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Profissional Documentos
Cultura Documentos
BRASILEIRA ISO
9001
Terceira edição
30.09.2015
Válida a partir de
30.10.2015
Número de referência
ABNT NBR ISO 9001:2015
32 páginas
© ISO 2015
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Sumário Página
7.5.1 Generalidades...................................................................................................................10
7.5.2 Criando e atualizando ......................................................................................................10
7.5.3 Controle de informação documentada...........................................................................10
8 Operação ........................................................................................................................... 11
8.1 Planejamento e controle operacionais........................................................................... 11
8.2 Requisitos para produtos e serviços ............................................................................. 11
8.2.1 Comunicação com o cliente ............................................................................................ 11
8.2.2 Determinação de requisitos relativos a produtos e serviços ......................................12
8.2.3 Análise crítica de requisitos relativos a produtos e serviços......................................12
8.2.4 Mudanças nos requisitos para produtos e serviços ....................................................12
8.3 Projeto e desenvolvimento de produtos e serviços .....................................................13
8.3.1 Generalidades...................................................................................................................13
8.3.2 Planejamento de projeto e desenvolvimento ................................................................13
8.3.3 Entradas de projeto e desenvolvimento ........................................................................13
8.3.4 Controles de projeto e desenvolvimento .......................................................................14
8.3.5 Saídas de projeto e desenvolvimento ............................................................................14
8.3.6 Mudanças de projeto e desenvolvimento ......................................................................14
8.4 Controle de processos, produtos e serviços providos externamente........................15
8.4.1 Generalidades...................................................................................................................15
8.4.2 Tipo e extensão do controle............................................................................................15
8.4.3 Informação para provedores externos ...........................................................................16
8.5 Produção e provisão de serviço .....................................................................................16
8.5.1 Controle de produção e de provisão de serviço ...........................................................16
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8.5.3 Propriedade pertencente a clientes ou provedores externos......................................17
8.5.4 Preservação ......................................................................................................................17
8.5.5 Atividades pós-entrega....................................................................................................17
8.5.6 Controle de mudanças.....................................................................................................18
8.6 Liberação de produtos e serviços ..................................................................................18
8.7 Controle de saídas não conformes ................................................................................18
9 Avaliação de desempenho ..............................................................................................19
9.1 Monitoramento, medição, análise e avaliação ..............................................................19
9.1.1 Generalidades...................................................................................................................19
9.1.2 Satisfação do cliente........................................................................................................19
9.1.3 Análise e avaliação ..........................................................................................................19
9.2 Auditoria interna...............................................................................................................20
9.3 Análise crítica pela direção .............................................................................................20
9.3.1 Generalidades...................................................................................................................20
9.3.2 Entradas de análise crítica pela direção ........................................................................20
9.3.3 Saídas de análise crítica pela direção ............................................................................21
10 Melhoria.............................................................................................................................21
10.1 Generalidades...................................................................................................................21
10.2 Não conformidade e ação corretiva ...............................................................................22
Figuras
Figura 1 – Representação esquemática dos elementos de um processo individual ..................ix
Figura 2 – Representação da estrutura desta Norma no ciclo PDCA ............................................x
Tabelas
Tabela A.1 – Principais diferenças em terminologia entre a ABNT NBR ISO 9001:2008
e a ABNT NBR ISO 9001:2015 .........................................................................................23
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'HYLGR DR VHX HIHLWR RX SRWHQFLDO HIHLWR VREUH D FDSDFLGDGH GD RUJDQL]DomR SDUD SURYHU FRQVLV-
WHQWHPHQWHSURGXWRVHVHUYLoRVTXHDWHQGDPDRVUHTXLVLWRVGRFOLHQWHHDRVUHTXLVLWRVHVWDWXWiULRV
HUHJXODPHQWDUHVDSOLFiYHLVDRUJDQL]DomRGHYHGHWHUPLQDU
D DVSDUWHVLQWHUHVVDGDVTXHVHMDPSHUWLQHQWHVSDUDRVLVWHPDGHJHVWmRGDTXDOLGDGH
E RV UHTXLVLWRV GHVVDV SDUWHV LQWHUHVVDGDV TXH VHMDP SHUWLQHQWHV SDUD R VLVWHPD GH JHVWmR GD
TXDOLGDGH
$ RUJDQL]DomR GHYH PRQLWRUDU H DQDOLVDU FULWLFDPHQWH LQIRUPDomR VREUH HVVDV SDUWHV LQWHUHVVDGDV
e seus requisitos pertinentes.
$RUJDQL]DomRGHYHGHWHUPLQDURVOLPLWHVHDDSOLFDELOLGDGHGRVLVWHPDGHJHVWmRGDTXDOLGDGHSDUD
HVWDEHOHFHURVHXHVFRSR
$RGHWHUPLQDUHVVHHVFRSRDRUJDQL]DomRGHYHFRQVLGHUDU
D DVTXHVW}HVH[WHUQDVHLQWHUQDVUHIHULGDVHP
E RVUHTXLVLWRVGDVSDUWHVLQWHUHVVDGDVSHUWLQHQWHVUHIHULGRVHP
F RVSURGXWRVHVHUYLoRVGDRUJDQL]DomR
$ RUJDQL]DomR GHYH DSOLFDU WRGRV RV UHTXLVLWRV GHVWD 1RUPD VH HOHV IRUHP DSOLFiYHLV QR HVFRSR
GHWHUPLQDGRGRVHXVLVWHPDGHJHVWmRGDTXDOLGDGH
2 HVFRSR GR VLVWHPD GH JHVWmR GD TXDOLGDGH GD RUJDQL]DomR GHYH HVWDU GLVSRQtYHO H VHU PDQWLGR
FRPR LQIRUPDomR GRFXPHQWDGD 2 HVFRSR GHYH GHFODUDU RV WLSRV GH SURGXWRV H VHUYLoRV FREHUWRV
HSURYHUMXVWL¿FDWLYDSDUDTXDOTXHUUHTXLVLWRGHVWD1RUPDTXHDRUJDQL]DomRGHWHUPLQDUTXHQmRVHMD
DSOLFiYHODRHVFRSRGRVHXVLVWHPDGHJHVWmRGDTXDOLGDGH
$FRQIRUPLGDGHFRPHVWD1RUPDVySRGHVHUDOHJDGDVHRVUHTXLVLWRVGHWHUPLQDGRVFRPRQmRDSOLFi-
$FRQIRUPLGDGHFRPHVWD1RUPDVySSRGHVHUDOHJ
S HJ
HJDGDVHRVUHTX
TX
TXLVLWRVGHWHUPLQDGRVFRPRQmRDSO
SO
SOLFi-
YHLVQmRDIHWDUHPDFDSDFLGDGHRXDUHVSRQVDELOLGDGHGDRUJDQL]DomRGHDVVHJXUDUDFRQIRUPLGDGH
SD VS JD H
GHVHXVSURGXWRVHVHUYLoRVHRDXPHQWRGDVDWLVIDomRGRFOLHQWH
GHVHXVSURGXWRVHVHUYLoRVHRDXPHQWRGDVDWLVIDomRGRFOLHQWH
4.4.1 $RUJDQL]DomRGHYHHVWDEHOHFHULPSOHPHQWDUPDQWHUHPHOKRUDUFRQWLQXDPHQWHXPVLVWHPD
GHJHVWmRGDTXDOLGDGHLQFOXLQGRRVSURFHVVRVQHFHVViULRVHVXDVLQWHUDo}HVGHDFRUGRFRPRVUHTXL-
sitos desta Norma.
$ RUJDQL]DomR GHYH GHWHUPLQDU RV SURFHVVRV QHFHVViULRV SDUD R VLVWHPD GH JHVWmR GD TXDOLGDGH
HVXDDSOLFDomRQDRUJDQL]DomRHGHYH
D GHWHUPLQDUDVHQWUDGDVUHTXHULGDVHDVVDtGDVHVSHUDGDVGHVVHVSURFHVVRV
E GHWHUPLQDUDVHTXrQFLDHDLQWHUDomRGHVVHVSURFHVVRV
G GHWHUPLQDURVUHFXUVRVQHFHVViULRVSDUDHVVHVSURFHVVRVHDVVHJXUDUDVXDGLVSRQLELOLGDGH
H DWULEXLUDVUHVSRQVDELOLGDGHVHDXWRULGDGHVSDUDHVVHVSURFHVVRV
I DERUGDURVULVFRVHRSRUWXQLGDGHVFRQIRUPHGHWHUPLQDGRVGHDFRUGRFRPRVUHTXLVLWRVGH
J DYDOLDU HVVHV SURFHVVRV H LPSOHPHQWDU TXDLVTXHU PXGDQoDV QHFHVViULDV SDUD DVVHJXUDU TXH
HVVHVSURFHVVRVDOFDQFHPVHXVUHVXOWDGRVSUHWHQGLGRV
K PHOKRUDURVSURFHVVRVHRVLVWHPDGHJHVWmRGDTXDOLGDGH
4.4.2 1DH[WHQVmRQHFHVViULDDRUJDQL]DomRGHYH
D PDQWHULQIRUPDomRGRFXPHQWDGDSDUDDSRLDUDRSHUDomRGHVHXVSURFHVVRV
E UHWHULQIRUPDomRGRFXPHQWDGDSDUDWHUFRQ¿DQoDHPTXHRVSURFHVVRVVHMDPUHDOL]DGRVFRQIRUPH
SODQHMDGR
5 Liderança
5.1 Liderança e comprometimento
5.1.1 Generalidades
$$OWD 'LUHomR GHYH GHPRQVWUDU OLGHUDQoD H FRPSURPHWLPHQWR FRP UHODomR DR VLVWHPD GH JHVWmR
GDTXDOLGDGH
D UHVSRQVDELOL]DQGRVHSRUSUHVWDUFRQWDVSHODH¿FiFLDGRVLVWHPDGHJHVWmRGDTXDOLGDGH
NOTA BRASILEIRA $ H[SUHVVmR ³UHVSRQVDELOLGDGH SRU SUHVWDU FRQWD´ IRL XVDGD FRPR WUDGXomR GR
termo “taking accountability”.
