKHFLPHQWRHKDELOLGDGHVDGHTXDGDVSDUDDXGLWRULDQDViUHDVWpFQLFDV
HVSHFtFDV

7.2.6 2RUJDQLVPRGHFHUWLFDomRGHYHDVVHJXUDUTXHDXGLWRUHVHTXDQGRQHFHVViULRHVSHFLDOLVWDV
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SDUDQVGHFHUWLFDomRLQLFLDOVXSHUYLVmRUHFHUWLFDomRHVROXomRGHUHFODPDo}HVH
WRPHP SURYLGrQFLDV TXDQGR DSOLFiYHO SDUD DFRPRGDU D SUHVHQoD GH REVHUYDGRUHV

SRUH[HPSORDXGLWRUHVGHDFUHGLWDomRRXDXGLWRUHVHPWUHLQDPHQWR
H GRFXPHQWRVGHVFUHYHQGRRVGLUHLWRVHGHYHUHVGRVFOLHQWHVFHUWLFDGRVLQFOXLQGRUHTXLVLWRVDR
ID]HUUHIHUrQFLDjVXDFHUWLFDomRHPTXDOTXHUWLSRGHFRPXQLFDomRGHDFRUGRFRPRVUHTXLVLWRV
GH
I LQIRUPDo}HVVREUHSURFHVVRVSDUDWUDWDUUHFODPDo}HVHDSHODo}HV
8.5.2 1RWLFDomRGHDOWHUDo}HVSHORRUJDQLVPRGHFHUWLFDomR
2RUJDQLVPRGHFHUWLFDomRGHYHLQIRUPDUGHYLGDPHQWHDVHXVFOLHQWHVFHUWLFDGRVVREUHTXDLVTXHU
DOWHUDo}HVHPVHXVUHTXLVLWRVSDUDFHUWLFDomR2RUJDQLVPRGHFHUWLFDomRGHYHYHULFDUVHFDGD
FOLHQWHFHUWLFDGRDWHQGHDRVQRYRVUHTXLVLWRV
8.5.3 1RWLFDomRGHDOWHUDo}HVSHORFOLHQWHFHUWLFDGR
2RUJDQLVPRGHFHUWLFDomRGHYHWHUDFRUGRVOHJDLVHYLJHQWHVSDUDDVVHJXUDUTXHRFOLHQWHFHUWLFDGR
LQIRUPHDRRUJDQLVPRGHFHUWLFDomRVHPGHPRUDGDVTXHVW}HVTXHSRVVDPDIHWDUDFDSDFLGDGH
GRVLVWHPDGHJHVWmRGHFRQWLQXDUDDWHQGHUDRVUHTXLVLWRVGDQRUPDXVDGDSDUDFHUWLFDomR(VVDV
TXHVW}HVLQFOXHPSRUH[HPSORDOWHUDo}HVUHODWLYDVD
D VLWXDomROHJDOFRPHUFLDORUJDQL]DFLRQDORXSURSULHGDGH
E RUJDQL]DomR H JHVWmR SRU H[HPSOR SHVVRDOFKDYH FRPR JHVWRUHV WRPDGRUHV GH GHFLVmR
RXHTXLSHWpFQLFD
F HQGHUHoRGHFRQWDWRHORFDLV
G HVFRSRGDVRSHUDo}HVDEUDQJLGDVSHORVLVWHPDGHJHVWmRFHUWLFDGR
H DOWHUDo}HVVLJQLFDWLYDVQRVLVWHPDGHJHVWmRHQRVSURFHVVRV
2RUJDQLVPRGHFHUWLFDomRGHYHWRPDUDo}HVFRQIRUPHDSURSULDGR

9 Requisitos dos processos

9.1 $WLYLGDGHVGHSUpFHUWLFDomR
9.1.1 Solicitao
2RUJDQLVPRGHFHUWLFDomRGHYHH[LJLUTXHXPUHSUHVHQWDQWHDXWRUL]DGRGDRUJDQL]DomRVROLFL-
WDQWHIRUQHoDDVLQIRUPDo}HVQHFHVViULDVSDUDOKHSHUPLWLUHVWDEHOHFHURVHJXLQWH
D RHVFRSRGHVHMDGRGDFHUWLFDomR
E GHWDOKHV SHUWLQHQWHV GD RUJDQL]DomR VROLFLWDQWH FRQIRUPH UHTXHULGR SHOR HVTXHPD GH
FHUWLFDomRHVSHFtFRLQFOXLQGRVHXQRPHHRHQGHUHoRGDVVXDVSODQWDVVHXVSURFHVVRVH
RSHUDo}HV UHFXUVRV WpFQLFRV H KXPDQRV IXQo}HV UHODFLRQDPHQWRV H TXDLVTXHU REULJDo}HV
OHJDLVSHUWLQHQWHV
F LGHQWLFDomRGHWRGRVRVSURFHVVRVWHUFHLUL]DGRVXVDGRVSHODRUJDQL]DomRTXHDIHWDUmRDFRQIRU-
PLGDGHFRPRVUHTXLVLWRV
G DVQRUPDVRXRXWURVUHTXLVLWRVSDUDRVTXDLVDRUJDQL]DomRVROLFLWDQWHEXVFDFHUWLFDomR
H VHFRQVXOWRULDUHODWLYDDRVLVWHPDGHJHVWmRDVHUFHUWLFDGRIRLIRUQHFLGDHVHVLPTXHPIRUQHFHX
9.1.2 Anlise crtica da solicitao
9.1.2.1 2RUJDQLVPRGHFHUWLFDomRGHYHUHDOL]DUXPDDQiOLVHFUtWLFDGDVROLFLWDomRHGDVLQIRUPD-
o}HVVXSOHPHQWDUHVGHFHUWLFDomRSDUDDVVHJXUDUTXH
D DV LQIRUPDo}HV VREUH D RUJDQL]DomR VROLFLWDQWH H VHX VLVWHPD GH JHVWmR VHMDP VXFLHQWHV
SDUDGHVHQYROYHUXPSURJUDPDGHDXGLWRULDYHU
E TXDOTXHUGLIHUHQoDUHFRQKHFLGDGHLQWHUSUHWDomRHQWUHRRUJDQLVPRGHFHUWLFDomRHDRUJDQL-
]DomRVROLFLWDQWHVHMDUHVROYLGD
F R RUJDQLVPR GH FHUWLFDomR WHQKD FRPSHWrQFLD H FDSDFLGDGH SDUD H[HFXWDU D DWLYLGDGH

GHFHUWLFDomR
G RHVFRSRVROLFLWDGRSDUDDFHUWLFDomRDVSODQWDVGDVRSHUDo}HVGDRUJDQL]DomRVROLFLWDQWH

R WHPSR QHFHVViULR SDUD FRPSOHWDU DV DXGLWRULDV H TXDLVTXHU RXWURV SRQWRV TXH LQXHQFLHP
R VHUYLoR GH FHUWLFDomR VHMDP OHYDGRV HP FRQVLGHUDomR LGLRPD FRQGLo}HV GH VHJXUDQoD
DPHDoDVjLPSDUFLDOLGDGHHWF
9.1.2.2 $SyV D DQiOLVH FUtWLFD GD VROLFLWDomR R RUJDQLVPR GH FHUWLFDomR GHYH DFHLWDU RX UHFXVDU
D VROLFLWDomR SDUD FHUWLFDomR 4XDQGR R RUJDQLVPR GH FHUWLFDomR UHFXVDU XPD VROLFLWDomR SDUD
FHUWLFDomR FRPR UHVXOWDGR GD DQiOLVH FUtWLFD HOH GHYH GRFXPHQWDU RV PRWLYRV SDUD D UHFXVD
GDVROLFLWDomRHGHL[DUFODURSDUDRFOLHQWH
9.1.2.3 &RPEDVHQHVVDDQiOLVHFUtWLFDRRUJDQLVPRGHFHUWLFDomRGHYHGHWHUPLQDUDVFRPSH-
WrQFLDVTXHHOHSUHFLVDLQFOXLUHPVXDHTXLSHDXGLWRUDHSDUDDGHFLVmRGHFHUWLFDomR

