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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


ABNT NBR ISO/IEC 17021-1:2016

ISO/IEC 2015
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ABNT 2016
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escrito da ABNT.

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


ABNT NBR ISO/IEC 17021-1:2016

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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 ,QIRUPDo}HVVREUHDDWLYLGDGHHRVUHTXLVLWRVGHFHUWLFDomR ...................................18

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


ABNT NBR ISO/IEC 17021-1:2016

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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


ABNT NBR ISO/IEC 17021-1:2016

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.3.4 Conhecimento do setor de negcios do cliente ...........................................................45
A.4 Requisitos de competncia para pessoal que conduz anlise crtica da solicitao
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A.4.3 Conhecimento do setor de negcios do cliente ...........................................................46

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


ABNT NBR ISO/IEC 17021-1:2016

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


Anexo B LQIRUPDWLYR Possveis 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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da competncia ................................................................................................................49
Anexo D LQIRUPDWLYR Comportamento 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


ABNT NBR ISO/IEC 17021-1:2016

Prefcio Nacional

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


ABNT NBR ISO/IEC 17021-1:2016

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Scope
This part of ABNT NBR ISO/IEC 17021 contains principles and requirements for the competence,
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NOTE 4 This part of ABNT ISO/IEC 17021 can be used as a criteria document for accreditation, peer
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viii ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados


ABNT NBR ISO/IEC 17021-1:2016

Introduo

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


ABNT NBR ISO/IEC 17021-1:2016

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


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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YHU$%171%5,62,(& HRUJDQLVPRVTXHUHDOL]DPHVWDDWLYLGDGHVmRSRUWDQWR
RUJDQLVPRVGHDYDOLDomRGHFRQIRUPLGDGHGHWHUFHLUDSDUWH

127$ ([HPSORV GH VLVWHPDV GH JHVWmR LQFOXHP VLVWHPDV GH JHVWmR DPELHQWDO VLVWHPDV GH JHVWmR
GDTXDOLGDGHHVLVWHPDVGHJHVWmRGDVHJXUDQoDGDLQIRUPDomR

127$ 1HVWD SDUWH GD $%17 1%5 ,62,(&  FHUWLFDomR GH VLVWHPDV GH JHVWmR p UHIHUHQFLDGD
FRPRFHUWLFDomRHRUJDQLVPRVGHDYDOLDomRGDFRQIRUPLGDGHGHWHUFHLUDSDUWHVmRUHIHUHQFLDGRVFRPR
RUJDQLVPRVGHFHUWLFDomR

127$ 8P RUJDQLVPR GH FHUWLFDomR SRGH RX QmR VHU XPD LQVWLWXLomR JRYHUQDPHQWDO FRP RX VHP
DXWRULGDGHUHJXODPHQWDGRUD

127$ (VWDSDUWHGD$%171%5,62,(&SRGHVHUXVDGDFRPRXPGRFXPHQWRGHFULWpULRVSDUD
DFUHGLWDomRRXDYDOLDomRGHSDUHVRXRXWURVSURFHVVRVGHDXGLWRULD

2 Referncias normativas
2VGRFXPHQWRVUHODFLRQDGRVDVHJXLUVmRLQGLVSHQViYHLVjDSOLFDomRGHVWHGRFXPHQWR3DUDUHIH-
UrQFLDVGDWDGDVDSOLFDPVHVRPHQWHDVHGLo}HVFLWDGDV3DUDUHIHUrQFLDVQmRGDWDGDVDSOLFDPVH
DVHGLo}HVPDLVUHFHQWHVGRUHIHULGRGRFXPHQWR LQFOXLQGRHPHQGDV 

$%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


ABNT NBR ISO/IEC 17021-1:2016

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


ABNT NBR ISO/IEC 17021-1:2016

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
QmRFRQIRUPLGDGH  TXHQmRDIHWDDFDSDFLGDGHGRVLVWHPDGHJHVWmRGHDWLQJLURVUHVXOWDGRV
pretendidos

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 3


ABNT NBR ISO/IEC 17021-1:2016

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
SDUWHGRWHPSRGHDXGLWRULD  GHVSHQGLGRFRQGX]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

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


ABNT NBR ISO/IEC 17021-1:2016

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  )DPLOLDULGDGH RXFRQDQoD DPHDoDVTXHVXUJHPGHXPDSHVVRDRXRUJDQLVPRTXHSRUVHU


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.

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 5


ABNT NBR ISO/IEC 17021-1:2016

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
FHUWLFDomR RXVHMDDFRQFHVVmRPDQXWHQomRGDFHUWLFDomRH[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
GHDXGLWRULDVHVSHFtFDV SRUH[HPSORDXGLWRULDVHPUHVSRVWDDUHFODPDo}HV DSDUWHVLQWHUHVVDGDV
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.

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


ABNT NBR ISO/IEC 17021-1:2016

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.

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 7


ABNT NBR ISO/IEC 17021-1:2016

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
GHFHUWLFDomRGHVLVWHPDVGHJHVWmR

5.2.3 2 RUJDQLVPR GH FHUWLFDomR GHYH WHU XP SURFHVVR SDUD LGHQWLFDU DQDOLVDU DYDOLDU WUDWDU
PRQLWRUDUHGRFXPHQWDURVULVFRVUHODFLRQDGRVDFRQLWRVGHLQWHUHVVHVSURYHQLHQWHVGRIRUQHFLPHQWR
GHFHUWLFDomRLQFOXLQGRTXDLVTXHUFRQLWRVUHVXOWDQWHVGHVHXVUHODFLRQDPHQWRVGHIRUPDFRQWtQXD
2QGH KDMD TXDOTXHU DPHDoD j LPSDUFLDOLGDGH R RUJDQLVPR GH FHUWLFDomR GHYH GRFXPHQWDU
H GHPRQVWUDU FRPR HOLPLQD RX PLQLPL]D HVWDV DPHDoDV H GRFXPHQWDU TXDOTXHU ULVFR UHVLGXDO
$GHPRQVWUDomRGHYHFREULUWRGDVDVSRWHQFLDLVDPHDoDVTXHHVWHMDPGHQLGDVVHQGRUHVXOWDQWHVGH
GHQWURGRRUJDQLVPRGHFHUWLFDomRRXGHDWLYLGDGHVGHRXWUDVSHVVRDVRUJDQLVPRVRXRUJDQL]Do}HV
4XDQGRXPUHODFLRQDPHQWRDSUHVHQWDXPDDPHDoDLQDFHLWiYHOjLPSDUFLDOLGDGH FRPRXPDOLDOTXH
SHUWHQFHLQWHLUDPHQWHDRRUJDQLVPRGHFHUWLFDomRVROLFLWDQGRVHUFHUWLFDGDSRUVHXSURSULHWiULR D
FHUWLFDomRQmRSRGHVHUIRUQHFLGD

$$OWD'LUHomRGHYHDQDOLVDUFULWLFDPHQWHTXDOTXHUULVFRUHVLGXDOSDUDGHWHUPLQDUVHHVWHHVWiHPXP
QtYHOGHULVFRDFHLWiYHO

2 SURFHVVR GH DYDOLDomR GH ULVFR GHYH LQFOXLU D LGHQWLFDomR H D FRQVXOWD jV SDUWHV LQWHUHVVDGDV
DGHTXDGDVSDUDDFRQVHOKDPHQWRVREUHDVVXQWRVTXHDIHWHPDLPSDUFLDOLGDGHLQFOXLQGRWUDQVSDUrQFLD
H SHUFHSomR S~EOLFD $ FRQVXOWD jV SDUWHV LQWHUHVVDGDV DGHTXDGDV GHYH VHU HTXLOLEUDGD H VHP
SUHGRPLQkQFLDGHTXDOTXHULQWHUHVVHLQGLYLGXDO

127$ )RQWHVGHDPHDoDjLPSDUFLDOLGDGHGRRUJDQLVPRGHFHUWLFDomRSRGHPEDVHDUVHHPSURSULHGDGH
GLUHomRJHVWmRSHVVRDOUHFXUVRVFRPSDUWLOKDGRVVLWXDomRQDQFHLUDFRQWUDWRVWUHLQDPHQWRmarketing e
SDJDPHQWRGHXPDFRPLVVmRVREUHYHQGDVRXRXWUDVVLWXDo}HVTXHLQGX]DPDHQWUDGDGHQRYRVFOLHQWHV
etc.

127$ 3DUWHV LQWHUHVVDGDV SRGHP LQFOXLU SHVVRDO H FOLHQWHV GR RUJDQLVPR GH FHUWLFDomR FOLHQWHV GDV
RUJDQL]Do}HV FXMRV VLVWHPDV GH JHVWmR HVWmR FHUWLFDGRV UHSUHVHQWDQWHV GH DVVRFLDo}HV GD LQG~VWULD H
FRPpUFLR UHSUHVHQWDQWHV GH RUJDQLVPRV UHJXODGRUHV JRYHUQDPHQWDLV RX RXWURV VHUYLoRV JRYHUQDPHQWDLV
RXUHSUHVHQWDQWHVGHRUJDQL]Do}HVQmRJRYHUQDPHQWDLVLQFOXLQGRRUJDQL]Do}HVGRFRQVXPLGRU

127$ 8PDIRUPDGHDWHQGLPHQWRGRUHTXLVLWRGHFRQVXOWDGHVWD6HomRpRXVRGHXPFRPLWrFRPSRVWR
por estas partes interessadas.