E DVVHJXUDQGRTXHDSROtWLFDGDTXDOLGDGHHRVREMHWLYRVGDTXDOLGDGHVHMDPHVWDEHOHFLGRVSDUD
RVLVWHPDGHJHVWmRGDTXDOLGDGHHTXHVHMDPFRPSDWtYHLVFRPRFRQWH[WRHDGLUHomRHVWUDWpJLFD
GDRUJDQL]DomR
F DVVHJXUDQGR D LQWHJUDomR GRV UHTXLVLWRV GR VLVWHPD GH JHVWmR GD TXDOLGDGH QRV SURFHVVRV
GHQHJyFLRGDRUJDQL]DomR
G SURPRYHQGRRXVRGDDERUGDJHPGHSURFHVVRHGDPHQWDOLGDGHGHULVFR
H DVVHJXUDQGR TXH RV UHFXUVRV QHFHVViULRV SDUD R VLVWHPD GH JHVWmR GD TXDOLGDGH HVWHMDP
GLVSRQtYHLV
I FRPXQLFDQGRDLPSRUWkQFLDGHXPDJHVWmRGDTXDOLGDGHH¿FD]HGHHVWDUFRQIRUPHFRPRVUHTXL-
VLWRVGRVLVWHPDGHJHVWmRGDTXDOLGDGH
J DVVHJXUDQGRTXHRVLVWHPDGHJHVWmRGDTXDOLGDGHDOFDQFHVHXVUHVXOWDGRVSUHWHQGLGRV
K HQJDMDQGR GLULJLQGR H DSRLDQGR SHVVRDV D FRQWULEXLU SDUD D H¿FiFLD GR VLVWHPD GH JHVWmR
GDTXDOLGDGH
L SURPRYHQGRPHOKRULD
M DSRLDQGRRXWURVSDSpLVSHUWLQHQWHVGDJHVWmRDGHPRQVWUDUFRPRVXDOLGHUDQoDVHDSOLFDjViUHDV
VREVXDUHVSRQVDELOLGDGH
127$ $UHIHUrQFLDD³QHJyFLR´QHVWD1RUPDSRGHVHULQWHUSUHWDGDGHPRGRDPSORFRPRDTXHODVDWLYL-
GDGHVFHQWUDLVSDUDRVSURSyVLWRVGDH[LVWrQFLDGDRUJDQL]DomRVHMDHODS~EOLFDSULYDGDYROWDGDSDUDROXFUR
RXVHP¿QDOLGDGHOXFUDWLYD
$$OWD'LUHomRGHYHGHPRQVWUDUOLGHUDQoDHFRPSURPHWLPHQWRFRPUHODomRDRIRFRQRFOLHQWHDVVHJX-
rando que:
D RVUHTXLVLWRVGRFOLHQWHHRVUHTXLVLWRVHVWDWXWiULRVHUHJXODPHQWDUHVSHUWLQHQWHVVHMDPGHWHUPL-
QDGRVHQWHQGLGRVHDWHQGLGRVFRQVLVWHQWHPHQWH
E RVULVFRVHRSRUWXQLGDGHVTXHSRVVDPDIHWDUDFRQIRUPLGDGHGHSURGXWRVHVHUYLoRVHDFDSDFLGDGH
GHDXPDQWDUDVDWLVIDomRGRFOLHQWHVHMDPGHWHUPLQDGRVHDERUGDGRV
F RIRFRQRDXPHQWRGDVDWLVIDomRGRFOLHQWHVHMDPDQWLGR
5.2 Política
$$OWD'LUHomRGHYHHVWDEHOHFHULPSOHPHQWDUHPDQWHUXPDSROtWLFDGDTXDOLGDGHTXH
D VHMDDSURSULDGDDRSURSyVLWRHDRFRQWH[WRGDRUJDQL]DomRHDSRLHVHXGLUHFLRQDPHQWRHVWUDWpJLFR
E SURYHMDXPDHVWUXWXUDSDUDRHVWDEHOHFLPHQWRGRVREMHWLYRVGDTXDOLGDGH
F LQFOXDXPFRPSURPHWLPHQWRHPVDWLVID]HUUHTXLVLWRVDSOLFiYHLV
G LQFOXDXPFRPSURPHWLPHQWRFRPDPHOKRULDFRQWtQXDGRVLVWHPDGHJHVWmRGDTXDOLGDGH
$SROtWLFDGDTXDOLGDGHGHYH
D HVWDUGLVSRQtYHOHVHUPDQWLGDFRPRLQIRUPDomRGRFXPHQWDGD
E VHUFRPXQLFDGDHQWHQGLGDHDSOLFDGDQDRUJDQL]DomR
F HVWDUGLVSRQtYHOSDUDSDUWHVLQWHUHVVDGDVSHUWLQHQWHVFRPRDSURSULDGR
$ $OWD 'LUHomR GHYH DVVHJXUDU TXH DV UHVSRQVDELOLGDGHV H DXWRULGDGHV SDUD SDSpLV SHUWLQHQWHV
VHMDPDWULEXtGDVFRPXQLFDGDVHHQWHQGLGDVQDRUJDQL]DomR
$$OWD'LUHomRGHYHDWULEXLUDUHVSRQVDELOLGDGHHDXWRULGDGHSDUD
D DVVHJXUDUTXHRVLVWHPDGHJHVWmRGDTXDOLGDGHHVWHMDFRQIRUPHFRPRVUHTXLVLWRVGHVWD1RUPD
E DVVHJXUDUTXHRVSURFHVVRVHQWUHJXHPVXDVVDtGDVSUHWHQGLGDV
F UHODWDU R GHVHPSHQKR GR VLVWHPD GH JHVWmR GD TXDOLGDGH H DV RSRUWXQLGDGHV SDUD PHOKRULD
YHUHPSDUWLFXODUSDUDD$OWD'LUHomR
G DVVHJXUDUDSURPRomRGRIRFRQRFOLHQWHQDRUJDQL]DomR
H DVVHJXUDU TXH D LQWHJULGDGH GR VLVWHPD GH JHVWmR GD TXDOLGDGH VHMD PDQWLGD TXDQGR IRUHP
SODQHMDGDVHLPSOHPHQWDGDVPXGDQoDVQRVLVWHPDGHJHVWmRGDTXDOLGDGH
6 Planejamento
6.1 $o}HVSDUDDERUGDUULVFRVHRSRUWXQLGDGHV
6.1.1 $R SODQHMDU R VLVWHPD GH JHVWmR GD TXDOLGDGH D RUJDQL]DomR GHYH FRQVLGHUDU DV TXHVW}HV
UHIHULGDVHPHRVUHTXLVLWRVUHIHULGRVHPHGHWHUPLQDURVULVFRVHRSRUWXQLGDGHVTXHSUHFLVDP
VHUDERUGDGRVSDUD
D DVVHJXUDUTXHRVLVWHPDGHJHVWmRGDTXDOLGDGHSRVVDDOFDQoDUVHXVUHVXOWDGRVSUHWHQGLGRV
E DXPHQWDUHIHLWRVGHVHMiYHLV
F SUHYHQLURXUHGX]LUHIHLWRVLQGHVHMiYHLV
G DOFDQoDUPHOKRULD
6.1.2 $RUJDQL]DomRGHYHSODQHMDU
D Do}HVSDUDDERUGDUHVVHVULVFRVHRSRUWXQLGDGHV
E como:
LQWHJUDU H LPSOHPHQWDU DV Do}HV QRV SURFHVVRV GR VHX VLVWHPD GH JHVWmR GD TXDOLGDGH
YHU
DYDOLDUDH¿FiFLDGHVVDVDo}HV
$o}HV WRPDGDV SDUD DERUGDU ULVFRV H RSRUWXQLGDGHV GHYHP VHU DSURSULDGDV DR LPSDFWR SRWHQFLDO
VREUHDFRQIRUPLGDGHGHSURGXWRVHVHUYLoRV