9.1.3 Programa de auditoria
9.1.3.1 8P SURJUDPD GH DXGLWRULD SDUD R FLFOR FRPSOHWR GH FHUWLFDomR GHYH VHU HODERUDGR SDUD
LGHQWLFDUFODUDPHQWHDVDWLYLGDGHVGHDXGLWRULDQHFHVViULDVSDUDGHPRQVWUDUTXHRVLVWHPDGH
JHVWmRGRFOLHQWHDWHQGHDRVUHTXLVLWRVSDUDFHUWLFDomRSDUDDVQRUPDVVHOHFLRQDGDVRXRXWURV
GRFXPHQWRV QRUPDWLYRV 2 SURJUDPD GH DXGLWRULD SDUD R FLFOR GH FHUWLFDomR GHYH FREULU WRGRV
os requisitos do sistema de gesto.
9.1.3.2 2SURJUDPDGHDXGLWRULDSDUDDFHUWLFDomRLQLFLDOGHYHLQFOXLUXPDDXGLWRULDLQLFLDOHPGXDV
IDVHVDXGLWRULDVGHVXSHUYLVmRQRSULPHLURHQRVHJXQGRDQRVDSyVDGHFLVmRGHFHUWLFDomRHXPD
DXGLWRULDGHUHFHUWLFDomRQRWHUFHLURDQRDQWHVGRYHQFLPHQWRGDFHUWLFDomR2SULPHLURFLFORGH
FHUWLFDomRGHWUrVDQRVLQLFLDVHFRPDGHFLVmRGHFHUWLFDomR2VFLFORVVXEVHTXHQWHVLQLFLDPFRP
DGHFLVmRGHUHFHUWLFDomRYHU$GHWHUPLQDomRGRSURJUDPDGHDXGLWRULDHGHTXDLVTXHU
DMXVWHV VXEVHTXHQWHV GHYH FRQVLGHUDU R WDPDQKR GR FOLHQWH R HVFRSR H D FRPSOH[LGDGH GH VHX
VLVWHPDGHJHVWmRSURGXWRVHSURFHVVRVDVVLPFRPRRQtYHOGHPRQVWUDGRGHHFiFLDGRVLVWHPD
GHJHVWmRHRVUHVXOWDGRVGHTXDLVTXHUDXGLWRULDVDQWHULRUHV
127$ 2$QH[R(FRQWpPXPX[RJUDPDGHXPSURFHVVRWtSLFRGHDXGLWRULDHFHUWLFDomR
127$ $ OLVWD D VHJXLU FRQWpP LWHQV DGLFLRQDLV TXH SRGHP VHU FRQVLGHUDGRV DR VH HODERUDU RX UHYLVDU
XPSURJUDPDGHDXGLWRULDWDPEpPSRGHVHUQHFHVViULRDERUGiORVQDGHWHUPLQDomRGRHVFRSRGDDXGLWRULD
HHODERUDomRGHSODQRGHDXGLWRULD
UHFODPDo}HVUHFHELGDVSHORRUJDQLVPRGHFHUWLFDomRVREUHRFOLHQWH
DXGLWRULDFRPELQDGDLQWHJUDGDRXFRQMXQWD
PXGDQoDVQRVUHTXLVLWRVGHFHUWLFDomR
PXGDQoDVQRVUHTXLVLWRVOHJDLV
PXGDQoDVQRVUHTXLVLWRVGHDFUHGLWDomR
GDGRVGHGHVHPSHQKRRUJDQL]DFLRQDOSRUH[HPSORtQGLFHVGHGHIHLWRGDGRVGH.3,
SUHRFXSDo}HVGDVSDUWHVLQWHUHVVDGDVSHUWLQHQWHV
127$ &DVR HVSHFLFDGR SHOR HVTXHPD GH FHUWLFDomR HVSHFtFR GD LQG~VWULD R FLFOR GH FHUWLFDomR
SRGHVHUGLIHUHQWHGHWUrVDQRV
9.1.3.3 $V DXGLWRULDV GH VXSHUYLVmR GHYHP VHU UHDOL]DGDV QR PtQLPR XPD YH] D FDGD DQR GR
FDOHQGiULR H[FHWR HP DQRV GH UHFHUWLFDomR $ GDWD GD SULPHLUD DXGLWRULD GH VXSHUYLVmR DSyV D
FHUWLFDomRLQLFLDOQmRSRGHXOWUDSDVVDUPHVHVDSDUWLUGDGDWDGDGHFLVmRGDFHUWLFDomR
127$ 3RGH VHU QHFHVViULR DMXVWDU D IUHTXrQFLD GDV DXGLWRULDV GH VXSHUYLVmR SDUD DFRPRGDU IDWRUHV
FRPR VD]RQDOLGDGH RX FHUWLFDomR GH VLVWHPDV GH JHVWmR GH GXUDomR OLPLWDGD SRU H[HPSOR SODQWDV
GHFRQVWUXomRWHPSRUiULDV
9.1.3.4 4XDQGR XP RUJDQLVPR GH FHUWLFDomR OHYDU HP FRQWD FHUWLFDomR Mi FRQFHGLGD DR FOLHQWH H
DXGLWRULDVUHDOL]DGDVSRURXWURRUJDQLVPRGHFHUWLFDomRHOHGHYHREWHUHPDQWHUHYLGrQFLDVVXFLHQWHV
FRPRUHODWyULRVHGRFXPHQWDomRGHDo}HVFRUUHWLYDVSDUDTXDOTXHUQmRFRQIRUPLGDGH$GRFXPHQWDomR
deve demonstrar o atendimento aos requisitos desta parte da ABNT NBR ISO/IEC 17021. O organismo
GHFHUWLFDomRGHYHEDVHDGRQDLQIRUPDomRREWLGDMXVWLFDUHUHJLVWUDUTXDLVTXHUDMXVWHVDRSURJUDPD
GHDXGLWRULDH[LVWHQWHHDFRPSDQKDUDLPSOHPHQWDomRGHDo}HVFRUUHWLYDVUHODWLYDVDQmRFRQIRUPL-
dades anteriores.

9.1.3.5 2QGHRFOLHQWHRSHUDHPUHJLPHGHWXUQRVDVDWLYLGDGHVTXHDFRQWHFHPGXUDQWHRWXUQRGH
WUDEDOKRGHYHPVHUFRQVLGHUDGDVQDHODERUDomRGRSURJUDPDGHDXGLWRULDHQRVSODQRVGHDXGLWRULD
9.1.4 Determinao do tempo de auditoria
9.1.4.1 2RUJDQLVPRGHFHUWLFDomRGHYHWHUSURFHGLPHQWRVGRFXPHQWDGRVSDUDGHWHUPLQDURWHPSR
GH DXGLWRULD 3DUD FDGD FOLHQWH HOH GHYH FDOFXODU R WHPSR QHFHVViULR SDUD SODQHMDU H UHDOL]DU XPD
DXGLWRULDFRPSOHWDHHFD]GRVLVWHPDGHJHVWmRGRFOLHQWH
9.1.4.2 $R GHWHUPLQDU R WHPSR GH DXGLWRULD R RUJDQLVPR GH FHUWLFDomR GHYH FRQVLGHUDU HQWUH
RXWURVRVVHJXLQWHVDVSHFWRV
D RVUHTXLVLWRVGDQRUPDGHVLVWHPDGHJHVWmRSHUWLQHQWH
E FRPSOH[LGDGHGRFOLHQWHHVHXVLVWHPDGHJHVWmR
F FRQWH[WRWHFQROyJLFRHUHJXODWyULR
G TXDOTXHUWHUFHLUL]DomRGHTXDLVTXHUDWLYLGDGHVLQFOXtGDVQRHVFRSRGRVLVWHPDGHJHVWmR
H RVUHVXOWDGRVGHTXDLVTXHUDXGLWRULDVDQWHULRUHV
I RWDPDQKRHRQ~PHURGHORFDLVVXDORFDOL]DomRJHRJUiFDHFRQVLGHUDo}HVGHPXOWLVLWH
J RVULVFRVDVVRFLDGRVDRVSURGXWRVSURFHVVRVRXDWLYLGDGHVGDRUJDQL]DomR
K VHDVDXGLWRULDVVmRFRPELQDGDVFRQMXQWDVRXLQWHJUDGDV
127$ 2 WHPSR JDVWR HP GHVORFDPHQWR SDUD FKHJDU H GHL[DU RV ORFDLV DXGLWDGRV QmR HVWi LQFOXtGR
QRFiOFXORGDGXUDomRGRVGLDVGHDXGLWRULDGRVLVWHPDGHJHVWmR
127$ 2RUJDQLVPRGHFHUWLFDomRSRGHXWLOL]DUDVGLUHWUL]HVHVWDEHOHFLGDVQD,62,(&76SDUD
GHWHUPLQDomRGDGXUDomRGDDXGLWRULDGHVLVWHPDGHJHVWmRQRDWRGDGRFXPHQWDomRGHVWHVSURFHGLPHQWRV
1RVFDVRVHPTXHWHQKDPVLGRHVWDEHOHFLGRVFULWpULRVHVSHFtFRVSDUDXPHVTXHPDHVSHFtFRGH
FHUWLFDomRSRUH[HPSOR$%17,6276RX,62,(&HVVHVFULWpULRVGHYHPVHUDSOLFDGRV
9.1.4.3 $GXUDomRGDDXGLWRULDGRVLVWHPDGHJHVWmRHDVXDMXVWLFDWLYDGHYHPVHUUHJLVWUDGDV
9.1.4.4 2WHPSRXWLOL]DGRSRUTXDOTXHUPHPEURGDHTXLSHTXHQmRIRUGHVLJQDGRFRPRDXGLWRUSRU

H[HPSOR HVSHFLDOLVWDV WpFQLFRV WUDGXWRUHV LQWpUSUHWHV REVHUYDGRUHV H DXGLWRUHV HP WUHLQDPHQWR
QmRSRGHFRQWDUQDGXUDomRGDDXGLWRULDGHVLVWHPDGHJHVWmRHVWDEHOHFLGD
127$ 3DUDRXVRGHWUDGXWRUHVHLQWpUSUHWHVSRGHVHUQHFHVViULRXPWHPSRDGLFLRQDOGHDXGLWRULD
9.1.5 Amostragem de multi-site
$RXWLOL]DUDPRVWUDJHPGHPXOWLVLWHSDUDDDXGLWRULDGRVLVWHPDGHJHVWmRGHXPFOLHQWHTXHFXEUDD
PHVPDDWLYLGDGHHPGLYHUVDVORFDOL]Do}HVJHRJUiFDVRRUJDQLVPRGHFHUWLFDomRGHYHGHVHQYROYHU
XP SURJUDPD GH DPRVWUDJHP D P GH DVVHJXUDU XPD DXGLWRULD DGHTXDGD GR VLVWHPD GH JHVWmR$
MXVWLFDWLYDSDUDRSODQRGHDPRVWUDJHPGHYHVHUGRFXPHQWDGDSDUDFDGDFOLHQWH$DPRVWUDJHPQmR
pSHUPLWLGDSDUDDOJXQVHVTXHPDVGHFHUWLFDomRHVSHFtFRVHRQGHFULWpULRVHVSHFtFRVWHQKDPVLGR
HVWDEHOHFLGRV SDUD XP HVTXHPD GH FHUWLFDomR HVSHFtFR SRU H[HPSOR$%17 1%5 ,6276
HVWHVGHYHPVHUDSOLFDGRV
127$ 4XDQGRKRXYHUP~OWLSODVSODQWDVTXHQmRFXEUDPDPHVPDDWLYLGDGHDPRVWUDJHPQmRpDGHTXDGD