5.2.4 8P RUJDQLVPR GH FHUWLFDomR QmR SRGH FHUWLFDU RXWUR RUJDQLVPR GH FHUWLFDomR SDUD VHX
VLVWHPDGHJHVWmRGDTXDOLGDGH

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


ABNT NBR ISO/IEC 17021-1:2016

5.2.5 2RUJDQLVPRGHFHUWLFDomRHTXDOTXHUSDUWHGDPHVPDHQWLGDGHOHJDOHTXDOTXHUHQWLGDGH
VRERFRQWUROHRUJDQL]DFLRQDOGRRUJDQLVPRGHFHUWLFDomR>YHUDOtQHDE @QmRSRGHPRIHUHFHU
RXSUHVWDUFRQVXOWRULDHPVLVWHPDGHJHVWmR(VWDUHVWULomRWDPEpPVHDSOLFDjSDUWHGDHQWLGDGH
JRYHUQDPHQWDOLGHQWLFDGDFRPRRUJDQLVPRGHFHUWLFDomR

127$ ,VWRQmRH[FOXLDSRVVLELOLGDGHGHWURFDGHLQIRUPDo}HV SRUH[HPSORH[SOLFDomRGRVUHVXOWDGRV


RXHVFODUHFLPHQWRGRVUHTXLVLWRV HQWUHRRUJDQLVPRGHFHUWLFDomRHVHXVFOLHQWHV

5.2.6 $ UHDOL]DomR GH DXGLWRULDV LQWHUQDV SHOR RUJDQLVPR GH FHUWLFDomR H SRU TXDOTXHU SDUWH
GD PHVPD HQWLGDGH OHJDO SDUD VHXV FOLHQWHV FHUWLFDGRV p XP ULVFR VLJQLFDWLYR j LPSDUFLDOLGDGH
3RUWDQWRRRUJDQLVPRGHFHUWLFDomRHTXDOTXHUSDUWHGDPHVPDHQWLGDGHOHJDOHTXDOTXHUHQWLGDGH
VRERFRQWUROHRUJDQL]DFLRQDOGRRUJDQLVPRGHFHUWLFDomR>YHUDOtQHDE @QmRSRGHPRIHUHFHU
RX IRUQHFHU DXGLWRULDV LQWHUQDV D VHXV FOLHQWHV FHUWLFDGRV 8PD PLWLJDomR UHFRQKHFLGD SDUD HVWD
DPHDoDpTXHRRUJDQLVPRGHFHUWLFDomRQmRSRGHFHUWLFDUXPVLVWHPDGHJHVWmRSDUDRTXDOWHQKD
IRUQHFLGRDXGLWRULDVLQWHUQDVSRUXPPtQLPRGHGRLVDQRVDSyVRWpUPLQRGDVDXGLWRULDVLQWHUQDV

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
SRGHFHUWLFDURVLVWHPDGHJHVWmRSRUXPPtQLPRGHGRLVDQRVDSyVRPGDFRQVXOWRULD

NOTA 1 Ver Nota 1 de 5.2.3.

5.2.8 2RUJDQLVPRGHFHUWLFDomRQmRSRGHWHUFHLUL]DUDXGLWRULDVDXPDRUJDQL]DomRGHFRQVXOWRULD
HP VLVWHPD GH JHVWmR YLVWR TXH HVVD VLWXDomR FRQVWLWXL XPD DPHDoD LQDFHLWiYHO j LPSDUFLDOLGDGH
GRRUJDQLVPRGHFHUWLFDomR YHU ,VVRQmRVHDSOLFDsSHVVRDVFRQWUDWDGDVFRPRDXGLWRUHV
FRQIRUPH

5.2.9 $VDWLYLGDGHVGRRUJDQLVPRGHFHUWLFDomRQmRSRGHPVHUQHJRFLDGDVRXRIHUHFLGDVOLJDGDV
FRPDVDWLYLGDGHVGHXPDRUJDQL]DomRTXHIRUQHoDFRQVXOWRULDGHVLVWHPDGHJHVWmR2RUJDQLVPR
GHFHUWLFDomRGHYHWRPDUDo}HVSDUDFRUULJLUGHFODUDo}HVRXDVVRFLDo}HVLQDGHTXDGDVGHTXDOTXHU
RUJDQL]DomRGHFRQVXOWRULDTXHDUPHRXLQUDTXHDFHUWLFDomRVHULDPDLVVLPSOHVPDLVIiFLO
PDLVUiSLGDRXPHQRVGLVSHQGLRVDVHRRUJDQLVPRGHFHUWLFDomRIRVVHXVDGR2RUJDQLVPRGH
FHUWLFDomRQmRSRGHDUPDURXLQIHULUTXHDFHUWLFDomRVHULDPDLVVLPSOHVPDLVIiFLOPDLVUiSLGD
RXPHQRVGLVSHQGLRVDVHXPDGHWHUPLQDGDRUJDQL]DomRTXHIRUQHFHFRQVXOWRULDIRVVHXVDGD

5.2.10 'HIRUPDDDVVHJXUDUTXHQmRKDMDFRQLWRGHLQWHUHVVHVRSHVVRDOTXHIRUQHFHXFRQVXOWRULD
HPVLVWHPDGHJHVWmRLQFOXVLYHDTXHOHVDWXDQGRHPXPDIXQomRJHUHQFLDOQmRSRGHVHUXVDGRSHOR
RUJDQLVPRGHFHUWLFDomRSDUDSDUWLFLSDUHPDXGLWRULDVRXRXWUDVDWLYLGDGHVGHFHUWLFDomRVHHOHV
HVWLYHUHP HQYROYLGRV HP FRQVXOWRULD HP VLVWHPD GH JHVWmR HP UHODomR DR FOLHQWH 8PD PLWLJDomR
UHFRQKHFLGDSDUDHVWDDPHDoDpTXHHVWHSHVVRDOQmRSRGHVHUXWLOL]DGRSRUXPPtQLPRGHGRLVDQRV
DSyVRWpUPLQRGDFRQVXOWRULD

5.2.11 2RUJDQLVPRGHFHUWLFDomRGHYHWRPDUDo}HVSDUDUHVSRQGHU DTXDLVTXHU DPHDoDVjVXD


LPSDUFLDOLGDGHUHVXOWDQWHVGDVDo}HVGHRXWUDVSHVVRDVRUJDQLVPRVRXRUJDQL]Do}HV

5.2.12 7RGRRSHVVRDOGRRUJDQLVPRGHFHUWLFDomRLQWHUQRRXH[WHUQRRXGHFRPLWrVTXHSRVVD
LQXHQFLDUDVDWLYLGDGHVGHFHUWLFDomRGHYHDJLUGHIRUPDLPSDUFLDOHQmRSRGHSHUPLWLUTXHSUHVV}HV
FRPHUFLDLVQDQFHLUDVRXGHRXWURVWLSRVFRPSURPHWDPDLPSDUFLDOLGDGH

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 9


ABNT NBR ISO/IEC 17021-1:2016

5.2.13 2V RUJDQLVPRV GH FHUWLFDomR GHYHP H[LJLU TXH R VHX SHVVRDO LQWHUQR H H[WHUQR UHYHOH
TXDOTXHUVLWXDomRFRQKHFLGDTXHSRVVDRIHUHFHUXPFRQLWRGHLQWHUHVVHVDVLSUySULRRXDRRUJDQLVPR
GH FHUWLFDomR 2V RUJDQLVPRV GH FHUWLFDomR GHYHP UHJLVWUDU H XVDU HVVDV LQIRUPDo}HV FRPR
HQWUDGDSDUDLGHQWLFDUDPHDoDVjLPSDUFLDOLGDGHFDXVDGDVSHODVDWLYLGDGHVGHVHXSHVVRDORXSHODV
RUJDQL]Do}HVTXHRHPSUHJDPHQmRSRGHPXVDUHVVHSHVVRDOLQWHUQRRXH[WHUQRDPHQRVTXH
SRVVDPGHPRQVWUDUDXVrQFLDGHFRQLWRGHLQWHUHVVHV

5.3 5HVSRQVDELOLGDGHFLYLOHQDQoDV

5.3.1 2RUJDQLVPRGHFHUWLFDomRGHYHVHUFDSD]GHGHPRQVWUDUTXHDYDOLRXRVULVFRVUHVXOWDQWHV
GHVXDVDWLYLGDGHVGHFHUWLFDomRHTXHSRVVXLPHGLGDVDGHTXDGDV SRUH[HPSORVHJXURRXIXQGRV
GHUHVHUYD SDUDFREULUDVUHVSRQVDELOLGDGHVFLYLVUHVXOWDQWHVGHVXDVRSHUDo}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
RXSHVVRD TXHGHWpPDXWRULGDGHHUHVSRQVDELOLGDGHWRWDOSRUFDGDXPDGDVVHJXLQWHVDWLYLGDGHV

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

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


ABNT NBR ISO/IEC 17021-1:2016

L  GLVSRVLo}HVFRQWUDWXDLV

M  IRUQHFLPHQWRGHUHFXUVRVDGHTXDGRVSDUDDWLYLGDGHVGHFHUWLFDomR

6.1.4 2RUJDQLVPRGHFHUWLFDomRGHYHSRVVXLUUHJUDVIRUPDLVSDUDDGHVLJQDomRWHUPRVGHUHIH-
UrQFLD DWULEXLo}HV HRSHUDomRGHTXDLVTXHUFRPLWrVHQYROYLGRVQDVDWLYLGDGHVGHFHUWLFDomR

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$iUHDWpFQLFDSRGHVHUGHQLGDSRUXPHVTXHPD
HVSHFtFRGHFHUWLFDomR SRUH[HPSOR$%17,6276 RXSRGHVHUGHWHUPLQDGDSHORRUJDQLVPRGH
FHUWLFDomR,VWRpXWLOL]DGRSDUDFREULUXPQ~PHURGHRXWURVWHUPRVFRPRHVFRSRVFDWHJRULDVVHWRUHV
HWFRVTXDLVVmRWUDGLFLRQDOPHQWHXVDGRVHPGLVFLSOLQDVGHVLVWHPDVGHJHVWmRGLVWLQWDV

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 11


ABNT NBR ISO/IEC 17021-1:2016

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


ABNT NBR ISO/IEC 17021-1:2016

7.2.6 2RUJDQLVPRGHFHUWLFDomRGHYHDVVHJXUDUTXHDXGLWRUHVHTXDQGRQHFHVViULRHVSHFLDOLVWDV
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7.2.10 2RUJDQLVPRGHFHUWLFDomRGHYHPRQLWRUDUFDGDDXGLWRUFRQVLGHUDQGRFDGDWLSRGHVLVWHPD
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7.3 Uso de auditores e especialistas tcnicos externos


2 RUJDQLVPR GH FHUWLFDomR GHYH H[LJLU TXH DXGLWRUHV H HVSHFLDOLVWDV WpFQLFRV H[WHUQRV WHQKDP
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ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 13


ABNT NBR ISO/IEC 17021-1:2016

7.5 Terceirizao

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devem ser terceirizadas.