127$ 2So}HV SDUD DERUGDU ULVFRV SRGHP LQFOXLU HYLWDU R ULVFR DVVXPLU R ULVFR SDUD SHUVHJXLU XPD
RSRUWXQLGDGH HOLPLQDU D IRQWH GH ULVFR PXGDU D SUREDELOLGDGH RX DV FRQVHTXrQFLDV FRPSDUWLOKDU R ULVFR
RXGHFLGLUFRPEDVHHPLQIRUPDomRUHWHURULVFR
127$ 2SRUWXQLGDGHVSRGHPOHYDUjDGRomRGHQRYDVSUiWLFDVODQoDPHQWRGHQRYRVSURGXWRVDEHUWXUD
GH QRYRV PHUFDGRV DERUGDJHP GH QRYRV FOLHQWHV FRQVWUXomR GH SDUFHULDV XVR GH QRYDV WHFQRORJLDV
H RXWUDV SRVVLELOLGDGHV GHVHMiYHLV H YLiYHLV SDUD DERUGDU DV QHFHVVLGDGHV GD RUJDQL]DomR RX GH VHXV
FOLHQWHV
6.2.1 $RUJDQL]DomRGHYHHVWDEHOHFHUREMHWLYRVGDTXDOLGDGHQDVIXQo}HVQtYHLVHSURFHVVRVSHUWL-
QHQWHVQHFHVViULRVSDUDRVLVWHPDGHJHVWmRGDTXDOLGDGH
2VREMHWLYRVGDTXDOLGDGHGHYHP
D VHUFRHUHQWHVFRPDSROtWLFDGDTXDOLGDGH
E VHUPHQVXUiYHLV
F OHYDUHPFRQWDUHTXLVLWRVDSOLFiYHLV
G VHUSHUWLQHQWHVSDUDDFRQIRUPLGDGHGHSURGXWRVHVHUYLoRVHSDUDDXPHQWDUDVDWLVIDomRGRFOLHQWH
H VHUPRQLWRUDGRV
I VHUFRPXQLFDGRV
J VHUDWXDOL]DGRVFRPRDSURSULDGR
$RUJDQL]DomRGHYHPDQWHULQIRUPDomRGRFXPHQWDGDVREUHRVREMHWLYRVGDTXDOLGDGH
6.2.2 $RSODQHMDUFRPRDOFDQoDUVHXVREMHWLYRVGDTXDOLGDGHDRUJDQL]DomRGHYHGHWHUPLQDU
D RTXHVHUiIHLWR
E TXDLVUHFXUVRVVHUmRUHTXHULGRV
F TXHPVHUiUHVSRQViYHO
G TXDQGRLVVRVHUiFRQFOXtGR
H FRPRRVUHVXOWDGRVVHUmRDYDOLDGRV
4XDQGRDRUJDQL]DomRGHWHUPLQDDQHFHVVLGDGHGHPXGDQoDVQRVLVWHPDGHJHVWmRGDTXDOLGDGH
DVPXGDQoDVGHYHPVHUUHDOL]DGDVGHXPDPDQHLUDSODQHMDGDHVLVWHPiWLFDYHU
$RUJDQL]DomRGHYHFRQVLGHUDU
D RSURSyVLWRGDVPXGDQoDVHVXDVSRWHQFLDLVFRQVHTXrQFLDV
E DLQWHJULGDGHGRVLVWHPDGHJHVWmRGDTXDOLGDGH
F DGLVSRQLELOLGDGHGHUHFXUVRV
G DDORFDomRRXUHDORFDomRGHUHVSRQVDELOLGDGHVHDXWRULGDGHV
7 Apoio
7.1 Recursos
7.1.1 Generalidades
$RUJDQL]DomRGHYHGHWHUPLQDUHSURYHURVUHFXUVRVQHFHVViULRVSDUDRHVWDEHOHFLPHQWRLPSOHPHQ-
WDomRPDQXWHQomRHPHOKRULDFRQWtQXDGRVLVWHPDGHJHVWmRGDTXDOLGDGH
$RUJDQL]DomRGHYHFRQVLGHUDU
D DVFDSDFLGDGHVHUHVWULo}HVGHUHFXUVRVLQWHUQRVH[LVWHQWHV
E RTXHSUHFLVDVHUREWLGRGHSURYHGRUHVH[WHUQRV
7.1.2 Pessoas
$RUJDQL]DomRGHYHGHWHUPLQDUHSURYHUDVSHVVRDVQHFHVViULDVSDUDDLPSOHPHQWDomRH¿FD]GRVHX
VLVWHPDGHJHVWmRGDTXDOLGDGHHSDUDDRSHUDomRHFRQWUROHGHVHXVSURFHVVRV
7.1.3 Infraestrutura
$RUJDQL]DomRGHYHGHWHUPLQDUSURYHUHPDQWHUDLQIUDHVWUXWXUDQHFHVViULDSDUDDRSHUDomRGRVVHXV
SURFHVVRVHSDUDDOFDQoDUDFRQIRUPLGDGHGHSURGXWRVHVHUYLoRV
127$ ,QIUDHVWUXWXUDSRGHLQFOXLU
D HGLItFLRVHXWLOLGDGHVDVVRFLDGDV
E HTXLSDPHQWRLQFOXLQGRPDWHULDLVPiTXLQDVIHUUDPHQWDVHWFHVRIWZDUH
NOTA BRASILEIRA 2 (P HGLo}HV DQWHULRUHV VRIWZDUH IRL WUDGX]LGR SRU ³SURJUDPD GH FRPSXWDGRU´
1HVWDHGLomRSUHIHULXVHPDQWHURWHUPRHPLQJOrVGHYLGRjIDOWDGHXPWHUPRDGHTXDGRSDUDGHVLJQDU
DVGLYHUVDVQRYDVIRUPDVTXHDSDODYUDVRIWZDUHYHPDGTXLULQGRDRORQJRGRWHPSRFRPRSURJUDPDV
SDUDDSDUHOKRVFHOXODUHVtabletsLQVWUXo}HVHPIRUPDGHWHFQRORJLDHPEDUFDGDLQVWUXo}HVGHRSHUDomRHWF
F UHFXUVRVSDUDWUDQVSRUWH
G WHFQRORJLDGDLQIRUPDomRHGHFRPXQLFDomR
$RUJDQL]DomRGHYHGHWHUPLQDUSURYHUHPDQWHUXPDPELHQWHQHFHVViULRSDUDDRSHUDomRGHVHXV
SURFHVVRVHSDUDDOFDQoDUDFRQIRUPLGDGHGHSURGXWRVHVHUYLoRV
127$ 8PDPELHQWHDGHTXDGRSRGHVHUDFRPELQDomRGHIDWRUHVKXPDQRVHItVLFRVFRPR
D VRFLDOSRUH[HPSORQmRGLVFULPLQDWyULRFDOPRQmRFRQIURQWDQWH
E SVLFROyJLFRSRUH[HPSORUHGXWRUGHHVWUHVVHSUHYHQWLYRTXDQWRjH[DXVWmRHPRFLRQDOPHQWHSURWHWRU
F ItVLFRSRUH[HPSORWHPSHUDWXUDFDORUXPLGDGHOX]ÀX[RGHDUKLJLHQHUXtGR
(VVHVIDWRUHVSRGHPGLIHULUVXEVWDQFLDOPHQWHGHSHQGHQGRGRVSURGXWRVHVHUYLoRVSURYLGRV
7.1.5.1 Generalidades
$RUJDQL]DomRGHYHGHWHUPLQDUHSURYHURVUHFXUVRVQHFHVViULRVSDUDDVVHJXUDUUHVXOWDGRVYiOLGRV
HFRQ¿iYHLVTXDQGRPRQLWRUDPHQWRRXPHGLomRIRUXVDGRSDUDYHUL¿FDUDFRQIRUPLGDGHGHSURGXWRV