9.1.6 0~OWLSODVQRUPDVGHVLVWHPDVGHJHVWmR
4XDQGR D FHUWLFDomR GH P~OWLSODV QRUPDV GH VLVWHPDV GH JHVWmR p IRUQHFLGD SHOR RUJDQLVPR GH
FHUWLFDomRRSODQHMDPHQWRSDUDDDXGLWRULDGHYHDVVHJXUDUXPDDXGLWRULDDGHTXDGDQRORFDODP
GHSURSLFLDUFRQDQoDQDFHUWLFDomR
9.2 Planejando auditorias
9.2.1 Determinao dos objetivos, escopo e critrios de auditoria
9.2.1.1 2VREMHWLYRVGHDXGLWRULDGHYHPVHUGHWHUPLQDGRVSHORRUJDQLVPRGHFHUWLFDomR2HVFRSR
HRVFULWpULRVGHDXGLWRULDLQFOXLQGRTXDLVTXHUDOWHUDo}HVGHYHPVHUHVWDEHOHFLGRVSHORRUJDQLVPR
GHFHUWLFDomRDSyVGLVFXVVmRFRPRFOLHQWH
9.2.1.2 2VREMHWLYRVGHDXGLWRULDGHYHPGHVFUHYHURTXHGHYHVHUUHDOL]DGRSHODDXGLWRULDHGHYHP
LQFOXLU
D GHWHUPLQDomRGDFRQIRUPLGDGHGRVLVWHPDGHJHVWmRGRFOLHQWHRXGHSDUWHGHVVHVLVWHPDFRP
RVFULWpULRVGHDXGLWRULD
E GHWHUPLQDomR GD FDSDFLGDGH GR VLVWHPD GH JHVWmR SDUD DVVHJXUDU TXH R FOLHQWH DWHQGD DRV
UHTXLVLWRVHVWDWXWiULRVUHJXODPHQWDUHVHFRQWUDWXDLV
127$ 8PDDXGLWRULDGHFHUWLFDomRGHVLVWHPDGHJHVWmRQmRpXPDDXGLWRULDGHFRQIRUPLGDGHOHJDO
F GHWHUPLQDomRGDHFiFLDGRVLVWHPDGHJHVWmRSDUDDVVHJXUDUTXHRFOLHQWHSRGHUD]RDYHOPHQWH
HVSHUDUDWHQGHUVHXVREMHWLYRVGHQLGRV
G FRQIRUPHDSOLFiYHOLGHQWLFDomRGHiUHDVSDUDSRVVtYHOPHOKRULDGRVLVWHPDGHJHVWmR
9.2.1.3 2 HVFRSR GH DXGLWRULD GHYH GHVFUHYHU D DEUDQJrQFLD H RV OLPLWHV GD DXGLWRULD FRPR DV
SODQWDV XQLGDGHV RUJDQL]DFLRQDLV DWLYLGDGHV H SURFHVVRV D VHUHP DXGLWDGRV 4XDQGR R SURFHVVR
LQLFLDORXGHUHFHUWLFDomRFRQVLVWLUHPPDLVGHXPDDXGLWRULDSRUH[HPSORDEUDQJHQGRGLIHUHQWHV
SODQWDVRHVFRSRGHXPDDXGLWRULDLQGLYLGXDOSRGHQmRDEUDQJHURHVFRSRFRPSOHWRGDFHUWLFDomR
PDVRWRWDOGHDXGLWRULDVGHYHVHUFRHUHQWHFRPRHVFRSRFRQVWDQWHQRGRFXPHQWRGHFHUWLFDomR
9.2.1.4 2VFULWpULRVGHDXGLWRULDGHYHPVHUXVDGRVFRPRUHIHUrQFLDSDUDGHWHUPLQDomRGDFRQIRUPL-
GDGHHGHYHPLQFOXLU
RVUHTXLVLWRVGHXPGRFXPHQWRQRUPDWLYRGHQLGRVREUHVLVWHPDVGHJHVWmR
RVSURFHVVRVGHQLGRVHDGRFXPHQWDomRGRVLVWHPDGHJHVWmRGHVHQYROYLGRSHORFOLHQWH
9.2.2 Seleo da equipe auditora e designao de tarefas
9.2.2.1 Generalidades
9.2.2.1.1 2 RUJDQLVPR GH FHUWLFDomR GHYH WHU XP SURFHVVR SDUD VHOHFLRQDU H GHVLJQDU D HTXLSH
DXGLWRUDLQFOXVLYHRDXGLWRUOtGHUHHVSHFLDOLVWDVWpFQLFRVVHQHFHVViULROHYDQGRHPFRQVLGHUDomR
D FRPSHWrQFLD QHFHVViULD SDUD DOFDQoDU RV REMHWLYRV GD DXGLWRULD H UHTXLVLWRV GH LPSDUFLDOLGDGH
6HKRXYHUVRPHQWHXPDXGLWRUHOHGHYHWHUDFRPSHWrQFLDSDUDH[HFXWDURVGHYHUHVGHXPDXGLWRU
OtGHUDSOLFiYHLVjDXGLWRULDHPTXHVWmR$HTXLSHDXGLWRUDGHYHSRVVXLUDWRWDOLGDGHGHFRPSHWrQFLDV
LGHQWLFDGDVSHORRUJDQLVPRGHFHUWLFDomRFRQIRUPHGHQLGRHPSDUDDDXGLWRULD

9.2.2.1.2 $RVHGHFLGLURWDPDQKRHDFRPSRVLomRGDHTXLSHDXGLWRUDGHYHPVHUFRQVLGHUDGRVRV
seguintes itens:
D REMHWLYRVGDDXGLWRULDHVFRSRFULWpULRVHWHPSRGHDXGLWRULDHVWLPDGR
E VHDDXGLWRULDpFRPELQDGDFRQMXQWDRXLQWHJUDGD
F D FRPSHWrQFLD JOREDO GD HTXLSH DXGLWRUD QHFHVViULD SDUD DOFDQoDU RV REMHWLYRV GD DXGLWRULD
YHU7DEHOD$
G UHTXLVLWRV GH FHUWLFDomR LQFOXLQGR UHTXLVLWRV HVWDWXWiULRV UHJXODPHQWDUHV RX FRQWUDWXDLV

DSOLFiYHLV
H LGLRPDHFXOWXUD
127$ 'ROtGHUGDHTXLSHGHXPDDXGLWRULDFRPELQDGDRXLQWHJUDGDVHHVSHUDFRQKHFLPHQWRSURIXQGR
GHSHORPHQRVXPDGDVQRUPDVHFRQKHFLPHQWRVLPSOHVGDVRXWUDVQRUPDVXWLOL]DGDVSDUDDTXHODDXGLWRULD
SDUWLFXODU
9.2.2.1.3 2 FRQKHFLPHQWR H DV KDELOLGDGHV GR DXGLWRUOtGHU H GRV DXGLWRUHV SRGHP VHU FRPSOH-
PHQWDGRVSRUHVSHFLDOLVWDVWpFQLFRVWUDGXWRUHVHLQWpUSUHWHVTXHGHYHPDWXDUVREDRULHQWDomR
GH XP DXGLWRU 4XDQGR IRUHP XWLOL]DGRV WUDGXWRUHV RX LQWpUSUHWHV HOHV GHYHP VHU VHOHFLRQDGRV
GHIRUPDDQmRLQXHQFLDUDDXGLWRULDLQGHYLGDPHQWH
127$ 2V FULWpULRV SDUD D VHOHomR GH HVSHFLDOLVWDV WpFQLFRV VmR GHWHUPLQDGRV FDVR D FDVR FRQIRUPH
as necessidades da equipe auditora e do escopo da auditoria.
9.2.2.1.4 $XGLWRUHV HP WUHLQDPHQWR SRGHP SDUWLFLSDU QD DXGLWRULD GHVGH TXH XP DXGLWRU VHMD
GHVLJQDGRFRPRDYDOLDGRU2DYDOLDGRUGHYHVHUFRPSHWHQWHSDUDH[HUFHURVGHYHUHVHWHUUHVSRQ-
VDELOLGDGHQDOSHODVDWLYLGDGHVHFRQVWDWDo}HVGRDXGLWRUHPWUHLQDPHQWR
9.2.2.1.5 2 DXGLWRUOtGHU HP FRQVXOWD FRP D HTXLSH DXGLWRUD GHYH GHVLJQDU UHVSRQVDELOLGDGHV D
FDGDPHPEURGDHTXLSHSDUDDXGLWDUSURFHVVRVIXQo}HVORFDLViUHDVRXDWLYLGDGHVHVSHFtFRV7DLV
WDUHIDVGHYHPOHYDUHPFRQVLGHUDomRDQHFHVVLGDGHSRUFRPSHWrQFLDHRXVRHFD]HHFLHQWHGD
HTXLSHDXGLWRUDDVVLPFRPRDVGLIHUHQWHVIXQo}HVHUHVSRQVDELOLGDGHVGRVDXGLWRUHVDXGLWRUHVHP
WUHLQDPHQWRHHVSHFLDOLVWDVWpFQLFRV3RGHPVHUIHLWDVPXGDQoDVQDVWDUHIDVGHVLJQDGDVQDPHGLGD
HPTXHDDXGLWRULDSURJULGDGHIRUPDDDVVHJXUDURFXPSULPHQWRGRVREMHWLYRVGDDXGLWRULD
9.2.2.2 Observadores, especialistas tcnicos e guias
9.2.2.2.1 Observadores
$ SUHVHQoD H D MXVWLFDWLYD SDUD REVHUYDGRUHV GXUDQWH XPD DWLYLGDGH GH DXGLWRULD GHYHP VHU
DFRUGDGDVHQWUHRRUJDQLVPRGHFHUWLFDomRHRFOLHQWHDQWHVGDUHDOL]DomRGDDXGLWRULD$HTXLSH
DXGLWRUD GHYH DVVHJXUDU TXH RV REVHUYDGRUHV QmR LQXHQFLHP RX LQWHUUDP LQGHYLGDPHQWH
QRSURFHVVRRXQRUHVXOWDGRGDDXGLWRULD
127$ 2VREVHUYDGRUHVSRGHPVHUPHPEURVGDRUJDQL]DomRGRFOLHQWHFRQVXOWRUHVSHVVRDOGRRUJDQLVPR
GHDFUHGLWDomRUHDOL]DQGRXPDWHVWHPXQKDUHJXODGRUHVRXRXWUDVSHVVRDVMXVWLFDGDV
9.2.2.2.2 Especialistas tcnicos
2SDSHOGRVHVSHFLDOLVWDVWpFQLFRVGXUDQWHXPDDXGLWRULDGHYHVHUDFRUGDGRHQWUHRRUJDQLVPRGH
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DXGLWRUQDHTXLSHDXGLWRUD2VHVSHFLDOLVWDVWpFQLFRVGHYHPHVWDUDFRPSDQKDGRVSRUXPDXGLWRU
127$ 2VHVSHFLDOLVWDVWpFQLFRVSRGHPIRUQHFHUDVVHVVRUDPHQWRjHTXLSHDXGLWRUDSDUDDSUHSDUDomR
SODQHMDPHQWRRXDXGLWRULD

9.2.2.2.3 Guias
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da auditoria.
127$ $VUHVSRQVDELOLGDGHVGHXPJXLDSRGHPLQFOXLU
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G WHVWHPXQKDUDDXGLWRULDHPQRPHGRFOLHQWH
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127$ 4XDQGRDSURSULDGRRDXGLWDGRSRGHWDPEpPDWXDUFRPRJXLD
9.2.3 Plano de auditoria
2 RUJDQLVPR GH FHUWLFDomR GHYH DVVHJXUDU TXH XP SODQR GH DXGLWRULD VHMD HVWDEHOHFLGR DQWHV
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127$ 1mR VH HVSHUD TXH XP RUJDQLVPR GH FHUWLFDomR Yi HODERUDU XP SODQR GH DXGLWRULD SDUD FDGD
DXGLWRULDQRPRPHQWRHPTXHRSURJUDPDGHDXGLWRULDVIRUHODERUDGR
9.2.3.2 Preparao do plano de auditoria
2SODQRGHDXGLWRULDGHYHVHUDSURSULDGRDRVREMHWLYRVHDRHVFRSRGDDXGLWRULD2SODQRGHDXGLWRULD
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D RVREMHWLYRVGDDXGLWRULD
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127$ $VLQIRUPDo}HVGRSODQRGHDXGLWRULDSRGHPHVWDUFRQWLGDVHPPDLVGHXPGRFXPHQWR

9.2.3.3 Comunicao das tarefas da equipe auditora
$V WDUHIDV DWULEXtGDV j HTXLSH DXGLWRUD GHYHP VHU GHQLGDV H GHYHP GHWHUPLQDU TXH D HTXLSH
auditora:
D H[DPLQH H YHULTXH D HVWUXWXUD SROtWLFDV SURFHVVRV SURFHGLPHQWRV UHJLVWURV H GRFXPHQWRV