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G  XVRGRQRPHGRRUJDQLVPRGHFHUWLFDomRHGDPDUFDGHFHUWLFDomRRXORJRPDUFD

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


ABNT NBR ISO/IEC 17021-1:2016

H  SURFHVVRVSDUDWUDWDPHQWRGHSHGLGRVGHLQIRUPDomRUHFODPDo}HVHDSHODo}HV

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127$ 2RUJDQLVPRGHFHUWLFDomRSRGHPDQWHUDGDWDRULJLQDOGHFHUWLFDomRQRFHUWLFDGRTXDQGRXP
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ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 15


ABNT NBR ISO/IEC 17021-1:2016

J  R QRPH HQGHUHoR H PDUFD GH FHUWLFDomR GR RUJDQLVPR GH FHUWLFDomR RXWUDV PDUFDV SRU
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8.3 5HIHUrQFLDjFHUWLFDomRHDRXVRGHPDUFDV

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127$ $$%171%5,62,(&IRUQHFHLQIRUPDomRDGLFLRQDOSDUDRXVRGHPDUFDVGHWHUFHLUDSDUWH

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


ABNT NBR ISO/IEC 17021-1:2016

H  DOWHUHWRGRPDWHULDOSXEOLFLWiULRTXDQGRRHVFRSRGDFHUWLFDomRWLYHUVLGRUHGX]LGR

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HQYROYLGDGHYHDPHQRVTXHSURLELGRSRUOHLVHUQRWLFDGRGDVLQIRUPDo}HVIRUQHFLGDV

8.4.5 $VLQIRUPDo}HVVREUHRFOLHQWHSURYHQLHQWHVGHRXWUDVIRQWHVTXHQmRRSUySULRFOLHQWH SRU


H[HPSORUHFODPDQWHUHJXODPHQWDGRUHV GHYHPVHUWUDWDGDVFRPRFRQGHQFLDLVHPFRHUrQFLDFRP
DSROtWLFDGRRUJDQLVPRGHFHUWLFDomR

8.4.6 2 SHVVRDO LQFOXVLYH TXDLVTXHU PHPEURV GH FRPLWrV IRUQHFHGRUHV SHVVRDO GH RUJDQLVPRV
H[WHUQRV RX SHVVRDV H[WHUQDV DWXDQGR HP QRPH GR RUJDQLVPR GH FHUWLFDomR GHYH PDQWHU
FRQGHQFLDLV WRGDV DV LQIRUPDo}HV REWLGDV RX JHUDGDV GXUDQWH D UHDOL]DomR GDV DWLYLGDGHV
GRRUJDQLVPRGHFHUWLFDomRH[FHWRVHUHTXHULGRSRUOHL

8.4.7 2RUJDQLVPRGHFHUWLFDomRGHYHWHUSURFHVVRVHTXDQGRDSOLFiYHOHTXLSDPHQWRVHLQVWDOD-
o}HVTXHJDUDQWDPDVHJXUDQoDQRWUDWDPHQWRGHLQIRUPDo}HVFRQGHQFLDLV

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 17


ABNT NBR ISO/IEC 17021-1:2016

8.5 7URFDGHLQIRUPDo}HVHQWUHXPRUJDQLVPRGHFHUWLFDomRHVHXVFOLHQWHV
8.5.1 ,QIRUPDo}HVVREUHDDWLYLGDGHHRVUHTXLVLWRVGHFHUWLFDomR

2RUJDQLVPRGHFHUWLFDomRGHYHIRUQHFHUHDWXDOL]DUVHXVFOLHQWHVVREUHDVVHJXLQWHVLQIRUPDo}HV

D  XPDGHVFULomRGHWDOKDGDGDDWLYLGDGHLQLFLDOHFRQWtQXDGHFHUWLFDomRLQFOXLQGRDVROLFLWDomR
DXGLWRULDV LQLFLDLV DXGLWRULDV GH VXSHUYLVmR H SURFHVVR SDUD FRQFHVVmR UHFXVD PDQXWHQomR
GD FHUWLFDomR H[SDQVmR RX UHGXomR GR HVFRSR GD FHUWLFDomR UHQRYDomR VXVSHQVmR
RXUHVWDXUDomRRXFDQFHODPHQWRGDFHUWLFDomR

E  RVUHTXLVLWRVQRUPDWLYRVSDUDFHUWLFDomR

F  LQIRUPDo}HVVREUHDVWD[DVFREUDGDVSDUDVROLFLWDomRFHUWLFDomRLQLFLDOHPDQXWHQomR

G  UHTXLVLWRVGRRUJDQLVPRGHFHUWLFDomRSDUDTXHRVFOLHQWHV

  DWHQGDPDRVUHTXLVLWRVGHFHUWLFDomR

  WRPHPWRGDVDVPHGLGDVQHFHVViULDVSDUDDUHDOL]DomRGDVDXGLWRULDVLQFOXLQGRDVGLVSRVLo}HV
SDUDDQiOLVHGDGRFXPHQWDomRHRDFHVVRDWRGRVRVSURFHVVRVHiUHDVUHJLVWURVHSHVVRDO
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

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


ABNT NBR ISO/IEC 17021-1:2016

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
SDUDGHVHQYROYHUXPSURJUDPDGHDXGLWRULD YHU 

E  TXDOTXHUGLIHUHQoDUHFRQKHFLGDGHLQWHUSUHWDomRHQWUHRRUJDQLVPRGHFHUWLFDomRHDRUJDQL-
]DomRVROLFLWDQWHVHMDUHVROYLGD

F  R RUJDQLVPR GH FHUWLFDomR WHQKD FRPSHWrQFLD H FDSDFLGDGH SDUD H[HFXWDU D DWLYLGDGH


GHFHUWLFDomR

G  RHVFRSRVROLFLWDGRSDUDDFHUWLFDomRD V SODQWD V GDVRSHUDo}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

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 19


ABNT NBR ISO/IEC 17021-1:2016

9.1.3 Programa de auditoria

9.1.3.1 8P SURJUDPD GH DXGLWRULD SDUD R FLFOR FRPSOHWR GH FHUWLFDomR GHYH VHU HODERUDGR SDUD
LGHQWLFDUFODUDPHQWHD V DWLYLGDGH V GHDXGLWRULDQHFHVViULD V SDUDGHPRQVWUDUTXHRVLVWHPDGH
JHVWmRGRFOLHQWHDWHQGHDRVUHTXLVLWRVSDUDFHUWLFDomRSDUDD V QRUPD V VHOHFLRQDGD V RXRXWUR V 
GRFXPHQWR V  QRUPDWLYR V  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
DGHFLVmRGHUHFHUWLFDomR YHU $GHWHUPLQDomRGRSURJUDPDGHDXGLWRULDHGHTXDLVTXHU
DMXVWHV VXEVHTXHQWHV GHYH FRQVLGHUDU R WDPDQKR GR FOLHQWH R HVFRSR H D FRPSOH[LGDGH GH VHX
VLVWHPDGHJHVWmRSURGXWRVHSURFHVVRVDVVLPFRPRRQtYHOGHPRQVWUDGRGHHFiFLDGRVLVWHPD
GHJHVWmRHRVUHVXOWDGRVGHTXDLVTXHUDXGLWRULDVDQWHULRUHV
127$ 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]DFLRQDO SRUH[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.

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


ABNT NBR ISO/IEC 17021-1:2016

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]DGRSRUTXDOTXHUPHPEURGDHTXLSHTXHQmRIRUGHVLJQDGRFRPRDXGLWRU SRU


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

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 21


ABNT NBR ISO/IEC 17021-1:2016

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
LQLFLDORXGHUHFHUWLFDomRFRQVLVWLUHPPDLVGHXPDDXGLWRULD SRUH[HPSORDEUDQJHQGRGLIHUHQWHV
SODQWDV RHVFRSRGHXPDDXGLWRULDLQGLYLGXDOSRGHQmRDEUDQJHURHVFRSRFRPSOHWRGDFHUWLFDomR
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

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


ABNT NBR ISO/IEC 17021-1:2016

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
FHUWLFDomRHRFOLHQWHDQWHVGDFRQGXomRGDDXGLWRULD8PHVSHFLDOLVWDWpFQLFRQmRSRGHDWXDUFRPR
DXGLWRUQDHTXLSHDXGLWRUD2VHVSHFLDOLVWDVWpFQLFRVGHYHPHVWDUDFRPSDQKDGRVSRUXPDXGLWRU
127$ 2VHVSHFLDOLVWDVWpFQLFRVSRGHPIRUQHFHUDVVHVVRUDPHQWRjHTXLSHDXGLWRUDSDUDDSUHSDUDomR
SODQHMDPHQWRRXDXGLWRULD

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 23


ABNT NBR ISO/IEC 17021-1:2016

9.2.2.2.3 Guias

&DGDDXGLWRUGHYHVHUDFRPSDQKDGRSRUXPJXLDDPHQRVVHDFRUGDGRGHRXWUDIRUPDSHORDXGLWRU
OtGHUHSHORFOLHQWH2VJXLDVVmRGHVLJQDGRVSHODHTXLSHDXGLWRUDSDUDIDFLOLWDUDDXGLWRULD$HTXLSH
DXGLWRUD GHYH DVVHJXUDU TXH RV JXLDV QmR LQXHQFLHP RX LQWHUUDP QR SURFHVVR RX QR UHVXOWDGR
da auditoria.

127$ $VUHVSRQVDELOLGDGHVGHXPJXLDSRGHPLQFOXLU

D  HVWDEHOHFHUFRQWDWRVHKRUiULRVSDUDHQWUHYLVWDV

E  RUJDQL]DUYLVLWDVSDUDSDUWHVHVSHFtFDVGRORFDORXGDRUJDQL]DomR

F  DVVHJXUDUTXHUHJUDVUHODWLYDVDRVSURFHGLPHQWRVGHVHJXUDQoDHVHJXULGDGHGRORFDOVHMDPFRQKHFLGDV
HUHVSHLWDGDVSHORVPHPEURVGDHTXLSHDXGLWRUD

G  WHVWHPXQKDUDDXGLWRULDHPQRPHGRFOLHQWH

H  IRUQHFHUHVFODUHFLPHQWRRXLQIRUPDo}HVFRQIRUPHUHTXLVLWDGRSHORDXGLWRU

127$ 4XDQGRDSURSULDGRRDXGLWDGRSRGHWDPEpPDWXDUFRPRJXLD

9.2.3 Plano de auditoria

9.2.3.1 Generalidades

2 RUJDQLVPR GH FHUWLFDomR GHYH DVVHJXUDU TXH XP SODQR GH DXGLWRULD VHMD HVWDEHOHFLGR DQWHV
GHFDGDDXGLWRULDLGHQWLFDGDQRSURJUDPDGHDXGLWRULDTXHVLUYDGHEDVHSDUDDFRUGRHPUHODomR
jUHDOL]DomRHSURJUDPDomRGDVDWLYLGDGHVGHDXGLWRULD

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
GHYHLQFOXLURXID]HUUHIHUrQFLDQRPtQLPRDRVVHJXLQWHVLWHQV

D  RVREMHWLYRVGDDXGLWRULD

E  RVFULWpULRVGHDXGLWRULD

F  RHVFRSRGDDXGLWRULDLQFOXLQGRDLGHQWLFDomRGDVXQLGDGHVRUJDQL]DFLRQDLVHIXQFLRQDLVRXGRV
SURFHVVRVDVHUHPDXGLWDGRV

G  DV GDWDV H OXJDUHV RQGH DV DWLYLGDGHV GH DXGLWRULD QR ORFDO VHUmR UHDOL]DGDV LQFOXLQGR YLVLWDV
DVLWHVWHPSRUiULRVHDWLYLGDGHVGHDXGLWRULDUHPRWDFRQIRUPHDSURSULDGR