HVHUYLoRVFRPUHTXLVLWRV
$RUJDQL]DomRGHYHDVVHJXUDUTXHRVUHFXUVRVSURYLGRV
D VHMDPDGHTXDGRVSDUDRWLSRHVSHFt¿FRGHDWLYLGDGHVGHPRQLWRUDPHQWRHPHGLomRDVVXPLGDV
E VHMDPPDQWLGRVSDUDDVVHJXUDUTXHHVWHMDPFRQWLQXDPHQWHDSURSULDGRVDRVVHXVSURSyVLWRV
$RUJDQL]DomRGHYHUHWHULQIRUPDomRGRFXPHQWDGDDSURSULDGDFRPRHYLGrQFLDGHTXHRVUHFXUVRV
GHPRQLWRUDPHQWRHPHGLomRVHMDPDSURSULDGRVSDUDRVVHXVSURSyVLWRV
4XDQGR D UDVWUHDELOLGDGH GH PHGLomR IRU XP UHTXLVLWR RX IRU FRQVLGHUDGD SHOD RUJDQL]DomR XPD
SDUWH HVVHQFLDO GD SURYLVmR GH FRQ¿DQoD QD YDOLGDGH GH UHVXOWDGRV GH PHGLomR RV HTXLSDPHQWRV
GHPHGLomRGHYHPVHU
D YHUL¿FDGRVRXFDOLEUDGRVRXDPERVDLQWHUYDORVHVSHFL¿FDGRVRXDQWHVGRXVRFRQWUDSDGU}HV
GHPHGLomRUDVWUHiYHLVDSDGU}HVGHPHGLomRLQWHUQDFLRQDLVRXQDFLRQDLVTXDQGRWDLVSDGU}HV
QmR H[LVWLUHP D EDVH XVDGD SDUD FDOLEUDomR RX YHUL¿FDomR GHYH VHU UHWLGD FRPR LQIRUPDomR
GRFXPHQWDGD
E LGHQWL¿FDGRVSDUDGHWHUPLQDUVXDVLWXDomR
F VDOYDJXDUGDGRVFRQWUDDMXVWHVGDQRVRXGHWHULRUDomRTXHLQYDOLGDULDPDVLWXDomRGHFDOLEUDomR
HUHVXOWDGRVGHPHGLo}HVVXEVHTXHQWHV
$RUJDQL]DomRGHYHGHWHUPLQDUVHDYDOLGDGHGHUHVXOWDGRVGHPHGLomRDQWHULRUHVIRLDGYHUVDPHQWH
DIHWDGDTXDQGRRHTXLSDPHQWRGHPHGLomRIRUFRQVWDWDGRLQDSURSULDGRSDUDVHXSURSyVLWRSUHWHQGLGR
HGHYHWRPDUDomRDSURSULDGDFRPRQHFHVViULR
$RUJDQL]DomRGHYHGHWHUPLQDURFRQKHFLPHQWRQHFHVViULRSDUDDRSHUDomRGHVHXVSURFHVVRVHSDUD
DOFDQoDUDFRQIRUPLGDGHGHSURGXWRVHVHUYLoRV
(VVHFRQKHFLPHQWRGHYHVHUPDQWLGRHHVWDUGLVSRQtYHOQDH[WHQVmRQHFHVViULD
$RDERUGDUQHFHVVLGDGHVHWHQGrQFLDVGHPXGDQoDVDRUJDQL]DomRGHYHFRQVLGHUDUVHXFRQKHFLPHQWR
QR PRPHQWR H GHWHUPLQDU FRPR DGTXLULU RX DFHVVDU TXDOTXHU FRQKHFLPHQWR DGLFLRQDO QHFHVViULR
HDWXDOL]Do}HVUHTXHULGDV
127$ &RQKHFLPHQWR RUJDQL]DFLRQDO p FRQKHFLPHQWR HVSHFt¿FR SDUD D RUJDQL]DomR HOH p REWLGR SRU
H[SHULrQFLD(OHpLQIRUPDomRTXHpXVDGDHFRPSDUWLOKDGDSDUDDOFDQoDURVREMHWLYRVGDRUJDQL]DomR
127$ &RQKHFLPHQWRRUJDQL]DFLRQDOSRGHVHUEDVHDGRHP
D IRQWHVLQWHUQDVSRUH[HPSORSURSULHGDGHLQWHOHFWXDOFRQKHFLPHQWRREWLGRGHH[SHULrQFLDOLo}HVDSUHQGLGDV
GHIDOKDVHGHSURMHWRVEHPVXFHGLGRVFDSWXUDHFRPSDUWLOKDPHQWRGHFRQKHFLPHQWRHH[SHULrQFLDQmR
GRFXPHQWDGRVRVUHVXOWDGRVGHPHOKRULDVHPSURFHVVRVSURGXWRVHVHUYLoRV
E IRQWHVH[WHUQDVSRUH[HPSORQRUPDVDFDGHPLDFRQIHUrQFLDVFRPSLODomRGHFRQKHFLPHQWRGHFOLHQWHV
RXSURYHGRUHVH[WHUQRV
7.2 Competência
$RUJDQL]DomRGHYH
E DVVHJXUDUTXHHVVDVSHVVRDVVHMDPFRPSHWHQWHVFRPEDVHHPHGXFDomRWUHLQDPHQWRRXH[SH-
ULrQFLDDSURSULDGRV
F RQGHDSOLFiYHOWRPDUDo}HVSDUDDGTXLULUDFRPSHWrQFLDQHFHVViULDHDYDOLDUDH¿FiFLDGDVDo}HV
WRPDGDV
G UHWHULQIRUPDomRGRFXPHQWDGDDSURSULDGDFRPRHYLGrQFLDGHFRPSHWrQFLD
127$ $o}HV DSOLFiYHLV SRGHP LQFOXLU SRU H[HPSOR D SURYLVmR GH WUHLQDPHQWR R PHQWRUHDPHQWR
RX D PXGDQoD GH DWULEXLo}HV GH SHVVRDV HPSUHJDGDV QR PRPHQWR RX HPSUHJDU RX FRQWUDWDU SHVVRDV
competentes.
NOTA BRASILEIRA ³(PSUHJDU RX FRQWUDWDU´ GR WHUPR HP LQJOrV ± hiring or contracting VLJQL¿FD
DFRQWUDWDomRWHPSRUiULDRXSRUWHPSRLQGHWHUPLQDGRGHSHVVRDOSUySULRRXGHWHUFHLURV
7.3 Conscientização
$ RUJDQL]DomR GHYH DVVHJXUDU TXH SHVVRDV TXH UHDOL]DP WUDEDOKR VRE R FRQWUROH GD RUJDQL]DomR
HVWHMDPFRQVFLHQWHV
D GDSROtWLFDGDTXDOLGDGH
E GRVREMHWLYRVGDTXDOLGDGHSHUWLQHQWHV
F GDVXDFRQWULEXLomRSDUDDH¿FiFLDGRVLVWHPDGHJHVWmRGDTXDOLGDGHLQFOXLQGRRVEHQHItFLRV
GHGHVHPSHQKRPHOKRUDGR
G GDVLPSOLFDo}HVGHQmRHVWDUFRQIRUPHFRPRVUHTXLVLWRVGRVLVWHPDGHJHVWmRGDTXDOLGDGH
7.4 Comunicação
$ RUJDQL]DomR GHYH GHWHUPLQDU DV FRPXQLFDo}HV LQWHUQDV H H[WHUQDV SHUWLQHQWHV SDUD R VLVWHPD
GHJHVWmRGDTXDOLGDGHLQFOXLQGR
D VREUHRTXHFRPXQLFDU
E TXDQGRFRPXQLFDU
F FRPTXHPVHFRPXQLFDU
G FRPRFRPXQLFDU
H quem comunica.