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E FRQUPH VH HVVHV LWHQV DWHQGHP D WRGRV RV UHTXLVLWRV SHUWLQHQWHV DR HVFRSR SUHWHQGLGR
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HFiFLDDPGHVHUYLUGHEDVHSDUDDFRQDQoDQRVLVWHPDGHJHVWmRGRFOLHQWH
G FRPXQLTXHDRFOLHQWHSDUDVXDDomRTXDLVTXHULQFRHUrQFLDVHQWUHDSROtWLFDREMHWLYRVHPHWDV
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9.2.3.4 Comunicao do plano de auditoria
2SODQRGHDXGLWRULDGHYHVHUFRPXQLFDGRHDVGDWDVGDDXGLWRULDGHYHPVHUSUHYLDPHQWHDFRUGDGDV
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9.2.3.5 Comunicao relativa aos membros da equipe auditora
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9.3 &HUWLFDomRLQLFLDO
9.3.1 $XGLWRULDLQLFLDOGHFHUWLFDomR
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RFOLHQWHHVWHMDLQIRUPDGRVREUHTXDLVTXHUDWLYLGDGHVLQORFRGXUDQWHDIDVH
127$ $IDVHQmRUHTXHUXPSODQRGHDXGLWRULDIRUPDOYHU
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iUHDVGHSUHRFXSDomRTXHSRGHULDPVHUFODVVLFDGDVFRPRQmRFRQIRUPLGDGHVGXUDQWHDIDVH
127$ 2VGDGRVUHVXOWDQWHVGDIDVHQmRSUHFLVDPDWHQGHURVUHTXLVLWRVGHXPUHODWyULRYHU
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9.3.1.3 Fase 2
2REMHWLYRGDIDVHpDYDOLDUDLPSOHPHQWDomRLQFOXLQGRHFiFLDGRVLVWHPDGHJHVWmRGRFOLHQWH
$IDVHGHYHRFRUUHUQRVORFDLVGRFOLHQWH(ODGHYHLQFOXLUDDXGLWRULDGHQRPtQLPRRVHJXLQWH
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F DFDSDFLGDGHHRGHVHPSHQKRGRVLVWHPDGHJHVWmRGRFOLHQWHHPUHODomRDRDWHQGLPHQWRGRV
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G FRQWUROHRSHUDFLRQDOGRVSURFHVVRVGRFOLHQWH
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I UHVSRQVDELOLGDGHGDGLUHomRSHODVSROtWLFDVGRFOLHQWH

9.3.1.4 &RQFOXV}HVGDDXGLWRULDLQLFLDOGHFHUWLFDomR
$ HTXLSH DXGLWRUD GHYH DQDOLVDU FULWLFDPHQWH WRGDV DV LQIRUPDo}HV H HYLGrQFLDV FROHWDGDV GXUDQWH
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9.4 Conduzindo auditorias
9.4.1 Generalidades
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GHYHLQFOXLUXPDUHXQLmRGHDEHUWXUDQRLQtFLRGDDXGLWRULDHXPDUHXQLmRGHHQFHUUDPHQWRDRQDO
da auditoria.
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IRU YLUWXDO R RUJDQLVPR GH FHUWLFDomR GHYH DVVHJXUDU TXH HVWDV DWLYLGDGHV VHMDP FRQGX]LGDV SRU
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VHU VXFLHQWHV SDUD SHUPLWLU TXH R DXGLWRU WRPH XPD GHFLVmR FRQVFLHQWH VREUH D FRQIRUPLGDGH
do requisito em questo.
127$ $XGLWRULDVin locoSRGHPLQFOXLUDFHVVRUHPRWRDsitesHOHWU{QLFRVTXHFRQWHQKDPLQIRUPDo}HV

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9.4.2 Conduo da reunio de abertura
'HYHVHUHDOL]DUXPDUHXQLmRGHDEHUWXUDIRUPDOFRPD$OWD'LUHomRGRFOLHQWHHTXDQGRDSURSULDGR
FRPRUHVSRQViYHOSHODVIXQo}HVRXSURFHVVRVDVHUHPDXGLWDGRV2SURSyVLWRGDUHXQLmRGHDEHUWXUD
JHUDOPHQWH FRQGX]LGD SHOR DXGLWRUOtGHU p IRUQHFHU XPD EUHYH H[SOLFDomR GH FRPR DV DWLYLGDGHV
GHDXGLWRULDVHUmRUHDOL]DGDV2JUDXGHGHWDOKHVGHYHVHUFRHUHQWHFRPDIDPLOLDULGDGHGRFOLHQWH
com o processo de auditoria e deve considerar o seguinte:
D DSUHVHQWDomRGRVSDUWLFLSDQWHVLQFOXLQGRXPUHVXPRGHVXDVIXQo}HV
E FRQUPDomRGRHVFRSRGHFHUWLFDomR
F FRQUPDomR GR SODQR GH DXGLWRULD LQFOXLQGR WLSR H HVFRSR GD DXGLWRULD REMHWLYRV H FULWpULRV
PXGDQoDV H RXWURV DUUDQMRV SHUWLQHQWHV FRP R FOLHQWH FRPR GDWD H GXUDomR GD UHXQLmR
GHHQFHUUDPHQWRHUHXQL}HVLQWHUPHGLiULDVHQWUHDHTXLSHDXGLWRUDHDGLUHomRGRFOLHQWH
G FRQUPDomRGRVFDQDLVIRUPDLVGHFRPXQLFDomRHQWUHDHTXLSHDXGLWRUDHRFOLHQWH
H FRQUPDomRGHTXHRVUHFXUVRVHLQVWDODo}HVQHFHVViULRVjHTXLSHDXGLWRUDHVWHMDPGLVSRQtYHLV
I FRQUPDomRGHDVVXQWRVUHODWLYRVjFRQGHQFLDOLGDGH
J FRQUPDomRGHSURFHGLPHQWRVSHUWLQHQWHVGHVHJXUDQoDGRWUDEDOKRHPHUJrQFLDHVHJXULGDGH
SDUDDHTXLSHDXGLWRUD
K FRQUPDomRGDGLVSRQLELOLGDGHIXQo}HVHLGHQWLGDGHVGHWRGRVRVJXLDVHREVHUYDGRUHV
L RPpWRGRGHUHODWDULQFOXLQGRDFODVVLFDomRGDVFRQVWDWDo}HVGHDXGLWRULD
M LQIRUPDo}HVVREUHDVFRQGLo}HVQDVTXDLVDDXGLWRULDSRGHVHUHQFHUUDGDSUHPDWXUDPHQWH

N FRQUPDomRGHTXHRDXGLWRUOtGHUHDHTXLSHDXGLWRUDUHSUHVHQWDQGRRRUJDQLVPRGHFHUWLFDomR
VmRUHVSRQViYHLVSHODDXGLWRULDHGHYHPFRQWURODUDH[HFXomRGRSODQRGHDXGLWRULDLQFOXLQGR
DVDWLYLGDGHVHWULOKDVGHDXGLWRULD
O FRQUPDomRGDVLWXDomRGDVFRQVWDWDo}HVGDDQiOLVHFUtWLFDRXDXGLWRULDDQWHULRUVHDSOLFiYHO
P PpWRGRVHSURFHGLPHQWRVDVHUHPXVDGRVSDUDUHDOL]DomRGDDXGLWRULDFRPEDVHHPDPRVWUDJHP
Q FRQUPDomRGRLGLRPDDVHUXVDGRGXUDQWHDDXGLWRULD
R FRQUPDomR GH TXH GXUDQWH D DXGLWRULD R FOLHQWH VHUi PDQWLGR LQIRUPDGR GR SURJUHVVR
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9.4.3 Comunicao durante a auditoria
9.4.3.1 'XUDQWHDDXGLWRULDDHTXLSHDXGLWRUDGHYHDYDOLDUSHULRGLFDPHQWHRSURJUHVVRGDDXGLWRULD
HWURFDULQIRUPDo}HV2DXGLWRUOtGHUGHYHUHGLVWULEXLURWUDEDOKRHQWUHRVPHPEURVGDHTXLSHDXGLWRUD
FRQIRUPHQHFHVViULRHFRPXQLFDUSHULRGLFDPHQWHRSURJUHVVRGDDXGLWRULDHTXDLVTXHUSUHRFXSDo}HV
DRFOLHQWH
9.4.3.2 4XDQGRDHYLGrQFLDGLVSRQtYHOGDDXGLWRULDLQGLFDUTXHRVREMHWLYRVGDDXGLWRULDVmRLQDWLQJt-
YHLVRXVXJHULUDSUHVHQoDGHXPULVFRLPHGLDWRHVLJQLFDWLYRSRUH[HPSORVHJXUDQoDRDXGLWRUOtGHU
GHYHUHODWDUHVVHIDWRDRFOLHQWHHVHSRVVtYHODRRUJDQLVPRGHFHUWLFDomRSDUDGHWHUPLQDUDDomR
DSURSULDGD7DODomRSRGHLQFOXLUDUHFRQUPDomRRXDPRGLFDomRGRSODQRGHDXGLWRULDPXGDQoDV
QRVREMHWLYRVRXQRHVFRSRGDDXGLWRULDRXRHQFHUUDPHQWRGDDXGLWRULD2DXGLWRUOtGHUGHYHUHODWDU
RUHVXOWDGRGDDomRSDUDRRUJDQLVPRGHFHUWLFDomR
9.4.3.3 2DXGLWRUOtGHUGHYHDQDOLVDUFULWLFDPHQWHFRPRFOLHQWHTXDOTXHUQHFHVVLGDGHGHPXGDQoDV
QRHVFRSRGDDXGLWRULDTXHTXHPDSDUHQWHVFRPRSURJUHVVRGDVDWLYLGDGHVGDDXGLWRULDQRORFDO
HUHODWDUHVVDVPXGDQoDVDRRUJDQLVPRGHFHUWLFDomR
9.4.4 2EWHQomRHYHULFDomRGHLQIRUPDo}HV
9.4.4.1 'XUDQWHDDXGLWRULDDVLQIRUPDo}HVSHUWLQHQWHVDRVREMHWLYRVHVFRSRHFULWpULRVGDDXGLWRULD
LQFOXLQGRLQIRUPDo}HVUHODWLYDVjVLQWHUIDFHVHQWUHIXQo}HVDWLYLGDGHVHSURFHVVRVGHYHPVHUREWLGDV
SRUDPRVWUDJHPDGHTXDGDHYHULFDGDVSDUDTXHVHWRUQHPHYLGrQFLDGHDXGLWRULD
9.4.4.2 2VPpWRGRVSDUDREWHULQIRUPDo}HVGHYHPLQFOXLUHQWUHRXWURV
D HQWUHYLVWDV
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9.4.5.1 $V FRQVWDWDo}HV GD DXGLWRULD UHVXPLQGR D FRQIRUPLGDGH H GHWDOKDQGR DV QmR FRQIRUPL-
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GHDXGLWRULD
F LGHQWLFDUDo}HVGHDFRPSDQKDPHQWRQHFHVViULDV
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9.4.7 Conduo da reunio de encerramento
9.4.7.1 'HYHVH UHDOL]DU XPD UHXQLmR GH HQFHUUDPHQWR IRUPDO QD TXDO D SUHVHQoD GHYH VHU
UHJLVWUDGDFRPDGLUHomRGRFOLHQWHHTXDQGRDSURSULDGRFRPRUHVSRQViYHOSHODVIXQo}HVRX
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j FHUWLFDomR $V QmR FRQIRUPLGDGHV GHYHP VHU DSUHVHQWDGDV GH WDO PDQHLUD TXH SRVVDP VHU
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E RPpWRGRHRSUD]RSDUDUHODWDULQFOXLQGRDFODVVLFDomRGDVFRQVWDWDo}HVGDDXGLWRULD
F R SURFHVVR GR RUJDQLVPR GH FHUWLFDomR SDUD WUDWDPHQWR GH QmR FRQIRUPLGDGHV LQFOXLQGR
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G RSUD]RSDUDRFOLHQWHDSUHVHQWDUXPSODQRSDUDFRUUHomRHDomRFRUUHWLYDSDUDDVQmRFRQIRUPL-
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9.4.8 Relatrio de auditoria
9.4.8.1 2RUJDQLVPRGHFHUWLFDomRGHYHIRUQHFHUXPUHODWyULRHVFULWRSDUDFDGDDXGLWRULDDRFOLHQWH
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ao seguinte:
D LGHQWLFDomRGRRUJDQLVPRGHFHUWLFDomR
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G FULWpULRVGDDXGLWRULD
H REMHWLYRVGDDXGLWRULD
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RXRVSURFHVVRVDXGLWDGRVHRWHPSRGDDXGLWRULD
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K TXDLVTXHUIDWRVVLJQLFDQWHVTXHLPSDFWHPQRSURJUDPDGHDXGLWRULD
L LGHQWLFDomRGRDXGLWRUOtGHUGRVPHPEURVGDHTXLSHDXGLWRUDHGDVSHVVRDVDFRPSDQKDQWHV
M DVGDWDVHOXJDUHVRQGHDVDWLYLGDGHVGDDXGLWRULDQRORFDORXIRUDGRORFDOORFDLVSHUPDQHQWHV
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R XPD GHFODUDomR GH HVFODUHFLPHQWR LQGLFDQGR TXH D DXGLWRULD p EDVHDGD HP XP SURFHVVR
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T VH R FOLHQWH DXGLWDGR HVWi FRQWURODQGR HIHWLYDPHQWH R XVR GRV GRFXPHQWRV GH FHUWLFDomR
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9.4.8.3 2UHODWyULRGHYHWDPEpPFRQWHU
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HYLGrQFLDVUHODFLRQDGDVD
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DXGLWRULDLQWHUQDHSURFHVVRGHDQiOLVHFUtWLFDGDGLUHomR
E XPDFRQFOXVmRVREUHDDGHTXDomRGRHVFRSRGHFHUWLFDomR
F FRQUPDomRGHTXHRVREMHWLYRVGDDXGLWRULDIRUDPDWLQJLGRV
9.4.9 Anlise das causas das no conformidades
2 RUJDQLVPR GH FHUWLFDomR GHYH H[LJLU TXH R FOLHQWH DQDOLVH D FDXVD H GHVFUHYD D FRUUHomR H DV
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9.4.10 (FiFLDGHFRUUHo}HVHDo}HVFRUUHWLYDV
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VREUH R UHVXOWDGR GD DQiOLVH FUtWLFD H YHULFDomR 2 FOLHQWH GHYH VHU LQIRUPDGR VH XPD DXGLWRULD
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9.5 'HFLVmRGHFHUWLFDomR
9.5.1 Generalidades
9.5.1.1 2RUJDQLVPRGHFHUWLFDomRGHYHDVVHJXUDUTXHSHVVRDVRXFRPLWrVTXHWRPDPDVGHFLV}HV
SDUDFRQFHVVmRRXUHFXVDGDFHUWLFDomRH[SDQVmRRXUHGXomRGHHVFRSRGDFHUWLFDomRVXVSHQVmR
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9.5.1.2 $VSHVVRDV>H[FOXLQGRPHPEURVGHFRPLWrVYHU@GHVLJQDGDVSHORRUJDQLVPRGH