H  DGXUDomRHVSHUDGDGDVDWLYLGDGHVGDDXGLWRULDQRORFDO

I  DVIXQo}HVHUHVSRQVDELOLGDGHVGRVPHPEURVGDHTXLSHDXGLWRUDHGDVSHVVRDVDFRPSDQKDQWHV
FRPRREVHUYDGRUHVRXLQWpUSUHWHV

127$ $VLQIRUPDo}HVGRSODQRGHDXGLWRULDSRGHPHVWDUFRQWLGDVHPPDLVGHXPGRFXPHQWR

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


ABNT NBR ISO/IEC 17021-1:2016

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


UHODFLRQDGRVGRFOLHQWHSHUWLQHQWHVjQRUPDGRVLVWHPDGHJHVWmR

E  FRQUPH VH HVVHV LWHQV DWHQGHP D WRGRV RV UHTXLVLWRV SHUWLQHQWHV DR HVFRSR SUHWHQGLGR
GHFHUWLFDomR

F  FRQUPHVHRVSURFHVVRVHSURFHGLPHQWRVHVWmRHVWDEHOHFLGRVLPSOHPHQWDGRVHPDQWLGRVFRP
HFiFLDDPGHVHUYLUGHEDVHSDUDDFRQDQoDQRVLVWHPDGHJHVWmRGRFOLHQWH

G  FRPXQLTXHDRFOLHQWHSDUDVXDDomRTXDLVTXHULQFRHUrQFLDVHQWUHDSROtWLFDREMHWLYRVHPHWDV
GRFOLHQWH

9.2.3.4 Comunicao do plano de auditoria

2SODQRGHDXGLWRULDGHYHVHUFRPXQLFDGRHDVGDWDVGDDXGLWRULDGHYHPVHUSUHYLDPHQWHDFRUGDGDV
FRPDRUJDQL]DomRGRFOLHQWH

9.2.3.5 Comunicao relativa aos membros da equipe auditora

2 RUJDQLVPR GH FHUWLFDomR GHYH IRUQHFHU R QRPH H TXDQGR VROLFLWDGR GHYH WRUQDU GLVSRQtYHLV
LQIRUPDo}HV FXUULFXODUHV GH FDGD PHPEUR GD HTXLSH DXGLWRUD FRP WHPSR VXFLHQWH SDUD R FOLHQWH
GLVFRUGDU GD GHVLJQDomR GH TXDOTXHU PHPEUR GD HTXLSH H SDUD R RUJDQLVPR GH FHUWLFDomR
UHFRQVWLWXLUDHTXLSHHPUHVSRVWDDTXDOTXHUREMHomRYiOLGD

9.3 &HUWLFDomRLQLFLDO
9.3.1 $XGLWRULDLQLFLDOGHFHUWLFDomR

9.3.1.1 Generalidades

$DXGLWRULDLQLFLDOGHFHUWLFDomRGHXPVLVWHPDGHJHVWmRGHYHVHUUHDOL]DGDHPGXDVIDVHVIDVH
HIDVH

9.3.1.2 Fase 1

9.3.1.2.1 2SODQHMDPHQWRGHYHDVVHJXUDUTXHRVREMHWLYRVGDIDVHSRVVDPVHUDWLQJLGRVHTXH
RFOLHQWHHVWHMDLQIRUPDGRVREUHTXDLVTXHUDWLYLGDGHVLQORFRGXUDQWHDIDVH
127$ $IDVHQmRUHTXHUXPSODQRGHDXGLWRULDIRUPDO YHU

9.3.1.2.2 2VREMHWLYRVGDIDVHVmR

D  DQDOLVDUFULWLFDPHQWHHDLQIRUPDomRGRFXPHQWDGDGRVLVWHPDGHJHVWmRGRFOLHQWH

E  DYDOLDUDVFRQGLo}HVHVSHFtFDVGDSODQWDGRFOLHQWHHGLVFXWLUFRPRSHVVRDOGRFOLHQWHDP
GHGHWHUPLQDURJUDXGHSUHSDUDomRSDUDDIDVH

F  DQDOLVDU FULWLFDPHQWH D VLWXDomR H D FRPSUHHQVmR GR FOLHQWH TXDQWR DRV UHTXLVLWRV GD QRUPD
HP HVSHFLDO FRP UHODomR j LGHQWLFDomR GH DVSHFWRVFKDYH RX VLJQLFDWLYRV GH GHVHPSHQKR
GHSURFHVVRVGHREMHWLYRVHGDRSHUDomRGRVLVWHPDGHJHVWmR

G  REWHUDVLQIRUPDo}HVQHFHVViULDVHPUHODomRDRHVFRSRGRVLVWHPDGHJHVWmRLQFOXLQGR

D V SODQWD V GRFOLHQWH

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 25


ABNT NBR ISO/IEC 17021-1:2016

SURFHVVRVHHTXLSDPHQWRXWLOL]DGR

QtYHLVGRVFRQWUROHVHVWDEHOHFLGRV SDUWLFXODUPHQWHQRFDVRGHFOLHQWHVPXOWLVLWH 

UHTXLVLWRVHVWDWXWiULRVHUHJXODWyULRVDSOLFiYHLV

H  DQDOLVDUFULWLFDPHQWHDDORFDomRGHUHFXUVRVSDUDDIDVHHDFRUGDUFRPRFOLHQWHRVGHWDOKHV
GDIDVH

I  SHUPLWLURSODQHMDPHQWRGDIDVHREWHQGRXPHQWHQGLPHQWRVXFLHQWHGRVLVWHPDGHJHVWmRGR
FOLHQWHHGRVHXIXQFLRQDPHQWRQRORFDOQRFRQWH[WRGDQRUPDGHVLVWHPDGHJHVWmRRXRXWUR
GRFXPHQWRQRUPDWLYR

J  DYDOLDU VH DV DXGLWRULDV LQWHUQDV H DV DQiOLVHV FUtWLFDV SHOD GLUHomR HVWmR VHQGR SODQHMDGDV H
UHDOL]DGDVHVHRQtYHOGHLPSOHPHQWDomRGRVLVWHPDGHJHVWmRGHPRQVWUDTXHRFOLHQWHHVWi
SURQWRSDUDDIDVH

127$ 6HDRPHQRVSDUWHGDIDVHIRUUHDOL]DGDQDVLQVWDODo}HVGRFOLHQWHLVWRSRGHDX[LOLDUDDOFDQoDU
RVREMHWLYRVFLWDGRVDFLPD

9.3.1.2.3 $V FRQFOXV}HV GRFXPHQWDGDV FRP UHODomR DR DWHQGLPHQWR GRV REMHWLYRV GD IDVH  H j
DSWLGmRSDUDVHJXLUjIDVHGHYHPVHUFRPXQLFDGDVDRFOLHQWHLQFOXLQGRDLGHQWLFDomRGHTXDLVTXHU
iUHDVGHSUHRFXSDomRTXHSRGHULDPVHUFODVVLFDGDVFRPRQmRFRQIRUPLGDGHVGXUDQWHDIDVH

127$ 2VGDGRVUHVXOWDQWHVGDIDVHQmRSUHFLVDPDWHQGHURVUHTXLVLWRVGHXPUHODWyULR YHU 

9.3.1.2.4 1D GHWHUPLQDomR GR LQWHUYDOR HQWUH DV IDVHV  H  GHYHVH OHYDU HP FRQVLGHUDomR DV
QHFHVVLGDGHVGRFOLHQWHHPUHVROYHUDViUHDVGHSUHRFXSDomRLGHQWLFDGDVGXUDQWHDIDVH7DPEpP
SRGHVHUSUHFLVRTXHRRUJDQLVPRGHFHUWLFDomRUHYLVHVHXVSUHSDUDWLYRVSDUDDIDVH6HRFRUUHUHP
TXDLVTXHUPXGDQoDVVLJQLFDWLYDVTXHLPSDFWHPRVLVWHPDGHJHVWmRRRUJDQLVPRGHFHUWLFDomR
GHYHFRQVLGHUDUDQHFHVVLGDGHGHUHSHWLUSDUWHRXWRGDDIDVH2FOLHQWHGHYHHVWDULQIRUPDGRTXH
RVUHVXOWDGRVGDIDVHSRGHPFDXVDURDGLDPHQWRRXFDQFHODPHQWRGDIDVH

9.3.1.3 Fase 2

2REMHWLYRGDIDVHpDYDOLDUDLPSOHPHQWDomRLQFOXLQGRHFiFLDGRVLVWHPDGHJHVWmRGRFOLHQWH
$IDVHGHYHRFRUUHUQRVORFDLVGRFOLHQWH(ODGHYHLQFOXLUDDXGLWRULDGHQRPtQLPRRVHJXLQWH

D  LQIRUPDo}HV H HYLGrQFLDV VREUH FRQIRUPLGDGH FRP WRGRV RV UHTXLVLWRV GD QRUPD DSOLFiYHO
GHVLVWHPDGHJHVWmRRXRXWURGRFXPHQWRQRUPDWLYR

E  PRQLWRUDPHQWR PHGLo}HV FRPXQLFDomR H DQiOLVH FUtWLFD GR GHVHPSHQKR HP UHODomR DRV
SULQFLSDLVREMHWLYRVHPHWDVGHGHVHPSHQKR FRHUHQWHFRPDVH[SHFWDWLYDVQDQRUPDDSOLFiYHO
GHVLVWHPDGHJHVWmRRXHPRXWURGRFXPHQWRQRUPDWLYR 

F  DFDSDFLGDGHHRGHVHPSHQKRGRVLVWHPDGHJHVWmRGRFOLHQWHHPUHODomRDRDWHQGLPHQWRGRV
UHTXLVLWRVHVWDWXWiULRVUHJXODWyULRVHFRQWUDWXDLV

G  FRQWUROHRSHUDFLRQDOGRVSURFHVVRVGRFOLHQWH

H  DXGLWRULDLQWHUQDHDQiOLVHFUtWLFDSHODGLUHomR

I  UHVSRQVDELOLGDGHGDGLUHomRSHODVSROtWLFDVGRFOLHQWH

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


ABNT NBR ISO/IEC 17021-1:2016

9.3.1.4 &RQFOXV}HVGDDXGLWRULDLQLFLDOGHFHUWLFDomR

$ HTXLSH DXGLWRUD GHYH DQDOLVDU FULWLFDPHQWH WRGDV DV LQIRUPDo}HV H HYLGrQFLDV FROHWDGDV GXUDQWH
DV IDVHV  H  D P GH DQDOLVDU FULWLFDPHQWH DV FRQVWDWDo}HV GD DXGLWRULD H FRQFRUGDU TXDQWR
jVFRQFOXV}HVGDDXGLWRULD

9.4 Conduzindo auditorias

9.4.1 Generalidades

2RUJDQLVPRGHFHUWLFDomRGHYHWHUXPSURFHVVRSDUDUHDOL]DUDXGLWRULDVQRORFDO(VVHSURFHVVR
GHYHLQFOXLUXPDUHXQLmRGHDEHUWXUDQRLQtFLRGDDXGLWRULDHXPDUHXQLmRGHHQFHUUDPHQWRDRQDO
da auditoria.