7.5.1 Generalidades
2VLVWHPDGHJHVWmRGDTXDOLGDGHGDRUJDQL]DomRGHYHLQFOXLU
D LQIRUPDomRGRFXPHQWDGDUHTXHULGDSRUHVWD1RUPD
E LQIRUPDomRGRFXPHQWDGDGHWHUPLQDGDSHODRUJDQL]DomRFRPRVHQGRQHFHVViULDSDUDDH¿FiFLD
GRVLVWHPDGHJHVWmRGDTXDOLGDGH
127$ $ H[WHQVmR GD LQIRUPDomR GRFXPHQWDGD SDUD XP VLVWHPD GH JHVWmR GD TXDOLGDGH SRGH GLIHULU
GHXPDRUJDQL]DomRSDUDRXWUDGHYLGR
— DRSRUWHGDRUJDQL]DomRHVHXWLSRGHDWLYLGDGHVSURFHVVRVSURGXWRVHVHUYLoRV
— jFRPSOH[LGDGHGHSURFHVVRVHVXDVLQWHUDo}HV
— jFRPSHWrQFLDGHSHVVRDV
$RFULDUHDWXDOL]DULQIRUPDomRGRFXPHQWDGDDRUJDQL]DomRGHYHDVVHJXUDUDSURSULDGRVDV
D LGHQWL¿FDomRHGHVFULomRSRUH[HPSORXPWtWXORGDWDDXWRURXQ~PHURGHUHIHUrQFLD
E IRUPDWR SRU H[HPSOR OLQJXDJHP YHUVmR GH VRIWZDUH JUi¿FRV H PHLR SRU H[HPSOR SDSHO
HOHWU{QLFR
F DQiOLVHFUtWLFDHDSURYDomRTXDQWRjDGHTXDomRHVX¿FLrQFLD
7.5.3.1 $LQIRUPDomRGRFXPHQWDGDUHTXHULGDSHORVLVWHPDGHJHVWmRGDTXDOLGDGHHSRUHVWD1RUPD
GHYHVHUFRQWURODGDSDUDDVVHJXUDUTXH
D HODHVWHMDGLVSRQtYHOHDGHTXDGDSDUDXVRRQGHHTXDQGRHODIRUQHFHVViULD
E HODHVWHMDSURWHJLGDVX¿FLHQWHPHQWHSRUH[HPSORFRQWUDSHUGDGHFRQ¿GHQFLDOLGDGHXVRLPSUy-
SULRRXSHUGDGHLQWHJULGDGH
7.5.3.2 3DUD R FRQWUROH GH LQIRUPDomR GRFXPHQWDGD D RUJDQL]DomR GHYH DERUGDU DV VHJXLQWHV
DWLYLGDGHVFRPRDSOLFiYHO
D GLVWULEXLomRDFHVVRUHFXSHUDomRHXVR
E DUPD]HQDPHQWRHSUHVHUYDomRLQFOXLQGRSUHVHUYDomRGHOHJLELOLGDGH
F FRQWUROHGHDOWHUDo}HVSRUH[HPSORFRQWUROHGHYHUVmR
G UHWHQomRHGLVSRVLomR
$LQIRUPDomRGRFXPHQWDGDGHRULJHPH[WHUQDGHWHUPLQDGDSHODRUJDQL]DomRFRPRQHFHVViULDSDUD
RSODQHMDPHQWRHRSHUDomRGRVLVWHPDGHJHVWmRGDTXDOLGDGHGHYHVHULGHQWL¿FDGDFRPRDSURSULDGR
HFRQWURODGD
,QIRUPDomRGRFXPHQWDGDUHWLGDFRPRHYLGrQFLDGHFRQIRUPLGDGHGHYHVHUSURWHJLGDFRQWUDDOWH-
UDo}HVQmRLQWHQFLRQDLV
127$ $FHVVRSRGHLPSOLFDUXPDGHFLVmRTXDQWRjSHUPLVVmRSDUDVRPHQWHYHUDLQIRUPDomRGRFXPHQ-
WDGDRXDSHUPLVVmRHDXWRULGDGHSDUDYHUHDOWHUDUDLQIRUPDomRGRFXPHQWDGD
8 Operação
8.1 Planejamento e controle operacionais
D GHWHUPLQDURVUHTXLVLWRVSDUDRVSURGXWRVHVHUYLoRV
E HVWDEHOHFHUFULWpULRVSDUD
RVSURFHVVRV
DDFHLWDomRGHSURGXWRVHVHUYLoRV
F GHWHUPLQDU RV UHFXUVRV QHFHVViULRV SDUD DOFDQoDU FRQIRUPLGDGH FRP RV UHTXLVLWRV GR SURGXWR
HVHUYLoR
G LPSOHPHQWDUFRQWUROHGHSURFHVVRVGHDFRUGRFRPFULWpULRV
H GHWHUPLQDUHFRQVHUYDULQIRUPDomRGRFXPHQWDGDQDH[WHQVmRQHFHVViULDSDUD
WHUFRQ¿DQoDHPTXHRVSURFHVVRVIRUDPFRQGX]LGRVFRPRSODQHMDGR
GHPRQVWUDUDFRQIRUPLGDGHGHSURGXWRVHVHUYLoRVFRPVHXVUHTXLVLWRV
$VDtGDGHVVHSODQHMDPHQWRGHYHVHUDGHTXDGDSDUDDVRSHUDo}HVGDRUJDQL]DomR
$ RUJDQL]DomR GHYH FRQWURODU PXGDQoDV SODQHMDGDV H DQDOLVDU FULWLFDPHQWH DV FRQVHTXrQFLDV GH
PXGDQoDVQmRLQWHQFLRQDLVWRPDQGRDo}HVSDUDPLWLJDUTXDLVTXHUHIHLWRVDGYHUVRVFRPRQHFHVViULR
$RUJDQL]DomRGHYHDVVHJXUDUTXHRVSURFHVVRVWHUFHLUL]DGRVVHMDPFRQWURODGRVYHU
$FRPXQLFDomRFRPFOLHQWHVGHYHLQFOXLU
D SURYHULQIRUPDomRUHODWLYDDSURGXWRVHVHUYLoRV
E OLGDUFRPFRQVXOWDVFRQWUDWRVRXSHGLGRVLQFOXLQGRPXGDQoDV
F REWHUUHWURDOLPHQWDomRGRFOLHQWHUHODWLYDDSURGXWRVHVHUYLoRVLQFOXLQGRUHFODPDo}HVGRFOLHQWH
G OLGDURXFRQWURODUSURSULHGDGHGRFOLHQWH
H HVWDEHOHFHUUHTXLVLWRVHVSHFt¿FRVSDUDDo}HVGHFRQWLQJrQFLDTXDQGRSHUWLQHQWH
$RGHWHUPLQDURVUHTXLVLWRVSDUDRVSURGXWRVHVHUYLoRVDVHUHPRIHUHFLGRVSDUDFOLHQWHVDRUJDQL]DomR
deve assegurar que:
D RVUHTXLVLWRVSDUDRVSURGXWRVHVHUYLoRVVHMDPGH¿QLGRVLQFOXLQGR
TXDLVTXHUUHTXLVLWRVHVWDWXWiULRVHUHJXODPHQWDUHVDSOLFiYHLV
DTXHOHVFRQVLGHUDGRVQHFHVViULRVSHODRUJDQL]DomR
E DRUJDQL]DomRSRVVDDWHQGHUDRVSOHLWRVSDUDRVSURGXWRVHVHUYLoRVTXHHODRIHUHFH
8.2.3.1 $RUJDQL]DomRGHYHDVVHJXUDUTXHHODWHQKDDFDSDFLGDGHGHDWHQGHUDRVUHTXLVLWRVSDUD
SURGXWRVHVHUYLoRVDVHUHPRIHUHFLGRVDFOLHQWHV$RUJDQL]DomRGHYHFRQGX]LUXPDDQiOLVHFUtWLFD
DQWHVGHVHFRPSURPHWHUDIRUQHFHUSURGXWRVHVHUYLoRVDXPFOLHQWHSDUDLQFOXLU
D UHTXLVLWRV HVSHFL¿FDGRV SHOR FOLHQWH LQFOXLQGR RV UHTXLVLWRV SDUD DWLYLGDGHV GH HQWUHJD H SyV
HQWUHJD
E UHTXLVLWRVQmRGHFODUDGRVSHORFOLHQWHPDVQHFHVViULRVSDUDRXVRHVSHFL¿FDGRRXSUHWHQGLGR
TXDQGRFRQKHFLGR
F UHTXLVLWRVHVSHFL¿FDGRVSHODRUJDQL]DomR
G UHTXLVLWRVHVWDWXWiULRVHUHJXODPHQWDUHVDSOLFiYHLVDSURGXWRVHVHUYLoRV
H UHTXLVLWRVGHFRQWUDWRRXSHGLGRGLIHUHQWHVGDTXHOHVSUHYLDPHQWHH[SUHVVRV
$RUJDQL]DomRGHYHDVVHJXUDUTXHUHTXLVLWRVGHFRQWUDWRRXSHGLGRGLYHUJHQWHVGDTXHOHVSUHYLDPHQWH
GH¿QLGRVVHMDPUHVROYLGRV
2VUHTXLVLWRVGRFOLHQWHGHYHPVHUFRQ¿UPDGRVSHODRUJDQL]DomRDQWHVGDDFHLWDomRTXDQGRRFOLHQWH
QmRSURYHUXPDGHFODUDomRGRFXPHQWDGDGHVHXVUHTXLVLWRV
127$ (PDOJXPDVVLWXDo}HVFRPRYHQGDVSHODinternetXPDDQiOLVHFUtWLFDIRUPDOSDUDFDGDSHGLGR
p LPSUDWLFiYHO 1HVVHV FDVRV D DQiOLVH FUtWLFD SRGH FRPSUHHQGHU DV LQIRUPDo}HV SHUWLQHQWHV DR SURGXWR
FRPRFDWiORJRV
8.2.3.2 $RUJDQL]DomRGHYHUHWHULQIRUPDomRGRFXPHQWDGDFRPRDSOLFiYHOVREUH
D RVUHVXOWDGRVGDDQiOLVHFUtWLFD
E TXDLVTXHUQRYRVUHTXLVLWRVSDUDRVSURGXWRVHVHUYLoRV
$RUJDQL]DomRGHYHDVVHJXUDUTXHLQIRUPDomRGRFXPHQWDGDSHUWLQHQWHVHMDHPHQGDGDHTXHSHVVRDV
SHUWLQHQWHVVHMDPDOHUWDGDVGRVUHTXLVLWRVPXGDGRVTXDQGRRVUHTXLVLWRVSDUDSURGXWRVHVHUYLoRV
IRUHPPXGDGRV
8.3.1 Generalidades
$RUJDQL]DomRGHYHHVWDEHOHFHULPSOHPHQWDUHPDQWHUXPSURFHVVRGHSURMHWRHGHVHQYROYLPHQWR