FHUWLFDomR SDUD ID]HU XPD GHFLVmR GH FHUWLFDomR GHYHP HVWDU HPSUHJDGDV RX GHYHP HVWDU
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dos seguintes:
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F XPDDXWRULGDGHGRFXPHQWDGDSHORRUJDQLVPRGHFHUWLFDomRVREUHRXWUDHQWLGDGHHPXPDUHGH
GHSHVVRDVMXUtGLFDVQDTXDORRUJDQLVPRGHFHUWLFDomRVHHQFRQWUDOLJDGDSRUSURSULHGDGH
RXFRQWUROHGRFRQVHOKRGLUHWRU
127$ 3DUD RUJDQLVPRV GH FHUWLFDomR JRYHUQDPHQWDLV RXWUDV SDUWHV GR PHVPR JRYHUQR SRGHP VHU
FRQVLGHUDGDVOLJDGDVSRUSURSULHGDGHDRRUJDQLVPRGHFHUWLFDomR
9.5.1.3 $V SHVVRDV HPSUHJDGDV RX VRE FRQWUDWR FRP DV HQWLGDGHV VRE FRQWUROH RUJDQL]DFLRQDO
devem cumprir os mesmos requisitos desta parte da ABNT NBR ISO/IEC 17021 que as pessoas
HPSUHJDGDVRXVREFRQWUDWRFRPRRUJDQLVPRGHFHUWLFDomR
9.5.1.4 2RUJDQLVPRGHFHUWLFDomRGHYHUHJLVWUDUFDGDGHFLVmRGHFHUWLFDomRLQFOXLQGRTXDOTXHU
LQIRUPDomRDGLFLRQDORXHVFODUHFLPHQWRVROLFLWDGRjHTXLSHDXGLWRUDRXDRXWUDVIRQWHV
9.5.2 $o}HVDQWHVGDWRPDGDGHGHFLVmR
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WRPDGDGHGHFLVmRSDUDFRQFHVVmRGDFHUWLFDomRH[SDQVmRRXUHGXomRGHHVFRSRGDFHUWLFDomR
UHQRYDomRVXVSHQVmRRXUHVWDXUDomRRXFDQFHODPHQWRGDFHUWLFDomRLQFOXDTXH
D DVLQIRUPDo}HVIRUQHFLGDVSHODHTXLSHDXGLWRUDVmRVXFLHQWHVHPUHODomRDRVUHTXLVLWRVHDR
HVFRSRSDUDFHUWLFDomR
E SDUDTXDOTXHUQmRFRQIRUPLGDGHPDLRURRUJDQLVPRWHQKDDQDOLVDGRFULWLFDPHQWHDFHLWRHYHUL-
FDGRDVFRUUHo}HVHDo}HVFRUUHWLYDV
F SDUD TXDOTXHU QmR FRQIRUPLGDGH PHQRU R RUJDQLVPR WHQKD DQDOLVDGR FULWLFDPHQWH H DFHLWR
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9.5.3 ,QIRUPDo}HVSDUDFRQFHVVmRGDFHUWLFDomRLQLFLDO
9.5.3.1 $V LQIRUPDo}HV IRUQHFLGDV SHOD HTXLSH DXGLWRUD DR RUJDQLVPR GH FHUWLFDomR SDUD
DGHFLVmRVREUHDFHUWLFDomRGHYHPLQFOXLUQRPtQLPR
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SHORFOLHQWH
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G FRQUPDomRGHTXHRVREMHWLYRVGDDXGLWRULDIRUDPDOFDQoDGRV
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REVHUYDo}HV

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H Do}HV FRUUHWLYDV GH TXDOTXHU QmR FRQIRUPLGDGH PDLRU QR SHUtRGR GH PHVHV DSyV R ~OWLPR GLD
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SDUD RXWUR R RUJDQLVPR GH FHUWLFDomR TXH HVWi DFHLWDQGR GHYH WHU XP SURFHVVR SDUD REWHQomR
GHLQIRUPDomRVXFLHQWHGHIRUPDDWRPDUXPDGHFLVmRVREUHDFHUWLFDomR
127$ (VTXHPDVGHFHUWLFDomRSRGHPWHUUHJUDVHVSHFtFDVVREUHWUDQVIHUrQFLDGHFHUWLFDomR
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UHVXOWDGRV GD DXGLWRULD GH UHFHUWLFDomR EHP FRPR QRV UHVXOWDGRV GD DQiOLVH FUtWLFD GR VLVWHPD
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9.6 0DQXWHQomRGDFHUWLFDomR
9.6.1 Generalidades
2RUJDQLVPRGHFHUWLFDomRGHYHPDQWHUDFHUWLFDomRFRPEDVHQDGHPRQVWUDomRGHTXHRFOLHQWH
FRQWLQXDDVDWLVID]HURVUHTXLVLWRVGDQRUPDGHVLVWHPDGHJHVWmR(OHSRGHPDQWHUDFHUWLFDomR
GHXPFOLHQWHEDVHDQGRVHHPXPDFRQFOXVmRSRVLWLYDSHOROtGHUGDHTXLSHDXGLWRUDVHPSRVWHULRU
DQiOLVHFUtWLFDLQGHSHQGHQWHHGHFLVmRGHVGHTXH
D SDUD TXDOTXHU QmR FRQIRUPLGDGH PDLRU RX RXWUD VLWXDomR TXH SRVVD FRQGX]LU j VXVSHQVmR RX
FDQFHODPHQWR GD FHUWLFDomR R RUJDQLVPR GH FHUWLFDomR WHQKD XP VLVWHPD TXH H[LMD TXH R
OtGHUGDHTXLSHDXGLWRUDUHODWHDRRUJDQLVPRGHFHUWLFDomRDQHFHVVLGDGHGHLQLFLDUXPDDQiOLVH
FUtWLFDSRUSHVVRDOFRPSHWHQWHYHUGLIHUHQWHPHQWHGDTXHOHVTXHUHDOL]DUDPDDXGLWRULD
SDUDGHWHUPLQDUVHDFHUWLFDomRSRGHVHUPDQWLGD
E SHVVRDO FRPSHWHQWH GR RUJDQLVPR GH FHUWLFDomR PRQLWRUH VXDV DWLYLGDGHV GH VXSHUYLVmR
LQFOXLQGR R PRQLWRUDPHQWR GR UHODWyULR SRU VHXV DXGLWRUHV SDUD FRQUPDU VH D DWLYLGDGH
GHFHUWLFDomRHVWiRSHUDQGRFRPHFiFLD
9.6.2 Atividades de superviso
9.6.2.1.1 2 RUJDQLVPR GH FHUWLFDomR GHYH GHVHQYROYHU VXDV DWLYLGDGHV GH VXSHUYLVmR D P
GHTXHiUHDVHIXQo}HVUHSUHVHQWDWLYDVFREHUWDVSHORHVFRSRGRVLVWHPDGHJHVWmRVHMDPPRQL-
WRUDGDVUHJXODUPHQWHHOHYHPHPFRQVLGHUDomRDVPXGDQoDVHPVHXVFOLHQWHVFHUWLFDGRVHHP
seus sistemas de gesto.
9.6.2.1.2 $V DWLYLGDGHV GH VXSHUYLVmR GHYHP LQFOXLU DXGLWRULDV QR ORFDO SDUD DYDOLDU VH R VLVWHPD
GH JHVWmR GR FOLHQWH FHUWLFDGR DWHQGH DRV UHTXLVLWRV HVSHFLFDGRV HP UHODomR j QRUPD QD TXDO
DFHUWLFDomRIRLFRQFHGLGD2XWUDVDWLYLGDGHVGHVXSHUYLVmRSRGHPLQFOXLU
D FRQVXOWDVGRRUJDQLVPRGHFHUWLFDomRDRFOLHQWHFHUWLFDGRVREUHDVSHFWRVGHFHUWLFDomR
E DQiOLVHFUtWLFDGHTXDLVTXHUGHFODUDo}HVGRFOLHQWHFRPUHODomRjVVXDVRSHUDo}HVSRUH[HPSOR
PDWHULDOSURPRFLRQDOsite