4XDQGRDOJXPDSDUWHGDDXGLWRULDIRUIHLWDSRUPHLRVHOHWU{QLFRVRXTXDQGRRORFDODVHUDXGLWDGR
IRU YLUWXDO R RUJDQLVPR GH FHUWLFDomR GHYH DVVHJXUDU TXH HVWDV DWLYLGDGHV VHMDP FRQGX]LGDV SRU
SHVVRDOFRPDFRPSHWrQFLDDSURSULDGD$VHYLGrQFLDVREWLGDVGXUDQWHHVWHWLSRGHDXGLWRULDGHYHP
VHU VXFLHQWHV SDUD SHUPLWLU TXH R DXGLWRU WRPH XPD GHFLVmR FRQVFLHQWH VREUH D FRQIRUPLGDGH
do requisito em questo.

127$ $XGLWRULDVin locoSRGHPLQFOXLUDFHVVRUHPRWRDsitesHOHWU{QLFRVTXHFRQWHQKDPLQIRUPDo}HV


SHUWLQHQWHV j DXGLWRULD GR VLVWHPD GH JHVWmR 3RGH VHU FRQVLGHUDGR R XVR GH PHLRV HOHWU{QLFRV SDUD
DFRQGXomRGHDXGLWRULDV

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

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 27


ABNT NBR ISO/IEC 17021-1:2016

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
GDDXGLWRULDHGHTXDLVTXHUSUHRFXSDo}HV

S  RSRUWXQLGDGHSDUDRFOLHQWHID]HUSHUJXQWDV

9.4.3 Comunicao durante a auditoria

9.4.3.1 'XUDQWHDDXGLWRULDDHTXLSHDXGLWRUDGHYHDYDOLDUSHULRGLFDPHQWHRSURJUHVVRGDDXGLWRULD
HWURFDULQIRUPDo}HV2DXGLWRUOtGHUGHYHUHGLVWULEXLURWUDEDOKRHQWUHRVPHPEURVGDHTXLSHDXGLWRUD
FRQIRUPHQHFHVViULRHFRPXQLFDUSHULRGLFDPHQWHRSURJUHVVRGDDXGLWRULDHTXDLVTXHUSUHRFXSDo}HV
DRFOLHQWH

9.4.3.2 4XDQGRDHYLGrQFLDGLVSRQtYHOGDDXGLWRULDLQGLFDUTXHRVREMHWLYRVGDDXGLWRULDVmRLQDWLQJt-
YHLVRXVXJHULUDSUHVHQoDGHXPULVFRLPHGLDWRHVLJQLFDWLYR SRUH[HPSORVHJXUDQoD RDXGLWRUOtGHU
GHYHUHODWDUHVVHIDWRDRFOLHQWHHVHSRVVtYHODRRUJDQLVPRGHFHUWLFDomRSDUDGHWHUPLQDUDDomR
DSURSULDGD7DODomRSRGHLQFOXLUDUHFRQUPDomRRXDPRGLFDomRGRSODQRGHDXGLWRULDPXGDQoDV
QRVREMHWLYRVRXQRHVFRSRGDDXGLWRULDRXRHQFHUUDPHQWRGDDXGLWRULD2DXGLWRUOtGHUGHYHUHODWDU
RUHVXOWDGRGDDomRSDUDRRUJDQLVPRGHFHUWLFDomR

9.4.3.3 2DXGLWRUOtGHUGHYHDQDOLVDUFULWLFDPHQWHFRPRFOLHQWHTXDOTXHUQHFHVVLGDGHGHPXGDQoDV
QRHVFRSRGDDXGLWRULDTXHTXHPDSDUHQWHVFRPRSURJUHVVRGDVDWLYLGDGHVGDDXGLWRULDQRORFDO
HUHODWDUHVVDVPXGDQoDVDRRUJDQLVPRGHFHUWLFDomR

9.4.4 2EWHQomRHYHULFDomRGHLQIRUPDo}HV

9.4.4.1 'XUDQWHDDXGLWRULDDVLQIRUPDo}HVSHUWLQHQWHVDRVREMHWLYRVHVFRSRHFULWpULRVGDDXGLWRULD
LQFOXLQGRLQIRUPDo}HVUHODWLYDVjVLQWHUIDFHVHQWUHIXQo}HVDWLYLGDGHVHSURFHVVRV GHYHPVHUREWLGDV
SRUDPRVWUDJHPDGHTXDGDHYHULFDGDVSDUDTXHVHWRUQHPHYLGrQFLDGHDXGLWRULD

9.4.4.2 2VPpWRGRVSDUDREWHULQIRUPDo}HVGHYHPLQFOXLUHQWUHRXWURV

D  HQWUHYLVWDV

E  REVHUYDomRGHSURFHVVRVHDWLYLGDGHV

F  DQiOLVHFUtWLFDGHGRFXPHQWDomRHUHJLVWURV

9.4.5 ,GHQWLFDomRHUHJLVWURGDVFRQVWDWDo}HVGHDXGLWRULD

9.4.5.1 $V FRQVWDWDo}HV GD DXGLWRULD UHVXPLQGR D FRQIRUPLGDGH H GHWDOKDQGR DV QmR FRQIRUPL-
GDGHVGHYHPVHULGHQWLFDGDVFODVVLFDGDVUHJLVWUDGDVHUHODWDGDVSDUDSRVVLELOLWDUXPDWRPDGD
GHGHFLVmRGHFHUWLFDomRIXQGDPHQWDGDRXDPDQXWHQomRGDFHUWLFDomR

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


ABNT NBR ISO/IEC 17021-1:2016

9.4.5.2 2SRUWXQLGDGHVGHPHOKRULDSRGHPVHULGHQWLFDGDVHUHJLVWUDGDVH[FHWRVHSURLELGDVSHORV
UHTXLVLWRV GH XP HVTXHPD GH FHUWLFDomR GH VLVWHPD GH JHVWmR (QWUHWDQWR DV FRQVWDWDo}HV GH
DXGLWRULDTXHIRUHPQmRFRQIRUPLGDGHVQmRSRGHPVHUUHJLVWUDGDVFRPRRSRUWXQLGDGHVGHPHOKRULD

9.4.5.3 8PDFRQVWDWDomRGHQmRFRQIRUPLGDGHGHYHVHUUHJLVWUDGDFRQWUDXPUHTXLVLWRHVSHFtFR
HGHYHFRQWHUXPDGHFODUDomRFODUDGDQmRFRQIRUPLGDGHLGHQWLFDQGRHPGHWDOKHVDVHYLGrQFLDV
QDVTXDLVDQmRFRQIRUPLGDGHVHEDVHLD$VQmRFRQIRUPLGDGHVGHYHPVHUGLVFXWLGDVFRPRFOLHQWH
SDUD DVVHJXUDU TXH D HYLGrQFLD VHMD SUHFLVD H TXH DV QmR FRQIRUPLGDGHV VHMDP FRPSUHHQGLGDV
(QWUHWDQWRRDXGLWRUGHYHDEVWHUVHGHVXJHULUDFDXVDGDVQmRFRQIRUPLGDGHVRXVXDVROXomR

9.4.5.4 2 DXGLWRUOtGHU GHYH HPSHQKDUVH HP VROXFLRQDU TXDLVTXHU RSLQL}HV GLYHUJHQWHV HQWUH D
HTXLSH DXGLWRUD H R FOLHQWH UHODWLYDV jV HYLGrQFLDV RX FRQVWDWDo}HV GD DXGLWRULD H RV SRQWRV QmR
UHVROYLGRVGHYHPVHUUHJLVWUDGRV

9.4.6 3UHSDUDomRGDVFRQFOXV}HVGDDXGLWRULD

6REDUHVSRQVDELOLGDGHGRDXGLWRUOtGHUHDQWHVGDUHXQLmRGHHQFHUUDPHQWRDHTXLSHDXGLWRUDGHYH

D  DQDOLVDUFULWLFDPHQWHDVFRQVWDWDo}HVGDDXGLWRULDHTXDLVTXHURXWUDVLQIRUPDo}HVDSURSULDGDV
REWLGDV GXUDQWH D DXGLWRULD FRQWUD RV REMHWLYRV H RV FULWpULRV GD DXGLWRULD H FODVVLFDU DV QmR
FRQIRUPLGDGHV

E  DFRUGDUTXDQWRjVFRQFOXV}HVGDDXGLWRULDOHYDQGRHPFRQWDDLQFHUWH]DLQHUHQWHDRSURFHVVR
GHDXGLWRULD

F  LGHQWLFDUDo}HVGHDFRPSDQKDPHQWRQHFHVViULDV

G  FRQUPDUDDGHTXDomRGRSURJUDPDGHDXGLWRULDRXLGHQWLFDUTXDOTXHUPRGLFDomRQHFHVViULD
SDUDIXWXUDVDXGLWRULDV SRUH[HPSORHVFRSRGDFHUWLFDomRWHPSRRXGDWDGDDXGLWRULDIUHTXrQFLD
GDVXSHUYLVmRFRPSHWrQFLDGDHTXLSHDXGLWRUD 

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
SURFHVVRVDXGLWDGRV2REMHWLYRGDUHXQLmRGHHQFHUUDPHQWRTXHQRUPDOPHQWHGHYHVHUSUHVLGLGD
SHOR DXGLWRUOtGHU p DSUHVHQWDU DV FRQFOXV}HV GD DXGLWRULD LQFOXLQGR D UHFRPHQGDomR UHODWLYD
j FHUWLFDomR $V QmR FRQIRUPLGDGHV GHYHP VHU DSUHVHQWDGDV GH WDO PDQHLUD TXH SRVVDP VHU
FRPSUHHQGLGDVHGHYHVHDFRUGDURSUD]RSDUDUHVSRVWD

127$ 2WHUPRFRPSUHHQGLGDVQmRVLJQLFDQHFHVVDULDPHQWHTXHDVQmRFRQIRUPLGDGHVIRUDPDFHLWDV
SHORFOLHQWH

9.4.7.2 $ UHXQLmR GH HQFHUUDPHQWR WDPEpP GHYH LQFOXLU RV VHJXLQWHV HOHPHQWRV RQGH R JUDX GH
GHWDOKHVGHYHVHUFRHUHQWHFRPDIDPLOLDULGDGHGRFOLHQWHFRPRSURFHVVRGHDXGLWRULD