TXHVHMDDSURSULDGRSDUDDVVHJXUDUDVXEVHTXHQWHSURYLVmRGHSURGXWRVHVHUYLoRV
1D GHWHUPLQDomR GRV HVWiJLRV H FRQWUROHV SDUD SURMHWR H GHVHQYROYLPHQWR D RUJDQL]DomR GHYH
considerar:
D DQDWXUH]DGXUDomRHFRPSOH[LGDGHGDVDWLYLGDGHVGHSURMHWRHGHVHQYROYLPHQWR
E RV HVWiJLRV GH SURFHVVR UHTXHULGRV LQFOXLQGR DQiOLVHV FUtWLFDV GH SURMHWR H GHVHQYROYLPHQWR
DSOLFiYHLV
F DVDWLYLGDGHVGHYHUL¿FDomRHYDOLGDomRGHSURMHWRHGHVHQYROYLPHQWRUHTXHULGDV
G DVUHVSRQVDELOLGDGHVHDXWRULGDGHVHQYROYLGDVQRSURFHVVRGHSURMHWRHGHVHQYROYLPHQWR
H RV UHFXUVRV LQWHUQRV H H[WHUQRV QHFHVViULRV SDUD R SURMHWR H GHVHQYROYLPHQWR GH SURGXWRV
HVHUYLoRV
I D QHFHVVLGDGH GH FRQWURODU LQWHUIDFHV HQWUH SHVVRDV HQYROYLGDV QR SURFHVVR GH SURMHWR
HGHVHQYROYLPHQWR
J DQHFHVVLGDGHGHHQYROYLPHQWRGHFOLHQWHVHXVXiULRVQRSURFHVVRGHSURMHWRHGHVHQYROYLPHQWR
K RVUHTXLVLWRVSDUDDSURYLVmRVXEVHTXHQWHGHSURGXWRVHVHUYLoRV
L RQtYHOGHFRQWUROHHVSHUDGRSDUDRSURFHVVRGHSURMHWRHGHVHQYROYLPHQWRSRUFOLHQWHVHRXWUDV
SDUWHVLQWHUHVVDGDVSHUWLQHQWHV
M DLQIRUPDomRGRFXPHQWDGDQHFHVViULDSDUDGHPRQVWUDUTXHRVUHTXLVLWRVGHSURMHWRHGHVHQYRO-
YLPHQWRIRUDPDWHQGLGRV
$RUJDQL]DomRGHYHGHWHUPLQDURVUHTXLVLWRVHVVHQFLDLVSDUDRVWLSRVHVSHFt¿FRVGHSURGXWRVHVHUYLoRV
DVHUHPSURMHWDGRVHGHVHQYROYLGRV$RUJDQL]DomRGHYHFRQVLGHUDU
D UHTXLVLWRVIXQFLRQDLVHGHGHVHPSHQKR
E LQIRUPDomRGHULYDGDGHDWLYLGDGHVVLPLODUHVGHSURMHWRHGHVHQYROYLPHQWRDQWHULRUHV
F UHTXLVLWRVHVWDWXWiULRVHUHJXODPHQWDUHV
G QRUPDVRXFyGLJRVGHSUiWLFDTXHDRUJDQL]DomRWHQKDVHFRPSURPHWLGRDLPSOHPHQWDU
H FRQVHTXrQFLDVSRWHQFLDLVGHIDOKDVGHYLGDVjQDWXUH]DGHSURGXWRVHVHUYLoRV
(QWUDGDV GHYHP VHU DGHTXDGDV DRV SURSyVLWRV GH SURMHWR H GHVHQYROYLPHQWR FRPSOHWDV H VHP
DPELJXLGDGHV
(QWUDGDVFRQÀLWDQWHVGHSURMHWRHGHVHQYROYLPHQWRGHYHPVHUUHVROYLGDV
$RUJDQL]DomRGHYHUHWHULQIRUPDomRGRFXPHQWDGDGHHQWUDGDVGHSURMHWRHGHVHQYROYLPHQWR
$RUJDQL]DomRGHYHDSOLFDUFRQWUROHVSDUDRSURFHVVRGHSURMHWRHGHVHQYROYLPHQWRSDUDDVVHJXUDU
que:
D RVUHVXOWDGRVDVHUHPDOFDQoDGRVHVWHMDPGH¿QLGRV
E DQiOLVHVFUtWLFDVVHMDPFRQGX]LGDVSDUDDYDOLDUDFDSDFLGDGHGHRVUHVXOWDGRVGHSURMHWRHGHVHQ-
YROYLPHQWRDWHQGHUHPDUHTXLVLWRV
F DWLYLGDGHVGHYHUL¿FDomRVHMDPFRQGX]LGDVSDUDDVVHJXUDUTXHDVVDtGDVGHSURMHWRHGHVHQYRO-
YLPHQWRDWHQGDPDRVUHTXLVLWRVGHHQWUDGD
G DWLYLGDGHVGHYDOLGDomRVHMDPFRQGX]LGDVSDUDDVVHJXUDUTXHRVSURGXWRVHVHUYLoRVUHVXOWDQWHV
DWHQGDPDRVUHTXLVLWRVSDUDDDSOLFDomRHVSHFL¿FDGDRXXVRSUHWHQGLGR
H TXDLVTXHU Do}HV QHFHVViULDV VHMDP WRPDGDV VREUH RV SUREOHPDV GHWHUPLQDGRV GXUDQWH DV
DQiOLVHVFUtWLFDVRXDWLYLGDGHVGHYHUL¿FDomRHYDOLGDomR
I LQIRUPDomRGRFXPHQWDGDVREUHHVVDVDWLYLGDGHVVHMDUHWLGD
127$ $QiOLVHVFUtWLFDVGHSURMHWRHGHVHQYROYLPHQWRYHUL¿FDomRHYDOLGDomRWrPSURSyVLWRVGLVWLQWRV
(ODV SRGHP VHU FRQGX]LGDV VHSDUDGDPHQWH RX HP TXDOTXHU FRPELQDomR FRPR IRU DGHTXDGR SDUD RV
SURGXWRVHVHUYLoRVGDRUJDQL]DomR
$RUJDQL]DomRGHYHDVVHJXUDUTXHVDtGDVGHSURMHWRHGHVHQYROYLPHQWR
D DWHQGDPDRVUHTXLVLWRVGHHQWUDGD
E VHMDPDGHTXDGDVSDUDRVSURFHVVRVVXEVHTXHQWHVSDUDDSURYLVmRGHSURGXWRVHVHUYLoRV
F LQFOXDP RX UHIHUHQFLHP UHTXLVLWRV GH PRQLWRUDPHQWR H PHGLomR FRPR DSURSULDGR H FULWpULRV
GHDFHLWDomR
G HVSHFL¿TXHPDVFDUDFWHUtVWLFDVGRVSURGXWRVHVHUYLoRVTXHVHMDPHVVHQFLDLVSDUDRSURSyVLWR
SUHWHQGLGRHVXDSURYLVmRVHJXUDHDSURSULDGD
$RUJDQL]DomRGHYHUHWHULQIRUPDomRGRFXPHQWDGDVREUHDVVDtGDVGHSURMHWRHGHVHQYROYLPHQWR
$RUJDQL]DomRGHYHLGHQWL¿FDUDQDOLVDUFULWLFDPHQWHHFRQWURODUPXGDQoDVIHLWDVGXUDQWHRXVXEVH-
TXHQWHPHQWH D R SURMHWR H GHVHQYROYLPHQWR GH SURGXWRV H VHUYLoRV QD H[WHQVmR QHFHVViULD SDUD
DVVHJXUDUTXHQmRKDMDLPSDFWRDGYHUVRVREUHDFRQIRUPLGDGHFRPUHTXLVLWRV
$RUJDQL]DomRGHYHUHWHULQIRUPDomRGRFXPHQWDGDVREUH
D DVPXGDQoDVGHSURMHWRHGHVHQYROYLPHQWR
E RVUHVXOWDGRVGHDQiOLVHVFUtWLFDV
F DDXWRUL]DomRGDVPXGDQoDV
G DVDo}HVWRPDGDVSDUDSUHYHQLULPSDFWRVDGYHUVRV
8.4.1 Generalidades
$RUJDQL]DomRGHYHDVVHJXUDUTXHSURFHVVRVSURGXWRVHVHUYLoRVSURYLGRVH[WHUQDPHQWHHVWHMDP
FRQIRUPHVFRPUHTXLVLWRV
$RUJDQL]DomRGHYHGHWHUPLQDURVFRQWUROHVDVHUHPDSOLFDGRVSDUDRVSURFHVVRVSURGXWRVHVHUYLoRV
providos externamente quando:
D SURGXWRV H VHUYLoRV GH SURYHGRUHV H[WHUQRV IRUHP GHVWLQDGRV D LQFRUSRUDomR QRV SURGXWRV
HVHUYLoRVGDSUySULDRUJDQL]DomR
E SURGXWRV H VHUYLoRV IRUHP SURYLGRV GLUHWDPHQWH SDUD RV FOLHQWHV SRU SURYHGRUHV H[WHUQRV
HPQRPHGDRUJDQL]DomR
F XPSURFHVVRRXSDUWHGHXPSURFHVVRIRUSURYLGRSRUXPSURYHGRUH[WHUQRFRPRXPUHVXOWDGR
GHXPDGHFLVmRGDRUJDQL]DomR
$RUJDQL]DomRGHYHGHWHUPLQDUHDSOLFDUFULWpULRVSDUDDDYDOLDomRVHOHomRPRQLWRUDPHQWRGHGHVHP-
SHQKRHUHDYDOLDomRGHSURYHGRUHVH[WHUQRVEDVHDGRVQDVXDFDSDFLGDGHGHSURYHUSURFHVVRVRX
SURGXWRV H VHUYLoRV GH DFRUGR FRP UHTXLVLWRV$ RUJDQL]DomR GHYH UHWHU LQIRUPDomR GRFXPHQWDGD
GHVVDVDWLYLGDGHVHGHTXDLVTXHUDo}HVQHFHVViULDVGHFRUUHQWHVGDVDYDOLDo}HV
$RUJDQL]DomRGHYHDVVHJXUDUTXHSURFHVVRVSURGXWRVHVHUYLoRVSURYLGRVH[WHUQDPHQWHQmRDIHWHP
DGYHUVDPHQWH D FDSDFLGDGH GD RUJDQL]DomR GH HQWUHJDU FRQVLVWHQWHPHQWH SURGXWRV H VHUYLoRV
FRQIRUPHVSDUDVHXVFOLHQWHV
Por exemplo: Recebimento de matéria prima fora de conformidade, provida de
uma subcontratação (fornecedores externos).