F SHGLGRVDRFOLHQWHSDUDIRUQHFLPHQWRGHLQIRUPDomRGRFXPHQWDGDHPSDSHORXPHLRHOHWU{QLFR
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9.6.2.2 Auditoria de superviso
$XGLWRULDV GH VXSHUYLVmR VmR DXGLWRULDV QR ORFDO PDV QmR VmR QHFHVVDULDPHQWH DXGLWRULDV
FRPSOHWDVGRVLVWHPDHGHYHPVHUSODQHMDGDVMXQWRFRPRXWUDVDWLYLGDGHVGHVXSHUYLVmRDPGH
TXHRRUJDQLVPRGHFHUWLFDomRSRVVDPDQWHUDFRQDQoDGHTXHRVLVWHPDGHJHVWmRFHUWLFDGR
GRFOLHQWHFRQWLQXDDDWHQGHUDRVUHTXLVLWRVHQWUHDVDXGLWRULDVGHUHFHUWLFDomR&DGDVXSHUYLVmR
SDUDDQRUPDGHVLVWHPDGHJHVWmRSHUWLQHQWHGHYHLQFOXLU
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E XPD DQiOLVH FUtWLFD GDV Do}HV WRPDGDV SDUD DV QmR FRQIRUPLGDGHV LGHQWLFDGDV GXUDQWH D
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9.6.3 5HFHUWLFDomR
9.6.3.1 3ODQHMDPHQWRGDDXGLWRULDGHUHFHUWLFDomR
9.6.3.1.1 2SURSyVLWRGDDXGLWRULDGHUHFHUWLFDomRpFRQUPDUDFRQIRUPLGDGHHDHFiFLDFRQWtQXDV
GR VLVWHPD GH JHVWmR FRPR XP WRGR H D VXD FRQWtQXD UHOHYkQFLD H DSOLFDELOLGDGH DR HVFRSR GH
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do atendimento a todos os requisitos da norma pertinente de sistema de gesto ou outro documento
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VXSHUYLVmRDQWHULRUHVHFRQVLGHUDURGHVHPSHQKRGRVLVWHPDGHJHVWmRGXUDQWHRFLFORGHFHUWLFDomR
mais recente.
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VLWXDo}HVRQGHKRXYHUPXGDQoDVVLJQLFDWLYDVQRVLVWHPDGHJHVWmRQDRUJDQL]DomRRXQRFRQWH[WR
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GHGXDVIDVHV

9.6.3.2 $XGLWRULDGHUHFHUWLFDomR
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GHQLUUHTXLVLWRVSDUD
D LGHQWLFDUQmRFRQIRUPLGDGHVSRUH[HPSORGHUHFODPDo}HVHDXGLWRULDVLQWHUQDV
E GHWHUPLQDUDVFDXVDVGDQmRFRQIRUPLGDGH

F FRUULJLUQmRFRQIRUPLGDGHV
G DYDOLDUDQHFHVVLGDGHGHDo}HVSDUDDVVHJXUDUTXHDVQmRFRQIRUPLGDGHVQmRRFRUUDPQRYDPHQWH
H GHWHUPLQDUHLPSOHPHQWDUGHPDQHLUDRSRUWXQDDVDo}HVQHFHVViULDV
I UHJLVWUDURVUHVXOWDGRVGDVDo}HVWRPDGDV
J DQDOLVDUFULWLFDPHQWHDHFiFLDGDVDo}HVFRUUHWLYDVWRPDGDV
10.3 Opo B: Requisitos de sistema de gesto de acordo com a ABNT NBR ISO 9001
10.3.1 Generalidades
2 RUJDQLVPR GH FHUWLFDomR GHYH HVWDEHOHFHU H PDQWHU XP VLVWHPD GH JHVWmR GH DFRUGR FRP RV
UHTXLVLWRVGD$%171%5,62TXHVHMDFDSD]GHDSRLDUHGHPRQVWUDURFXPSULPHQWRFRHUHQWH
GRVUHTXLVLWRVGHVWDSDUWHGD$%171%5,62,(&DFUHVFLGRVSHORGHVFULWRHPD
10.3.2 Escopo
3DUDDDSOLFDomRGRVUHTXLVLWRVGD$%171%5,62RHVFRSRGRVLVWHPDGHJHVWmRGHYHLQFOXLU
RVUHTXLVLWRVGHSURMHWRHGHVHQYROYLPHQWRSDUDVHXVVHUYLoRVGHFHUWLFDomR
10.3.3 Foco no cliente
3DUDDDSOLFDomRGRVUHTXLVLWRVGD$%171%5,62DRGHVHQYROYHUVHXVLVWHPDGHJHVWmRR
RUJDQLVPR GH FHUWLFDomR GHYH DQDOLVDU D FUHGLELOLGDGH GD FHUWLFDomR H DERUGDU DV QHFHVVLGDGHV
GHWRGDVDVSDUWHVFRQIRUPHHVWDEHOHFLGRHPTXHGHSHQGHPGHVHXVVHUYLoRVGHDXGLWRULD
HFHUWLFDomRHQmRDSHQDVGHVHXVFOLHQWHV
10.3.4 Anlise crtica pela direo
3DUDDDSOLFDomRGRVUHTXLVLWRVGD$%171%5,62RRUJDQLVPRGHFHUWLFDomRGHYHLQFOXLU
FRPRHQWUDGDSDUDDDQiOLVHFUtWLFDSHODGLUHomRLQIRUPDo}HVVREUHDSHODo}HVHUHFODPDo}HVSHUWL-
QHQWHVGHXVXiULRVGHDWLYLGDGHVGHFHUWLFDomRHXPDDQiOLVHFUtWLFDGDLPSDUFLDOLGDGH

Anexo A
(normativo)
Conhecimentos e habilidades exigidos
A.1 Generalidades
$7DEHOD$HVSHFLFDRFRQKHFLPHQWRHKDELOLGDGHVTXHXPRUJDQLVPRGHFHUWLFDomRGHYHGHQLU
SDUD IXQo}HV HVSHFtFDV GH FHUWLFDomR ; VLJQLFD TXH R RUJDQLVPR GH FHUWLFDomR GHYH GHQLU
RV FULWpULRV H D SURIXQGLGDGH GRV FRQKHFLPHQWRV H KDELOLGDGHV 2V UHTXLVLWRV GH FRQKHFLPHQWR
HKDELOLGDGHVHVSHFLFDGRVQD7DEHOD$HVWmRH[SOLFDGRVHPPDLVGHWDOKHVQRWH[WRDSyVDWDEHOD
HHVWmRUHIHUHQFLDGRVSHORQ~PHURHQWUHSDUrQWHVHV
Tabela A.1 Tabela de conhecimentos e habilidades

)XQo}HVGHFHUWLFDomR
&RQGX]LQGRDDQiOLVHFUtWLFDGD $QDOLVDQGR
Conhecimento VROLFLWDomRSDUDGHWHUPLQDUD criticamente Auditando
e habilidades FRPSHWrQFLDUHTXHULGDSDUDD UHODWyULRVGH HOLGHUDQGR
HTXLSHGHDXGLWRULDSDUDVHOHFLRQDU auditoria e a equipe de
RVPHPEURVGDHTXLSHHSDUD GHFLGLQGRVREUH auditoria
GHWHUPLQDUDGXUDomRGDDXGLWRULD FHUWLFDo}HV
&RQKHFLPHQWRGHSUiWLFDVGH
X (ver A.2.1)
JHVWmRGHQHJyFLRV
&RQKHFLPHQWRGRVSULQFtSLRV
X (ver A.3.1) X (ver A.2.2)
SUiWLFDVGHWpFQLFDVGHDXGLWRULD
&RQKHFLPHQWRGHQRUPDV
documentos normativos de X (ver A.4.1) X (ver A.3.2) X (ver A.2.3)
VLVWHPDVGHJHVWmRHVSHFtFRV
&RQKHFLPHQWRGRVSURFHVVRVGH
X (ver A.4.2) X (ver A.3.3) X (ver A.2.4)
XPRUJDQLVPRGHFHUWLFDomR
&RQKHFLPHQWRGRVHWRUGH
X (ver A.4.3) X(ver A.3.4) X (ver A.2.5)
QHJyFLRVGRFOLHQWH
&RQKHFLPHQWRGRVSURGXWRV
SURFHVVRVHRUJDQL]DomRGR X (ver A.4.4) X (ver A.2.6)
FOLHQWH
+DELOLGDGHVOLQJXtVWLFDV
DSURSULDGDVSDUDWRGRVRVQtYHLV X (ver A.2.7)
GHQWURGDRUJDQL]DomRGRFOLHQWH
+DELOLGDGHVSDUDWRPDUQRWDVH
;YHU$
HVFUHYHUUHODWyULRV
+DELOLGDGHVSDUDDSUHVHQWDomR X (ver A.2.9)
+DELOLGDGHVSDUDUHDOL]DU
X (ver A.2.10)
entrevistas
+DELOLGDGHVSDUDJHVWmRGH
X (ver A.2.11)
auditorias
127$5LVFRHFRPSOH[LGDGHVmRRXWURVIDWRUHVDFRQVLGHUDUDRVHGHFLGLURQtYHOGHFRQKHFLPHQWRQHFHVViULRSDUD
TXDOTXHUXPDGHVVDVIXQo}HV