D  LQIRUPDU DR FOLHQWH TXH DV HYLGrQFLDV REWLGDV QD DXGLWRULD IRUDP EDVHDGDV HP XPD DPRVWUD
GDVLQIRUPDo}HVLQWURGX]LQGRDVVLPXPHOHPHQWRGHLQFHUWH]D

E  RPpWRGRHRSUD]RSDUDUHODWDULQFOXLQGRDFODVVLFDomRGDVFRQVWDWDo}HVGDDXGLWRULD

F  R SURFHVVR GR RUJDQLVPR GH FHUWLFDomR SDUD WUDWDPHQWR GH QmR FRQIRUPLGDGHV LQFOXLQGR
DVFRQVHTXrQFLDVUHODWLYDVjVLWXDomRGDFHUWLFDomRGRFOLHQWH

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 29


ABNT NBR ISO/IEC 17021-1:2016

G  RSUD]RSDUDRFOLHQWHDSUHVHQWDUXPSODQRSDUDFRUUHomRHDomRFRUUHWLYDSDUDDVQmRFRQIRUPL-
GDGHVLGHQWLFDGDVGXUDQWHDDXGLWRULD

H  DVDWLYLGDGHVGRRUJDQLVPRGHFHUWLFDomRDSyVDDXGLWRULD

I  LQIRUPDo}HVVREUHRWUDWDPHQWRGHUHFODPDo}HVHRVSURFHVVRVGHDSHODomR

9.4.7.3 'HYHVH GDU RSRUWXQLGDGH SDUD R FOLHQWH ID]HU SHUJXQWDV 4XDLVTXHU RSLQL}HV GLYHUJHQWHV
UHODWLYDVjVFRQVWDWDo}HVRXFRQFOXV}HVGDDXGLWRULDHQWUHDHTXLSHDXGLWRUDHRFOLHQWHGHYHPVHU
GLVFXWLGDVHVHSRVVtYHOUHVROYLGDV4XDLVTXHURSLQL}HVGLYHUJHQWHVQmRUHVROYLGDVGHYHPVHUUHJLV-
WUDGDVHFRPXQLFDGDVDRRUJDQLVPRGHFHUWLFDomR

9.4.8 Relatrio de auditoria

9.4.8.1 2RUJDQLVPRGHFHUWLFDomRGHYHIRUQHFHUXPUHODWyULRHVFULWRSDUDFDGDDXGLWRULDDRFOLHQWH
$HTXLSHDXGLWRUDSRGHLGHQWLFDURSRUWXQLGDGHVGHPHOKRULDPDVQmRSRGHUHFRPHQGDUVROXo}HV
HVSHFtFDV2RUJDQLVPRGHFHUWLFDomRGHYHPDQWHUDSURSULHGDGHSHORUHODWyULRGHDXGLWRULD

9.4.8.2 2DXGLWRUOtGHUGHYHDVVHJXUDUDSUHSDUDomRGRUHODWyULRGHDXGLWRULDHVHUUHVSRQViYHOSRU
VHXFRQWH~GR2UHODWyULRGDDXGLWRULDGHYHIRUQHFHUXPUHJLVWURSUHFLVRFRQFLVRHFODURGDDXGLWRULD
SDUD SRVVLELOLWDU XPD WRPDGD GH GHFLVmR GH FHUWLFDomR IXQGDPHQWDGD H GHYH LQFOXLU RX VH UHIHULU
ao seguinte:

D  LGHQWLFDomRGRRUJDQLVPRGHFHUWLFDomR

E  QRPHHHQGHUHoRGRFOLHQWHHGRUHSUHVHQWDQWHGRFOLHQWH

F  WLSRGHDXGLWRULD SRUH[HPSORLQLFLDOVXSHUYLVmRRXUHFHUWLFDomRRXDXGLWRULDVHVSHFLDLV 

G  FULWpULRVGDDXGLWRULD

H  REMHWLYRVGDDXGLWRULD

I  HVFRSRGDDXGLWRULDSDUWLFXODUPHQWHDLGHQWLFDomRGDVXQLGDGHVRUJDQL]DFLRQDLVRXIXQFLRQDLV
RXRVSURFHVVRVDXGLWDGRVHRWHPSRGDDXGLWRULD

J  TXDLVTXHUGHVYLRVGRSODQRGHDXGLWRULDHVXDVUD]}HV

K  TXDLVTXHUIDWRVVLJQLFDQWHVTXHLPSDFWHPQRSURJUDPDGHDXGLWRULD

L  LGHQWLFDomRGRDXGLWRUOtGHUGRVPHPEURVGDHTXLSHDXGLWRUDHGDVSHVVRDVDFRPSDQKDQWHV

M  DVGDWDVHOXJDUHVRQGHDVDWLYLGDGHVGDDXGLWRULD QRORFDORXIRUDGRORFDOORFDLVSHUPDQHQWHV
RXWHPSRUiULRV IRUDPUHDOL]DGDV

N  FRQVWDWDo}HV GD DXGLWRULD YHU   UHIHUrQFLD jV HYLGrQFLDV H FRQFOXV}HV FRHUHQWHV FRP
RVUHTXLVLWRVGRWLSRGHDXGLWRULD

O  PXGDQoDV VLJQLFDWLYDV VH KRXYHU TXH DIHWHP R VLVWHPD GH JHVWmR GR FOLHQWH GHVGH
DUHDOL]DomRGD~OWLPDDXGLWRULD

P  TXDLVTXHUTXHVW}HVQmRUHVROYLGDVVHLGHQWLFDGDV

Q  TXDQGRDSOLFiYHOVHDDXGLWRULDpFRPELQDGDFRQMXQWDRXLQWHJUDGD

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


ABNT NBR ISO/IEC 17021-1:2016

R  XPD GHFODUDomR GH HVFODUHFLPHQWR LQGLFDQGR TXH D DXGLWRULD p EDVHDGD HP XP SURFHVVR
GHDPRVWUDJHPGDLQIRUPDomRGLVSRQtYHO

S  XPDUHFRPHQGDomRGDHTXLSHDXGLWRUD

T  VH R FOLHQWH DXGLWDGR HVWi FRQWURODQGR HIHWLYDPHQWH R XVR GRV GRFXPHQWRV GH FHUWLFDomR
HPDUFDVVHDSOLFiYHO

U  YHULFDomR GD HFiFLD GDV Do}HV FRUUHWLYDV WRPDGDV SDUD QmR FRQIRUPLGDGHV LGHQWLFDGDV
DQWHULRUPHQWHVHDSOLFiYHO

9.4.8.3 2UHODWyULRGHYHWDPEpPFRQWHU

D  XPDGHFODUDomRVREUHDFRQIRUPLGDGHHDHFiFLDGRVLVWHPDGHJHVWmRFRPXPUHVXPRGDV
HYLGrQFLDVUHODFLRQDGDVD

FDSDFLGDGHGRVLVWHPDGHJHVWmRHPDWHQGHUDRVUHTXLVLWRVDSOLFiYHLVHUHVXOWDGRVHVSHUDGRV

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
Do}HV FRUUHWLYDV HVSHFtFDV WRPDGDV RX TXH SODQHMD WRPDU SDUD HOLPLQDU DV QmR FRQIRUPLGDGHV
GHWHFWDGDVGHQWURGHXPWHPSRGHQLGR

9.4.10 (FiFLDGHFRUUHo}HVHDo}HVFRUUHWLYDV

2 RUJDQLVPR GH FHUWLFDomR GHYH DQDOLVDU FULWLFDPHQWH DV FRUUHo}HV DV FDXVDV LGHQWLFDGDV H DV
Do}HVFRUUHWLYDVDSUHVHQWDGDVSHORFOLHQWHSDUDGHWHUPLQDUVHHVWDVVmRDFHLWiYHLV2RUJDQLVPRGH
FHUWLFDomRGHYHYHULFDUDHFiFLDGDVFRUUHo}HVHDo}HVFRUUHWLYDVWRPDGDV$VHYLGrQFLDVREWLGDV
SDUDDSRLDUDVROXomRGDVQmRFRQIRUPLGDGHVGHYHPVHUUHJLVWUDGDV2FOLHQWHGHYHVHULQIRUPDGR
VREUH R UHVXOWDGR GD DQiOLVH FUtWLFD H YHULFDomR 2 FOLHQWH GHYH VHU LQIRUPDGR VH XPD DXGLWRULD
DGLFLRQDO FRPSOHWD XPD DXGLWRULD DGLFLRQDO SDUFLDO RX HYLGrQFLD GRFXPHQWDGD D VHU FRQUPDGD
GXUDQWHIXWXUDVDXGLWRULDV VHUiQHFHVViULRSDUDYHULFDUFRUUHo}HVHDo}HVFRUUHWLYDVHFD]HV

127$ $ YHULFDomR GD HFiFLD GH FRUUHo}HV H Do}HV FRUUHWLYDV SRGH VHU UHDOL]DGD FRP EDVH HP
XPD DQiOLVH FUtWLFD GD LQIRUPDomR GRFXPHQWDGD IRUQHFLGD SHOR FOLHQWH RX TXDQGR QHFHVViULR SRU PHLR
GHYHULFDomRQRORFDO1RUPDOPHQWHHVWDDWLYLGDGHpIHLWDSRUXPPHPEURGDHTXLSHDXGLWRUD

9.5 'HFLVmRGHFHUWLFDomR

9.5.1 Generalidades

9.5.1.1 2RUJDQLVPRGHFHUWLFDomRGHYHDVVHJXUDUTXHSHVVRDVRXFRPLWrVTXHWRPDPDVGHFLV}HV
SDUDFRQFHVVmRRXUHFXVDGDFHUWLFDomRH[SDQVmRRXUHGXomRGHHVFRSRGDFHUWLFDomRVXVSHQVmR
RXUHVWDXUDomRGDFHUWLFDomRFDQFHODPHQWRRXUHQRYDomRGDFHUWLFDomRVHMDPGLIHUHQWHVGDTXHODV
TXH UHDOL]DUDP DV DXGLWRULDV $ V  SHVVRD V  GHVLJQDGD V  D FRQGX]LU D GHFLVmR GD FHUWLFDomR
GHYH P SRVVXLUFRPSHWrQFLDDSURSULDGD