$RUJDQL]DomRGHYH
D DVVHJXUDU TXH SURFHVVRV SURYLGRV H[WHUQDPHQWH SHUPDQHoDP VRE R FRQWUROH GR VHX VLVWHPD
GHJHVWmRGDTXDOLGDGH
E GH¿QLUWDQWRRVFRQWUROHVTXHHODSUHWHQGHDSOLFDUDXPSURYHGRUH[WHUQRFRPRDTXHOHVTXHHOD
SUHWHQGHDSOLFDUjVVDtGDVUHVXOWDQWHV
F OHYDUHPFRQVLGHUDomR
RLPSDFWRSRWHQFLDOGRVSURFHVVRVSURGXWRVHVHUYLoRVSURYLGRVH[WHUQDPHQWHVREUHDFDSD-
FLGDGHGDRUJDQL]DomRGHDWHQGHUFRQVLVWHQWHPHQWHDRVUHTXLVLWRVGRFOLHQWHHDRVUHTXL-
VLWRVHVWDWXWiULRVHUHJXODPHQWDUHV
DH¿FiFLDGRVFRQWUROHVDSOLFDGRVSHORSURYHGRUH[WHUQR
G GHWHUPLQDU D YHUL¿FDomR RX RXWUD DWLYLGDGH QHFHVViULD SDUD DVVHJXUDU TXH RV SURFHVVRV
SURGXWRVHVHUYLoRVSURYLGRVH[WHUQDPHQWHDWHQGDPDUHTXLVLWRV
$RUJDQL]DomRGHYHDVVHJXUDUDVX¿FLrQFLDGHUHTXLVLWRVDQWHVGHVXDFRPXQLFDomRSDUDRSURYHGRU
externo.
$RUJDQL]DomRGHYHFRPXQLFDUSDUDSURYHGRUHVH[WHUQRVVHXVUHTXLVLWRVSDUD
D RVSURFHVVRVSURGXWRVHVHUYLoRVDVHUHPSURYLGRV
E DDSURYDomRGH
SURGXWRVHVHUYLoRV
PpWRGRVSURFHVVRVHHTXLSDPHQWRV
OLEHUDomRGHSURGXWRVHVHUYLoRV
F FRPSHWrQFLDLQFOXLQGRTXDOTXHUTXDOL¿FDomRGHSHVVRDVUHTXHULGD
G DVLQWHUDo}HVGRSURYHGRUH[WHUQRFRPDRUJDQL]DomR
H FRQWUROHHPRQLWRUDPHQWRGRGHVHPSHQKRGRSURYHGRUH[WHUQRDVHUDSOLFDGRSHODRUJDQL]DomR
I DWLYLGDGHVGHYHUL¿FDomRRXYDOLGDomRTXHDRUJDQL]DomRRXVHXVFOLHQWHVSUHWHQGDPGHVHP-
SHQKDUQDVLQVWDODo}HVGRSURYHGRUH[WHUQR
$RUJDQL]DomRGHYHLPSOHPHQWDUSURGXomRHSURYLVmRGHVHUYLoRVREFRQGLo}HVFRQWURODGDV
&RQGLo}HVFRQWURODGDVGHYHPLQFOXLUFRPRDSOLFiYHO
D DGLVSRQLELOLGDGHGHLQIRUPDomRGRFXPHQWDGDTXHGH¿QD
DVFDUDFWHUtVWLFDVGRVSURGXWRVDVHUHPSURGX]LGRVGRVVHUYLoRVDVHUHPSURYLGRVRXGDV
DWLYLGDGHVDVHUHPGHVHPSHQKDGDV
RVUHVXOWDGRVDVHUHPDOFDQoDGRV
E DGLVSRQLELOLGDGHHXVRGHUHFXUVRVGHPRQLWRUDPHQWRHPHGLomRDGHTXDGRV
F D LPSOHPHQWDomR GH DWLYLGDGHV GH PRQLWRUDPHQWR H PHGLomR HP HVWiJLRV DSURSULDGRV SDUD
YHUL¿FDUTXHFULWpULRVSDUDFRQWUROHGHSURFHVVRVRXVDtGDVHFULWpULRVGHDFHLWDomRSDUDSURGXWRV
HVHUYLoRVIRUDPDWHQGLGRV
G RXVRGHLQIUDHVWUXWXUDHDPELHQWHDGHTXDGRVSDUDDRSHUDomRGRVSURFHVVRV
H DGHVLJQDomRGHSHVVRDVFRPSHWHQWHVLQFOXLQGRTXDOTXHUTXDOL¿FDomRUHTXHULGD
I D YDOLGDomR H UHYDOLGDomR SHULyGLFD GD FDSDFLGDGH GH DOFDQoDU UHVXOWDGRV SODQHMDGRV GRV
SURFHVVRVSDUDSURGXomRHSURYLVmRGHVHUYLoRRQGHQmRIRUSRVVtYHOYHUL¿FDUDVDtGDUHVXOWDQWH
SRUPRQLWRUDPHQWRRXPHGLomRVXEVHTXHQWHV
J DLPSOHPHQWDomRGHDo}HVSDUDSUHYHQLUHUURKXPDQR
K DLPSOHPHQWDomRGHDWLYLGDGHVGHOLEHUDomRHQWUHJDHSyVHQWUHJD
8.5.2 ,GHQWL¿FDomRHUDVWUHDELOLGDGH
$RUJDQL]DomRGHYHXVDUPHLRVDGHTXDGRVSDUDLGHQWL¿FDUVDtGDVTXDQGRLVVRIRUQHFHVViULRDVVHJXUDU
DFRQIRUPLGDGHGHSURGXWRVHVHUYLoRV
$RUJDQL]DomRGHYHLGHQWL¿FDUDVLWXDomRGDVVDtGDVFRPUHODomRDRVUHTXLVLWRVGHPRQLWRUDPHQWR
HPHGLomRDRORQJRGDSURGXomRHSURYLVmRGHVHUYLoR
$RUJDQL]DomRGHYHFRQWURODUDLGHQWL¿FDomR~QLFDGDVVDtGDVTXDQGRDUDVWUHDELOLGDGHIRUXPUHTXL-
VLWRHGHYHUHWHUDLQIRUPDomRGRFXPHQWDGDQHFHVViULDSDUDSRVVLELOLWDUUDVWUHDELOLGDGH
$RUJDQL]DomRGHYHWRPDUFXLGDGRFRPSURSULHGDGHSHUWHQFHQWHDFOLHQWHVRXSURYHGRUHVH[WHUQRV
HQTXDQWRHVWLYHUVRERFRQWUROHGDRUJDQL]DomRRXVHQGRXVDGDSHODRUJDQL]DomR
$RUJDQL]DomRGHYHLGHQWL¿FDUYHUL¿FDUSURWHJHUHVDOYDJXDUGDUSURSULHGDGHGHFOLHQWHVRXSURYHGRUHV
H[WHUQRVSURYLGDSDUDXVRRXLQFRUSRUDomRQRVSURGXWRVHVHUYLoRV
4XDQGRDSURSULHGDGHGHXPFOLHQWHRXSURYHGRUH[WHUQRIRUSHUGLGDGDQL¿FDGDRXGHRXWUDPDQHLUD
FRQVWDWDGDLQDGHTXDGDSDUDXVRDRUJDQL]DomRGHYHUHODWDULVWRSDUDRFOLHQWHRXSURYHGRUH[WHUQR
HUHWHULQIRUPDomRGRFXPHQWDGDVREUHRTXHRFRUUHX
127$ 8PDSURSULHGDGHGHFOLHQWHRXSURYHGRUH[WHUQRSRGHLQFOXLUPDWHULDOFRPSRQHQWHVIHUUDPHQWDV
HHTXLSDPHQWRLQVWDODo}HVGHFOLHQWHSURSULHGDGHLQWHOHFWXDOHGDGRVSHVVRDLV
8.5.4 Preservação
$RUJDQL]DomRGHYHSUHVHUYDUDVVDtGDVGXUDQWHSURGXomRHSURYLVmRGHVHUYLoRQDH[WHQVmRQHFHV-
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D RVUHTXLVLWRVHVWDWXWiULRVHUHJXODPHQWDUHV
E DVFRQVHTXrQFLDVLQGHVHMiYHLVSRWHQFLDLVDVVRFLDGDVFRPVHXVSURGXWRVHVHUYLoRV
F DQDWXUH]DXVRHRWHPSRGHYLGDSUHWHQGLGRGHVHXVSURGXWRVHVHUYLoRV
G UHTXLVLWRVGRFOLHQWH
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QDH[WHQVmRQHFHVViULDSDUDDVVHJXUDUFRQWLQXDPHQWHFRQIRUPLGDGHFRPUHTXLVLWRV
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SHUWLQHQWHHFRPRDSOLFiYHOSHORFOLHQWH
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GHVHUYLoRV
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E VHJUHJDomRFRQWHQomRUHWRUQRRXVXVSHQVmRGHSURYLVmRGHSURGXWRVHVHUYLoRV
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9 Avaliação de desempenho
9.1 Monitoramento, medição, análise e avaliação
9.1.1 Generalidades
$RUJDQL]DomRGHYHGHWHUPLQDU
D RTXHSUHFLVDVHUPRQLWRUDGRHPHGLGR