A.2 Requisitos de competncia para auditores de sistemas de gesto
A.2.1 Conhecimento de prticas de gesto de negcios
&RQKHFLPHQWRGHWLSRVJHUDLVGHRUJDQL]DomRWDPDQKRJRYHUQDQoDHVWUXWXUDHSUiWLFDVGHORFDLV
GHWUDEDOKRVLVWHPDVGHLQIRUPDomRHGDGRVVLVWHPDVGHGRFXPHQWDomRHWHFQRORJLDGDLQIRUPDomR
A.2.2 Conhecimento de princpios de auditoria, prticas e tcnicas
&RQKHFLPHQWR GH SULQFtSLRV JHUDLV GH DXGLWRULD GH VLVWHPDV GH JHVWmR SUiWLFDV H WpFQLFDV FRPR
HVSHFLFDGR QHVWD 1RUPD VXFLHQWHV SDUD FRQGX]LU DXGLWRULDV GH FHUWLFDomR H DYDOLDU SURFHVVRV
de auditoria interna.
A.2.3 &RQKHFLPHQWR GH QRUPDVGRFXPHQWRV QRUPDWLYRV HVSHFtFRV GH VLVWHPDV

de gesto
&RQKHFLPHQWR GD QRUPD GH VLVWHPD GH JHVWmR RX RXWURV GRFXPHQWRV QRUPDWLYRV HVSHFLFDGRV
SDUDFHUWLFDomRVXFLHQWHSDUDGHWHUPLQDUVHRVLVWHPDIRLHIHWLYDPHQWHLPSOHPHQWDGRHVHHVWi
FRQIRUPHFRPRVUHTXLVLWRV
A.2.4 &RQKHFLPHQWRGRVSURFHVVRVGRRUJDQLVPRGHFHUWLFDomR
&RQKHFLPHQWR GRV SURFHVVRV GH XP RUJDQLVPR GH FHUWLFDomR VXFLHQWH SDUD DWXDU GH DFRUGR
FRPRVSURFHGLPHQWRVHSURFHVVRVGRRUJDQLVPRGHFHUWLFDomR
A.2.5 Conhecimento do setor de negcios do cliente
&RQKHFLPHQWR GD WHUPLQRORJLD SUiWLFDV H SURFHVVRV FRPXQV DR VHWRU GH QHJyFLRV GH XP FOLHQWH
VXFLHQWHSDUDHQWHQGHUDVH[SHFWDWLYDVGRVHWRUQRFRQWH[WRGDQRUPDGRVLVWHPDGHJHVWmRRXRXWUR
documento normativo.
127$ (QWHQGHVHSRUVHWRUGHQHJyFLRVDVDWLYLGDGHVHFRQ{PLFDVSRUH[HPSORDHURHVSDFLDOTXtPLFD

VHUYLoRVQDQFHLURV
A.2.6 Conhecimento dos produtos, processos e organizao do cliente
&RQKHFLPHQWR UHODFLRQDGR DRV WLSRV GH SURGXWRV RX SURFHVVRV GH XP FOLHQWH VXFLHQWH SDUD
HQWHQGHU FRPR XPD RUJDQL]DomR SRGH RSHUDU H FRPR D RUJDQL]DomR SRGH DSOLFDU RV UHTXLVLWRV
da norma de sistema de gesto ou outro documento normativo pertinente.
A.2.7 Habilidades no idioma apropriadas para todos os nveis dentro da organizao

do cliente
&DSDFLGDGH GH VH FRPXQLFDU HIHWLYDPHQWH FRP SHVVRDV HP TXDOTXHU QtYHO GH XPD RUJDQL]DomR
XVDQGRWHUPRVH[SUHVV}HVHOLQJXDJHPDSURSULDGRV
A.2.8 Habilidades para tomar notas e redigir relatrios
&DSDFLGDGH GH OHU H HVFUHYHU FRP YHORFLGDGH SUHFLVmR H FRPSUHHQVmR VXFLHQWHV SDUD UHJLVWUDU
WRPDUQRWDVHHIHWLYDPHQWHFRPXQLFDUFRQVWDWDo}HVGHDXGLWRULDHFRQFOXV}HV

A.2.9 Habilidades para apresentao
&DSDFLGDGHGHDSUHVHQWDUFRQVWDWDo}HVGHDXGLWRULDHFRQFOXV}HVSDUDVHUHPIDFLOPHQWHFRPSUHHQ-
GLGDV3DUDROtGHUGDHTXLSHDSUHVHQWDUHPXPIRURS~EOLFRSRUH[HPSORUHXQLmRGHHQFHUUDPHQWR
FRQVWDWDo}HVGHDXGLWRULDFRQFOXV}HVHUHFRPHQGDo}HVDSURSULDGDVjSODWHLD
A.2.10 Habilidades de realizar entrevistas
&DSDFLGDGH GH HQWUHYLVWDU SDUD REWHU LQIRUPDo}HV SHUWLQHQWHV XVDQGR SHUJXQWDV DEHUWDV H EHP
IRUPXODGDVHRXYLQGRSDUDHQWHQGHUHDYDOLDUDVUHVSRVWDV
A.2.11 Habilidades para gesto da auditoria
&DSDFLGDGH GH FRQGX]LU H JHUHQFLDU XPD DXGLWRULD SDUD DWLQJLU RV REMHWLYRV GD DXGLWRULD GHQWUR
GRSHUtRGRGHWHPSRDFRUGDGR3DUDROtGHUGDHTXLSHFDSDFLGDGHGHFRQGX]LUUHXQL}HVSDUDD
WURFDHFD]GHLQIRUPDo}HVHFDSDFLGDGHGHID]HUDWULEXLo}HVRXUHDWULEXLo}HVGHWDUHIDVTXDQGR
necessrio.
A.3 Requisitos de competncia para o pessoal que analisa criticamente

UHODWyULRVGHDXGLWRULDHTXHWRPDGHFLV}HVGHFHUWLFDomR
$VIXQo}HVGHVWHSHVVRDOSRGHPVHUSUHHQFKLGDVSRUXPDRXPDLVSHVVRDV
A.3.1 Conhecimento dos princpios, prticas e tcnicas de auditoria
&RQKHFLPHQWR GH SULQFtSLRV SUiWLFDV H WpFQLFDV JHUDLV GH DXGLWRULD GH VLVWHPD GH JHVWmR FRPR
HVSHFLFDGRQHVWD1RUPDVXFLHQWHSDUDHQWHQGHUXPUHODWyULRGHDXGLWRULDGHFHUWLFDomR
A.3.2 &RQKHFLPHQWR GH QRUPDVGRFXPHQWRV QRUPDWLYRV HVSHFtFRV GH VLVWHPD

de gesto
&RQKHFLPHQWRGDQRUPDVGHVLVWHPDGHJHVWmRRXRXWURVGRFXPHQWRVQRUPDWLYRVHVSHFLFDGRV
SDUD FHUWLFDomR VXFLHQWH SDUD WRPDU XPD GHFLVmR FRP EDVH HP XP UHODWyULR GH DXGLWRULD
GHFHUWLFDomR
&RQKHFLPHQWR GRV SURFHVVRV GH XP RUJDQLVPR GH FHUWLFDomR VXFLHQWH SDUD GHWHUPLQDU VH DV
H[SHFWDWLYDV GR RUJDQLVPR GH FHUWLFDomR IRUDP DWHQGLGDV FRP EDVH QD LQIRUPDomR VXEPHWLGD
SDUDDQiOLVHFUtWLFD
&RQKHFLPHQWRGHWHUPLQRORJLDSUiWLFDVHSURFHVVRVFRPXQVDXPDiUHDGHQHJyFLRGHXPFOLHQWH
VXFLHQWHSDUDHQWHQGHUXPUHODWyULRGHDXGLWRULDQRFRQWH[WRGDQRUPDGRVLVWHPDGHJHVWmRRXRXWUR
documento normativo.

A.4 Requisitos de competncia para pessoal que conduz anlise crtica da

solicitao para determinar a competncia necessria da equipe de auditoria,
para selecionar os membros da equipe de auditoria e para determinar o tempo
de auditoria
$VIXQo}HVGHVWHSHVVRDOSRGHPVHUSUHHQFKLGDVSRUXPDRXPDLVSHVVRDV
A.4.1 &RQKHFLPHQWR GH QRUPDVGRFXPHQWRV QRUPDWLYRV HVSHFtFRV GH VLVWHPD

de gesto
&RQKHFLPHQWRGHTXDLVQRUPDVRXRXWURVGRFXPHQWRVQRUPDWLYRVHVWmRVHQGRHVSHFLFDGRVSDUD
FHUWLFDomR
&RQKHFLPHQWR GRV SURFHVVRV GH XP RUJDQLVPR GH FHUWLFDomR VXFLHQWH SDUD GHVLJQDU PHPEURV
da equipe de auditoria competentes e determinar o tempo de auditoria com exatido.
&RQKHFLPHQWRGDWHUPLQRORJLDSUiWLFDVHSURFHVVRVFRPXQVDRVHWRUGHQHJyFLRVGHXPFOLHQWHVX-
FLHQWHSDUDGHVLJQDUPHPEURVGDHTXLSHGHDXGLWRULDFRPSHWHQWHVHGHWHUPLQDURWHPSRGHDXGLWRULD
com exatido.
A.4.4 Conhecimento dos produtos, processos e organizao do cliente
&RQKHFLPHQWRUHODFLRQDGRDRVWLSRVGHSURGXWRVRXSURFHVVRVGHXPFOLHQWHVXFLHQWHSDUDGHVLJQDU
PHPEURVGDHTXLSHGHDXGLWRULDFRPSHWHQWHVHGHWHUPLQDURWHPSRGHDXGLWRULDFRPH[DWLGmR

Anexo B
LQIRUPDWLYR
Possveis mtodos de avaliao
B.1 Generalidades
(VWH$QH[RIRUQHFHH[HPSORVGHPpWRGRVGHDYDOLDomRSDUDDMXGDURVRUJDQLVPRVGHFHUWLFDomR
2VPpWRGRVSDUDDYDOLDUDFRPSHWrQFLDGHSHVVRDVSRGHPVHUDJUXSDGRVHPFLQFRJUDQGHVFDWHJRULDV
DQiOLVH FUtWLFD GH UHJLVWURV UHDOLPHQWDomR HQWUHYLVWDV REVHUYDo}HV H H[DPHV (VVDV FDWHJRULDV
SRGHP VHU DLQGD PDLV VXEGLYLGLGDV$ VHJXLU DSUHVHQWDVH XPD EUHYH GHVFULomR GH FDGD PpWRGR
VXDXWLOLGDGHHVXDVOLPLWDo}HVSDUDDYDOLDUFRQKHFLPHQWRVHKDELOLGDGHVeLPSURYiYHOTXHTXDOTXHU
PpWRGRXWLOL]DGRVR]LQKRFRQUPHDFRPSHWrQFLD
2VPpWRGRVGHVFULWRVHP%D%SRGHPIRUQHFHULQIRUPDo}HV~WHLVVREUHFRQKHFLPHQWRVHKDELOL-
GDGHVHOHVVmRPDLVHFD]HVTXDQGRHODERUDGRVSDUDXVRFRPFULWpULRVHVSHFLFDGRVGHFRPSHWrQ-
FLDUHVXOWDQWHVGRSURFHVVRGHGHWHUPLQDomRGHFRPSHWrQFLDVGHQLGRHPH
8PH[HPSORGHXPX[RGHSURFHVVRSDUDGHWHUPLQDomRHPDQXWHQomRGDFRPSHWrQFLDpGDGRQR
Anexo C.
B.2 Anlise crtica de registros