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 31


ABNT NBR ISO/IEC 17021-1:2016

9.5.1.2 $ V SHVVRD V >H[FOXLQGRPHPEURVGHFRPLWrV YHU @GHVLJQDGD V SHORRUJDQLVPRGH


FHUWLFDomR SDUD ID]HU XPD GHFLVmR GH FHUWLFDomR GHYH P  HVWDU HPSUHJDGD V  RX GHYH P  HVWDU
VRE FRQWUDWR FRP R RUJDQLVPR GH FHUWLFDomR RX FRP XPD HQWLGDGH VRE R FRQWUROH RUJDQL]DFLRQDO
GR RUJDQLVPR GH FHUWLFDomR 2 FRQWUROH RUJDQL]DFLRQDO GR RUJDQLVPR GH FHUWLFDomR GHYH VHU XP
dos seguintes:

D  SURSULHGDGHFRPSOHWDRXPDMRULWiULDGHRXWUDHQWLGDGHSHORRUJDQLVPRGHFHUWLFDomR

E  SDUWLFLSDomRPDMRULWiULDSHORRUJDQLVPRGHFHUWLFDomRQRFRQVHOKRGHGLUHWRUHVGHRXWUDHQWLGDGH

F  XPDDXWRULGDGHGRFXPHQWDGDSHORRUJDQLVPRGHFHUWLFDomRVREUHRXWUDHQWLGDGHHPXPDUHGH
GHSHVVRDVMXUtGLFDV QDTXDORRUJDQLVPRGHFHUWLFDomRVHHQFRQWUD OLJDGDSRUSURSULHGDGH
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

2RUJDQLVPRGHFHUWLFDomRGHYHWHUXPSURFHVVRSDUDFRQGX]LUXPDDQiOLVHFUtWLFDHFD]DQWHVGD
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
RSODQRGRFOLHQWHSDUDDVFRUUHo}HVHDo}HVFRUUHWLYDV

9.5.3 ,QIRUPDo}HVSDUDFRQFHVVmRGDFHUWLFDomRLQLFLDO

9.5.3.1 $V LQIRUPDo}HV IRUQHFLGDV SHOD HTXLSH DXGLWRUD DR RUJDQLVPR GH FHUWLFDomR SDUD
DGHFLVmRVREUHDFHUWLFDomRGHYHPLQFOXLUQRPtQLPR

D  RUHODWyULRGDDXGLWRULD

E  FRPHQWiULRVVREUHDVQmRFRQIRUPLGDGHVHRQGHDSOLFiYHODFRUUHomRHDo}HVFRUUHWLYDVWRPDGDV
SHORFOLHQWH

F  FRQUPDomRGDVLQIRUPDo}HVIRUQHFLGDVDRRUJDQLVPRGHFHUWLFDomRXVDGDVQDDQiOLVHFUtWLFD
GDVROLFLWDomR YHU H

G  FRQUPDomRGHTXHRVREMHWLYRVGDDXGLWRULDIRUDPDOFDQoDGRV

H  XPDUHFRPHQGDomRGHFRQFHGHURXQmRDFHUWLFDomRMXQWDPHQWHFRPTXDLVTXHUFRQGLo}HVRX
REVHUYDo}HV

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


ABNT NBR ISO/IEC 17021-1:2016

9.5.3.2 6H R RUJDQLVPR GH FHUWLFDomR QmR FRQVHJXLU YHULFDU D LPSOHPHQWDomR GDV FRUUHo}HV
H Do}HV FRUUHWLYDV GH TXDOTXHU QmR FRQIRUPLGDGH PDLRU QR SHUtRGR GH  PHVHV DSyV R ~OWLPR GLD
GDIDVHRRUJDQLVPRGHFHUWLFDomRGHYHFRQGX]LURXWUDIDVHDQWHVGHUHFRPHQGDUDFHUWLFDomR

9.5.3.3 4XDQGR XPD WUDQVIHUrQFLD GH FHUWLFDomR HVWi SUHYLVWD GH XP RUJDQLVPR GH FHUWLFDomR
SDUD RXWUR R RUJDQLVPR GH FHUWLFDomR TXH HVWi DFHLWDQGR GHYH WHU XP SURFHVVR SDUD REWHQomR
GHLQIRUPDomRVXFLHQWHGHIRUPDDWRPDUXPDGHFLVmRVREUHDFHUWLFDomR

127$ (VTXHPDVGHFHUWLFDomRSRGHPWHUUHJUDVHVSHFtFDVVREUHWUDQVIHUrQFLDGHFHUWLFDomR

9.5.4 ,QIRUPDo}HVSDUDFRQFHVVmRGDUHFHUWLFDomR

2RUJDQLVPRGHFHUWLFDomRGHYHWRPDUGHFLV}HVVREUHDUHQRYDomRGDFHUWLFDomRFRPEDVHQRV
UHVXOWDGRV GD DXGLWRULD GH UHFHUWLFDomR EHP FRPR QRV UHVXOWDGRV GD DQiOLVH FUtWLFD GR VLVWHPD
GXUDQWHRSHUtRGRGHFHUWLFDomRHQDVUHFODPDo}HVUHFHELGDVGHXVXiULRVGDFHUWLFDomR

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
FUtWLFDSRUSHVVRDOFRPSHWHQWH YHU GLIHUHQWHPHQWHGDTXHOHVTXHUHDOL]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 Generalidades

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}HV SRUH[HPSOR
PDWHULDOSURPRFLRQDOsite 

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 33


ABNT NBR ISO/IEC 17021-1:2016

F  SHGLGRVDRFOLHQWHSDUDIRUQHFLPHQWRGHLQIRUPDomRGRFXPHQWDGD HPSDSHORXPHLRHOHWU{QLFR 

G  RXWURVPHLRVGHPRQLWRUDURGHVHPSHQKRGRFOLHQWHFHUWLFDGR

9.6.2.2 Auditoria de superviso

$XGLWRULDV GH VXSHUYLVmR VmR DXGLWRULDV QR ORFDO PDV QmR VmR QHFHVVDULDPHQWH DXGLWRULDV
FRPSOHWDVGRVLVWHPDHGHYHPVHUSODQHMDGDVMXQWRFRPRXWUDVDWLYLGDGHVGHVXSHUYLVmRDPGH
TXHRRUJDQLVPRGHFHUWLFDomRSRVVDPDQWHUDFRQDQoDGHTXHRVLVWHPDGHJHVWmRFHUWLFDGR
GRFOLHQWHFRQWLQXDDDWHQGHUDRVUHTXLVLWRVHQWUHDVDXGLWRULDVGHUHFHUWLFDomR&DGDVXSHUYLVmR
SDUDDQRUPDGHVLVWHPDGHJHVWmRSHUWLQHQWHGHYHLQFOXLU

D  DXGLWRULDVLQWHUQDVHDQiOLVHFUtWLFDSHODGLUHomR

E  XPD DQiOLVH FUtWLFD GDV Do}HV WRPDGDV SDUD DV QmR FRQIRUPLGDGHV LGHQWLFDGDV GXUDQWH D
DXGLWRULDDQWHULRU

F  JHVWmRGDVUHFODPDo}HV

G  HFiFLD GR VLVWHPD GH JHVWmR FRP UHVSHLWR DR DWLQJLPHQWR GRV REMHWLYRV GR FOLHQWH FHUWLFDGR
HRVUHVXOWDGRVSUHWHQGLGRVGR V UHVSHFWLYR V VLVWHPD V GHJHVWmR

H  SURJUHVVRGHDWLYLGDGHVSODQHMDGDVYLVDQGRDPHOKRULDFRQWtQXD

I  FRQWUROHRSHUDFLRQDOFRQWtQXR

J  DQiOLVHFUtWLFDGHTXDLVTXHUPXGDQoDV

K  XVRGHPDUFDVHRXTXDLVTXHURXWUDVUHIHUrQFLDVjFHUWLFDomR

9.6.3 5HFHUWLFDomR

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


ABNT NBR ISO/IEC 17021-1:2016

9.6.3.2 $XGLWRULDGHUHFHUWLFDomR

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ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 35


ABNT NBR ISO/IEC 17021-1:2016

9.6.5 6XVSHQVmRFDQFHODPHQWRRXUHGXomRGRHVFRSRGHFHUWLFDomR

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


ABNT NBR ISO/IEC 17021-1:2016

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ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 37


ABNT NBR ISO/IEC 17021-1:2016

9.8.10 6HPSUHTXHSRVVtYHORRUJDQLVPRGHFHUWLFDomRGHYHHQYLDUDRUHFODPDQWHXPDQRWLFDomR
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9.9 Registros de clientes

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


ABNT NBR ISO/IEC 17021-1:2016

10 5HTXLVLWRVGHVLVWHPDGHJHVWmRSDUDRUJDQLVPRVGHFHUWLFDomR
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E  requisitos de sistema de gesto de acordo com a ABNT NBR ISO 9001 (ver 10.3).

10.2 Opo A: Requisitos gerais de sistema de gesto


10.2.1 Generalidades

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ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 39


ABNT NBR ISO/IEC 17021-1:2016

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FRQWURODGD

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HPTXHIRUHPUHWLGRVSDUDTXDOTXHUQDOLGDGH

127$ $GRFXPHQWDomRSRGHHVWDUHPTXDOTXHUIRUPDRXPHLR

10.2.4 Controle de registros

2RUJDQLVPRGHFHUWLFDomRGHYHHVWDEHOHFHU SURFHGLPHQWRV SDUDGHQLU RVFRQWUROHV QHFHVViULRV


SDUDDLGHQWLFDomRDUPD]HQDPHQWRSURWHomRUHFXSHUDomRWHPSRGHUHWHQomRHGHVFDUWHGHVHXV
UHJLVWURVUHODFLRQDGRVFRPDRDWHQGLPHQWRDHVWDSDUWHGD$%171%5,62,(&

$OpPGLVVRRRUJDQLVPRGHFHUWLFDomRGHYHHVWDEHOHFHUSURFHGLPHQWRVSDUDUHWHUUHJLVWURVSRUXP
SHUtRGR FRHUHQWH FRP VXDV REULJDo}HV FRQWUDWXDLV H OHJDLV 2 DFHVVR D HVVHV UHJLVWURV GHYH VHU
FRHUHQWHFRPRVPHFDQLVPRVGHFRQGHQFLDOLGDGH

127$ 3DUDRVUHTXLVLWRVGHUHJLVWURVGHFOLHQWHVFHUWLFDGRVYHUWDPEpP

10.2.5 Anlise crtica pela direo

10.2.5.1 Generalidades

$ $OWD 'LUHomR GR RUJDQLVPR GH FHUWLFDomR GHYH HVWDEHOHFHU SURFHGLPHQWRV SDUD DQDOLVDU
FULWLFDPHQWHVHXVLVWHPDGHJHVWmRDLQWHUYDORVSODQHMDGRVDPGHDVVHJXUDUVXDSHUWLQrQFLD
DGHTXDomR H HFiFLD FRQWtQXDV LQFOXLQGR DV SROtWLFDV H REMHWLYRV GHFODUDGRV UHODFLRQDGRV DR
DWHQGLPHQWRGHVWDSDUWHGD$%171%5,62,(&(VVDVDQiOLVHVFUtWLFDVGHYHPVHUUHDOL]DGDV
QRPtQLPRXPDYH]SRUDQR