$OJXQV UHJLVWURV VmR LQGLFDGRUHV GH FRQKHFLPHQWRV FRPR XP curriculum vitae apresentando
H[SHULrQFLDGHWUDEDOKRH[SHULrQFLDHPDXGLWRULDVIRUPDomRHFDSDFLWDomR
$OJXQVUHJLVWURVVmRLQGLFDGRUHVGHKDELOLGDGHVFRPRUHODWyULRVGHDXGLWRULDUHJLVWURVGHH[SHULrQFLD
GHWUDEDOKRH[SHULrQFLDHPDXGLWRULDVIRUPDomRHFDSDFLWDomR
eLPSURYiYHOTXHHVVHVUHJLVWURVVR]LQKRVVHMDPHYLGrQFLDVXFLHQWHGHFRPSHWrQFLD
2XWURV UHJLVWURV VmR HYLGrQFLD GLUHWD GH GHPRQVWUDomR GH FRPSHWrQFLD FRPR SRU H[HPSOR
XPUHODWyULRGHXPDDYDOLDomRGRGHVHPSHQKRGHXPDXGLWRUUHDOL]DQGRXPDDXGLWRULD
B.3 Realimentao
$UHDOLPHQWDomRGLUHWDGHHPSUHJDGRUHVSDVVDGRVSRGHVHUXPLQGLFDGRUGHFRQKHFLPHQWRVHKDEL-
OLGDGHVPDVpLPSRUWDQWHREVHUYDUTXHDOJXPDVYH]HVRVHPSUHJDGRUHVH[FOXHPHVSHFLFDPHQWH
LQIRUPDo}HVQHJDWLYDV
5HIHUrQFLDVSHVVRDLVSRGHPVHUXPLQGLFDGRUGHFRQKHFLPHQWRVHKDELOLGDGHVeLPSURYiYHOTXHXP
FDQGLGDWRIRUQHoDXPDUHIHUrQFLDSHVVRDOTXHSRVVXDLQIRUPDo}HVQHJDWLYDV
$UHDOLPHQWDomRSRUSDUHVSRGHVHUXPLQGLFDGRUGHFRQKHFLPHQWRVHKDELOLGDGHV7DOUHDOLPHQWDomR
SRGHVHULQXHQFLDGDSHORUHODFLRQDPHQWRHQWUHSDUHV

$ UHDOLPHQWDomR SURYHQLHQWH GH FOLHQWHV SRGH VHU XP LQGLFDGRU GH FRQKHFLPHQWRV H KDELOLGDGHV
3DUDXPDXGLWRUDUHDOLPHQWDomRSRGHVHULQXHQFLDGDSHORVUHVXOWDGRVGDDXGLWRULD
$UHDOLPHQWDomRSRUVLVyQmRpHYLGrQFLDVDWLVIDWyULDGHFRPSHWrQFLD
B.4 Entrevistas
$VHQWUHYLVWDVSRGHPVHU~WHLVSDUDH[WUDLULQIRUPDo}HVVREUHFRQKHFLPHQWRVHKDELOLGDGHV
(QWUHYLVWDVGHHPSUHJRSRGHPVHU~WHLVSDUDGHWDOKDULQIRUPDo}HVGHFXUUtFXORVHGHH[SHULrQFLDV
SDVVDGDVGHWUDEDOKRHPUHODomRDFRQKHFLPHQWRVHKDELOLGDGHV
&RPR SDUWH GDV DQiOLVHV FUtWLFDV GH GHVHPSHQKR DV HQWUHYLVWDV SRGHP IRUQHFHU LQIRUPDo}HV
HVSHFtFDVVREUHFRQKHFLPHQWRVHKDELOLGDGHV
$ HQWUHYLVWD GH XPD HTXLSH DXGLWRUD SDUD XPD DQiOLVH FUtWLFD DSyV D DXGLWRULD SRGH IRUQHFHU
LQIRUPDo}HV~WHLVVREUHRVFRQKHFLPHQWRVHKDELOLGDGHVGHXPDXGLWRU(ODRIHUHFHXPDRSRUWXQL-
GDGHGHHQWHQGHUSRUTXHXPDXGLWRUWRPRXGHFLV}HVHVSHFtFDVVHOHFLRQRXWULOKDVHVSHFtFDVGH
DXGLWRULDHWF(VWDWpFQLFDSRGHVHUXVDGDDSyVXPDDXGLWRULDREVHUYDGDHWDPEpPPDLVWDUGHQD
DQiOLVHGRUHODWyULRHVFULWRGHDXGLWRULD$OpPGLVVRSRGHVHU~WLOHVSHFLDOPHQWHQDGHWHUPLQDomR
GDFRPSHWrQFLDUHODWLYDDXPDiUHDWpFQLFDHVSHFtFD
$ HYLGrQFLD GLUHWD GD GHPRQVWUDomR GH FRPSHWrQFLD SRGH VHU REWLGD SRU PHLR GH XPD HQWUHYLVWD
HVWUXWXUDGDFRPUHJLVWURVDGHTXDGRVFRQWUDFULWpULRVGHQLGRVGHFRPSHWrQFLD
$V HQWUHYLVWDV SRGHP VHU XVDGDV SDUD DYDOLDU KDELOLGDGHV OLQJXtVWLFDV GH FRPXQLFDomR H
interpessoais.
B.5 2EVHUYDo}HV
$REVHUYDomRGHXPDSHVVRDUHDOL]DQGRXPDWDUHIDSRGHIRUQHFHUHYLGrQFLDGLUHWDGHFRPSHWrQFLD
FRQIRUPH D DSOLFDomR GHPRQVWUDGD GH FRQKHFLPHQWRV H KDELOLGDGHV SDUD VH REWHU XP UHVXOWDGR
GHVHMDGR (VWH PpWRGR GH DYDOLDomR p ~WLO SDUD WRGDV DV IXQo}HV SDUD R SHVVRDO DGPLQLVWUDWLYR
HGHJHVWmRDVVLPFRPRSDUDDXGLWRUHVHWRPDGRUHVGHGHFLVmRGHFHUWLFDomR8PDOLPLWDomRGH
VH REVHUYDU XP DXGLWRU UHDOL]DQGR XPD DXGLWRULD p R JUDX GH GHVDR DSUHVHQWDGR SHOD DXGLWRULD
HVSHFtFD
$REVHUYDomRSHULyGLFDGHXPDSHVVRDp~WLOSDUDFRQUPDUDFRQWLQXLGDGHGDFRPSHWrQFLD
B.6 Exames
([DPHVHVFULWRVSRGHPIRUQHFHUHYLGrQFLDVERDVHEHPGRFXPHQWDGDVGHFRQKHFLPHQWRVHGHSHQ-
GHQGRGRVPpWRGRVWDPEpPGDVKDELOLGDGHV
([DPHV RUDLV SRGHP RIHUHFHU ERDV HYLGrQFLDV GH FRQKHFLPHQWRV GHSHQGHQGR GD FRPSHWrQFLD
GRH[DPLQDGRUHUHVXOWDGRVOLPLWDGRVVREUHKDELOLGDGHV
([DPHV SUiWLFRV SRGHP IRUQHFHU XP UHVXOWDGR HTXLOLEUDGR VREUH FRQKHFLPHQWRV H KDELOLGDGHV
GHSHQGHQGR GR SURFHVVR GH H[DPH H GD FRPSHWrQFLD GRV H[DPLQDGRUHV ([HPSORV GH PpWRGRV
SRGHP LQFOXLU SRU H[HPSOR VLPXODo}HV HVWXGRV GH FDVR VLPXODomR GH HVWUHVVH RX VLWXDo}HV
SUiWLFDVQRWUDEDOKR

Anexo C
LQIRUPDWLYR
([HPSORGHXPX[RGHSURFHVVRSDUDGHWHUPLQDomRHPDQXWHQomR
da competncia
2 X[R GH SURFHVVR QD )LJXUD & DSUHVHQWD XP PRGR GH GHWHUPLQDU D FRPSHWrQFLD GR SHVVRDO
SHOD LGHQWLFDomR GH WDUHIDV HVSHFtFDV D VHUHP FRQFOXtGDV H D LGHQWLFDomR GRV FRQKHFLPHQWRV
HKDELOLGDGHVHVSHFtFRVQHFHVViULRVSDUDREWHUVHRUHVXOWDGRSUHWHQGLGR2X[RGHSURFHVVRXVD
RVPpWRGRVGHVFULWRVQR$QH[R%
Identificar funes no Estabelecer mtodo de Induo

Estabelece critrios de Identificar capacidade
organismo de certificao avaliar critrios (se necessrio)
competncia para cada atual do pessoal
funo
Avaliao de lacunas em Analisar

- Conhecimentos
habilidades e conhecimentos - Habilidades
- Experincia
sim
Boa no Estabelecer programa de
treinamento/orientao
Demonstrao de
conhecimentos e habilidades no
Treinament
sim o eficaz?
Satisfatria
PDCA no
sim
Requisitos sim Critrios estabelecidos

Envolver auditor especialista
Especficos do setor com base no risco ou especialista tcnico
no
sim no
Competente
Critrios no Melhoria das sim Estabelecer programa de
atendidos? desenvolvimento de auditores

Anlise peridica da habilidades?
competncia
no no
Identificada Melhoria satisfatria

sim
lacuna? das habilidades?
sim
sim PDCA
Estabelecer programa de treinamento
no
Treinamento eficaz?
PDCA
)LJXUD&([HPSORGHXPX[RGHSURFHVVRSDUDGHWHUPLQDomRHPDQXWHQomR
da competncia

Anexo D
LQIRUPDWLYR
Comportamento pessoal desejado
([HPSORVGHFRPSRUWDPHQWRSHVVRDOTXHVmRLPSRUWDQWHVSDUDRSHVVRDOHQYROYLGRQDVDWLYLGDGHV
GHFHUWLFDomRSDUDTXDOTXHUWLSRGHVLVWHPDGHJHVWmRHVWmRGHVFULWRVDVHJXLU
D pWLFRLVWRpMXVWRYHUGDGHLURVLQFHURKRQHVWRHGLVFUHWR
E PHQWHDEHUWDLVWRpGLVSRVWRDFRQVLGHUDULGHLDVRXSRQWRVGHYLVWDDOWHUQDWLYRV
F GLSORPiWLFRLVWRpFRPWDWRSDUDOLGDUFRPSHVVRDV
G FRODERUDGRULVWRpTXHLQWHUDJHFRPHFiFLDFRPRVRXWURV
H REVHUYDGRULVWRpDWLYDPHQWHDWHQWRjFLUFXQYL]LQKDQoDHjVDWLYLGDGHV
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ISO 17021 2016 - Treinamento

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ISO 17021 2016 - Treinamento

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NORMA ABNT NBR

Avaliao da conformidade Requisitos para

ICS 03.120.20 ISBN 978-85-07-06232-5

ISO/IEC 2015 - ABNT 2016

ii ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados

Prefcio Nacional ..............................................................................................................................vii

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10.2 Opo A: Requisitos gerais de sistema de gesto .......................................................39

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados v

A.4.4 Conhecimento dos produtos, processos e organizao do cliente............................46

vi ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados vii

NOTE 1 Examples of management systems include environmental management systems, quality

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ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados ix

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NOTA Ver Nota de 7.1.2.

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4.8 Abordagem baseada em risco

5.1.1 Responsabilidade legal

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5.2 Gesto da imparcialidade

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7.1.3 Processos de avaliao

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