10.2.5.2 Entradas para a anlise crtica

$VHQWUDGDVSDUDDDQiOLVHFUtWLFDSHODGLUHomRGHYHPLQFOXLULQIRUPDo}HVUHODFLRQDGDVD

D  UHVXOWDGRVGHDXGLWRULDVLQWHUQDVHH[WHUQDV

E  UHDOLPHQWDomRGDVLQIRUPDo}HVGHFOLHQWHVHSDUWHVLQWHUHVVDGDV

F  VDOYDJXDUGDGDLPSDUFLDOLGDGH

G  VLWXDomRGDVDo}HVFRUUHWLYDV

H  VLWXDomRGHDo}HVSDUDDERUGDUULVFRV

I  Do}HVGHDFRPSDQKDPHQWRGHDQiOLVHVFUtWLFDVDQWHULRUHVSHODGLUHomR

J  DWHQGLPHQWRGHREMHWLYRV

K  PXGDQoDVTXHSRVVDPDIHWDURVLVWHPDGHJHVWmR

L  DSHODo}HVHUHFODPDo}HV

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


ABNT NBR ISO/IEC 17021-1:2016

10.2.5.3 Sadas da anlise crtica

$VVDtGDVGDDQiOLVHFUtWLFDSHODGLUHomRGHYHPLQFOXLUGHFLV}HVHDo}HVUHODFLRQDGDVD

D  PHOKRULDGDHFiFLDGRVLVWHPDGHJHVWmRHVHXVSURFHVVRV

E  PHOKRULD GRV VHUYLoRV GH FHUWLFDomR UHODWLYRV DR DWHQGLPHQWR GHVWD SDUWH GD
$%171%5,62,(&

F  QHFHVVLGDGHGHUHFXUVRV

G  UHYLV}HVGDSROtWLFDGDRUJDQL]DomRHVHXVREMHWLYRV

10.2.6 Auditorias internas

10.2.6.1 2RUJDQLVPRGHFHUWLFDomRGHYHHVWDEHOHFHUSURFHGLPHQWRVSDUDDXGLWRULDVLQWHUQDVDP
GHYHULFDUVHHOHDWHQGHDRVUHTXLVLWRVGHVWDSDUWHGD$%171%5,62,(&HVHRVLVWHPD
GHJHVWmRHVWiLPSOHPHQWDGRHpPDQWLGRFRPHFiFLD

127$ $$%171%5,62IRUQHFHGLUHWUL]HVSDUDDUHDOL]DomRGHDXGLWRULDVLQWHUQDV

10.2.6.2 'HYHVHSODQHMDUXPSURJUDPDGHDXGLWRULDFRQVLGHUDQGRVHDLPSRUWkQFLDGRVSURFHVVRV
HiUHDVDVHUHPDXGLWDGRVDVVLPFRPRGRVUHVXOWDGRVGHDXGLWRULDVDQWHULRUHV

10.2.6.3 $V DXGLWRULDV LQWHUQDV GHYHP VHU UHDOL]DGDV QR PtQLPR XPD YH] D FDGD  PHVHV
$IUHTXrQFLDGDVDXGLWRULDVLQWHUQDVSRGHVHUUHGX]LGDVHRRUJDQLVPRGHFHUWLFDomRSXGHUGHPRQVWUDU
TXH R VHX VLVWHPD GH JHVWmR FRQWLQXD LPSOHPHQWDGR FRP HFiFLD GH DFRUGR FRP HVWD SDUWH
GD$%171%5,62,(&HSRVVXLHVWDELOLGDGHFRPSURYDGD

10.2.6.4 2RUJDQLVPRGHFHUWLFDomRGHYHDVVHJXUDUTXH

D  DVDXGLWRULDVLQWHUQDVVHMDPUHDOL]DGDVSRUSHVVRDOTXDOLFDGRFRPFRQKHFLPHQWRHPFHUWL-
FDomRDXGLWRULDHUHTXLVLWRVGHVWDSDUWHGD$%171%5,62,(&

E  RVDXGLWRUHVQmRDXGLWHPVHXSUySULRWUDEDOKR

F  RSHVVRDOUHVSRQViYHOSHODiUHDDXGLWDGDVHMDLQIRUPDGRGRUHVXOWDGRGDDXGLWRULD

G  TXDLVTXHUDo}HVUHVXOWDQWHVGHDXGLWRULDVLQWHUQDVVHMDPWRPDGDVGHPDQHLUDDSURSULDGDHHP
WHPSRDGHTXDGR

H  TXDLVTXHURSRUWXQLGDGHVGHPHOKRULDVHMDPLGHQWLFDGDV

10.2.7 $o}HVFRUUHWLYDV

2 RUJDQLVPR GH FHUWLFDomR GHYH HVWDEHOHFHU SURFHGLPHQWRV SDUD LGHQWLFDomR H JHVWmR GH QmR
FRQIRUPLGDGHVHPVXDVRSHUDo}HV2RUJDQLVPRGHFHUWLFDomRWDPEpPGHYHTXDQGRQHFHVViULR
WRPDUDo}HVSDUDHOLPLQDUDVFDXVDVGDVQmRFRQIRUPLGDGHVDPGHHYLWDUUHLQFLGrQFLD$VDo}HV
FRUUHWLYDVGHYHPVHUDGHTXDGDVDRLPSDFWRGRVSUREOHPDVHQFRQWUDGRV2VSURFHGLPHQWRVGHYHP
GHQLUUHTXLVLWRVSDUD

D  LGHQWLFDUQmRFRQIRUPLGDGHV SRUH[HPSORGHUHFODPDo}HVHDXGLWRULDVLQWHUQDV 

E  GHWHUPLQDUDVFDXVDVGDQmRFRQIRUPLGDGH

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 41


ABNT NBR ISO/IEC 17021-1:2016

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
GHWRGDVDVSDUWHV FRQIRUPHHVWDEHOHFLGRHP TXHGHSHQGHPGHVHXVVHUYLoRVGHDXGLWRULD
HFHUWLFDomRHQmRDSHQDVGHVHXVFOLHQWHV

10.3.4 Anlise crtica pela direo

3DUDDDSOLFDomRGRVUHTXLVLWRVGD$%171%5,62RRUJDQLVPRGHFHUWLFDomRGHYHLQFOXLU
FRPRHQWUDGDSDUDDDQiOLVHFUtWLFDSHODGLUHomRLQIRUPDo}HVVREUHDSHODo}HVHUHFODPDo}HVSHUWL-
QHQWHVGHXVXiULRVGHDWLYLGDGHVGHFHUWLFDomRHXPDDQiOLVHFUtWLFDGDLPSDUFLDOLGDGH

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


ABNT NBR ISO/IEC 17021-1:2016

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

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 43


ABNT NBR ISO/IEC 17021-1:2016

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{PLFDV SRUH[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

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


ABNT NBR ISO/IEC 17021-1:2016

A.2.9 Habilidades para apresentao

&DSDFLGDGHGHDSUHVHQWDUFRQVWDWDo}HVGHDXGLWRULDHFRQFOXV}HVSDUDVHUHPIDFLOPHQWHFRPSUHHQ-
GLGDV3DUDROtGHUGDHTXLSHDSUHVHQWDUHPXPIRURS~EOLFR SRUH[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

A.3.3 &RQKHFLPHQWRGRVSURFHVVRVGRRUJDQLVPRGHFHUWLFDomR

&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

A.3.4 Conhecimento do setor de negcios do cliente

&RQKHFLPHQWRGHWHUPLQRORJLDSUiWLFDVHSURFHVVRVFRPXQVDXPDiUHDGHQHJyFLRGHXPFOLHQWH
VXFLHQWHSDUDHQWHQGHUXPUHODWyULRGHDXGLWRULDQRFRQWH[WRGDQRUPDGRVLVWHPDGHJHVWmRRXRXWUR
documento normativo.

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 45


ABNT NBR ISO/IEC 17021-1:2016

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

A.4.2 &RQKHFLPHQWRGRVSURFHVVRVGRRUJDQLVPRGHFHUWLFDomR

&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.

A.4.3 Conhecimento do setor de negcios do cliente

&RQKHFLPHQWRGDWHUPLQRORJLDSUiWLFDVHSURFHVVRVFRPXQVDRVHWRUGHQHJyFLRVGHXPFOLHQWHVX-
FLHQWHSDUDGHVLJQDUPHPEURVGDHTXLSHGHDXGLWRULDFRPSHWHQWHVHGHWHUPLQDURWHPSRGHDXGLWRULD
com exatido.

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

&RQKHFLPHQWRUHODFLRQDGRDRVWLSRVGHSURGXWRVRXSURFHVVRVGHXPFOLHQWHVXFLHQWHSDUDGHVLJQDU
PHPEURVGDHTXLSHGHDXGLWRULDFRPSHWHQWHVHGHWHUPLQDURWHPSRGHDXGLWRULDFRPH[DWLGmR

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


ABNT NBR ISO/IEC 17021-1:2016

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

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 47


ABNT NBR ISO/IEC 17021-1:2016

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


ABNT NBR ISO/IEC 17021-1:2016

Anexo C
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da competncia

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competncia para cada atual do pessoal
funo

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- Conhecimentos
habilidades e conhecimentos - Habilidades
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sim
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sim o eficaz?
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sim

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no

sim no
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atendidos? desenvolvimento de auditores


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competncia

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no

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PDCA

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da competncia

ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 49


ABNT NBR ISO/IEC 17021-1:2016

Anexo D
LQIRUPDWLYR

Comportamento pessoal desejado

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


ABNT NBR ISO/IEC 17021-1:2016

Anexo E
LQIRUPDWLYR

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ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 51


ABNT NBR ISO/IEC 17021-1:2016

Figura E.1 Fluxo de processo tpico para auditoria de terceira parte e processo
GHFHUWLFDomR

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


ABNT NBR ISO/IEC 17021-1:2016

%LEOLRJUDD

>@  $%171%5,62Sistemas de gesto da qualidade Requisitos

>@  $%171%5,62Gesto da qualidade Satisfao do cliente Diretrizes para o tratamento


de reclamaes nas organizaes

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ambiental

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orientaes de uso

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>@ $%17 1%5 62  Segurana da sociedade Sistema de gesto de continuidade
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ISO/IEC 2015 - ABNT 2016 - Todos os direitos reservados 53


ABNT NBR ISO/IEC 17021-1:2016

>@ ,62,(&  Information technology Security techniques Requirements for bodies
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>@ ABNT NBR ISO 55001, Gesto de ativos Sistemas de gesto Requisitos

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