E RVPpWRGRVSDUDPRQLWRUDPHQWRPHGLomRDQiOLVHHDYDOLDomRQHFHVViULRVSDUDDVVHJXUDUUHVXO-
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G TXDQGRRVUHVXOWDGRVGHPRQLWRUDPHQWRHPHGLomRGHYHPVHUDQDOLVDGRVHDYDOLDGRV
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$RUJDQL]DomRGHYHUHWHULQIRUPDomRGRFXPHQWDGDDSURSULDGDFRPRHYLGrQFLDGRVUHVXOWDGRV
$RUJDQL]DomRGHYHPRQLWRUDUDSHUFHSomRGHFOLHQWHVGRJUDXHPTXHVXDVQHFHVVLGDGHVHH[SHF-
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D FRQIRUPLGDGHGHSURGXWRVHVHUYLoRV
E RJUDXGHVDWLVIDomRGHFOLHQWH
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9.3.1 Generalidades
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UHVXOWDGRVGHPRQLWRUDPHQWRHPHGLomR
UHVXOWDGRVGHDXGLWRULD
GHVHPSHQKRGHSURYHGRUHVH[WHUQRV
G DVX¿FLrQFLDGHUHFXUVRV
H DH¿FiFLDGHDo}HVWRPDGDVSDUDDERUGDUULVFRVHRSRUWXQLGDGHVYHU
I RSRUWXQLGDGHVSDUDPHOKRULD
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D RSRUWXQLGDGHVSDUDPHOKRULD
E TXDOTXHUQHFHVVLGDGHGHPXGDQoDVQRVLVWHPDGHJHVWmRGDTXDOLGDGH
F necessidade de recurso.
$RUJDQL]DomRGHYHUHWHULQIRUPDomRGRFXPHQWDGDFRPRHYLGrQFLDGRVUHVXOWDGRVGHDQiOLVHVFUtWLFDV
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10 Melhoria
10.1 Generalidades
$RUJDQL]DomRGHYHGHWHUPLQDUHVHOHFLRQDURSRUWXQLGDGHVSDUDPHOKRULDHLPSOHPHQWDUTXDLVTXHU
Do}HVQHFHVViULDVSDUDDWHQGHUDUHTXLVLWRVGRFOLHQWHHDXPHQWDUDVDWLVIDomRGRFOLHQWH
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D PHOKRUDUSURGXWRVHVHUYLoRVSDUDDWHQGHUDUHTXLVLWRVDVVLPFRPRSDUDDERUGDUIXWXUDVQHFHV-
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F PHOKRUDURGHVHPSHQKRHDH¿FiFLDGRVLVWHPDGHJHVWmRGDTXDOLGDGH
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10.2.1 $RRFRUUHUXPDQmRFRQIRUPLGDGHLQFOXLQGRDVSURYHQLHQWHVGHUHFODPDo}HVDRUJDQL]DomR
deve:
D UHDJLUjQmRFRQIRUPLGDGHHFRPRDSOLFiYHO
WRPDUDomRSDUDFRQWUROiODHFRUULJLOD
OLGDUFRPDVFRQVHTXrQFLDV
DQDOLVDQGRFULWLFDPHQWHHDQDOLVDQGRDQmRFRQIRUPLGDGH
GHWHUPLQDQGRDVFDXVDVGDQmRFRQIRUPLGDGH
GHWHUPLQDQGR VH QmR FRQIRUPLGDGHV VLPLODUHV H[LVWHP RX VH SRGHULDP SRWHQFLDOPHQWH
ocorrer.
F LPSOHPHQWDUTXDOTXHUDomRQHFHVViULD
G DQDOLVDUFULWLFDPHQWHDH¿FiFLDGHTXDOTXHUDomRFRUUHWLYDWRPDGD
H DWXDOL]DUULVFRVHRSRUWXQLGDGHVGHWHUPLQDGRVGXUDQWHRSODQHMDPHQWRVHQHFHVViULR
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D GDQDWXUH]DGDVQmRFRQIRUPLGDGHVHTXDLVTXHUDo}HVVXEVHTXHQWHVWRPDGDV
E GRVUHVXOWDGRVGHTXDOTXHUDomRFRUUHWLYD
$RUJDQL]DomRGHYHPHOKRUDUFRQWLQXDPHQWHDDGHTXDomRVX¿FLrQFLDHH¿FiFLDGRVLVWHPDGHJHVWmR
GDTXDOLGDGH
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FRPRSDUWHGHPHOKRULDFRQWtQXD
Anexo A
LQIRUPDWLYR
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RSHUDGRVSHODRUJDQL]DomRHjLQIRUPDomRPDQWLGDSDUDRXWURVSURSyVLWRV
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DTXHODVSDUWHVQmRVmRSHUWLQHQWHVSDUDVHXVLVWHPDGHJHVWmRGDTXDOLGDGH&DEHjRUJDQL]DomR
GHFLGLUVHXPUHTXLVLWRSDUWLFXODUGHXPDSDUWHLQWHUHVVDGDSHUWLQHQWHpSHUWLQHQWHSDUDVHXVLVWHPD
GHJHVWmRGDTXDOLGDGH
8P GRV SURSyVLWRVFKDYH GH XP VLVWHPD GH JHVWmR GD TXDOLGDGH p DWXDU FRPR XPD IHUUDPHQWD
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SUHYHQWLYD 2 FRQFHLWR GH DomR SUHYHQWLYD p H[SUHVVR SRU PHLR GR XVR GH PHQWDOLGDGH GH ULVFR
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1HPWRGRVRVSURFHVVRVGHXPVLVWHPDGHJHVWmRGDTXDOLGDGHUHSUHVHQWDPRPHVPRQtYHOGHULVFR
HP WHUPRV GD FDSDFLGDGH GD RUJDQL]DomR DWLQJLU VHXV REMHWLYRV H RV HIHLWRV GD LQFHUWH]D QmR VmR
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A.5 Aplicabilidade
(VWD1RUPDQmRVHUHIHUHD³H[FOXV}HV´HPUHODomRjDSOLFDELOLGDGHGRVVHXVUHTXLVLWRVDRVLVWHPD
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ELOLGDGHGHUHTXLVLWRVGHYLGRDRSRUWHRXFRPSOH[LGDGHGDRUJDQL]DomRDRPRGHORGHJHVWmRTXHHOD
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encontra.
2VUHTXLVLWRVSDUDDSOLFDELOLGDGHVmRDERUGDGRVHPTXHGH¿QHPFRQGLo}HVVREDVTXDLVXPD
RUJDQL]DomRSRGHGHFLGLUTXHQmRpSRVVtYHODSOLFDUXPUHTXLVLWRDTXDOTXHUGRVSURFHVVRVGHQWUR
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GHSURGXWRVHVHUYLoRV
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GRFXPHQWDGRV´ ³PDQXDO GD TXDOLGDGH´ RX ³SODQR GD TXDOLGDGH´ HVWD HGLomR GHVWD 1RUPD GH¿QH
UHTXLVLWRVSDUD³PDQWHULQIRUPDomRGRFXPHQWDGD´
Onde a ABNT NBR ISO 9001:2008 usou o termo “registros” para denotar documentos necessários
SDUD SURYHU HYLGrQFLD GH FRQIRUPLGDGH FRP UHTXLVLWRV LVVR DJRUD p H[SUHVVR FRPR XP UHTXLVLWR
SDUD³UHWHULQIRUPDomRGRFXPHQWDGD´$RUJDQL]DomRpUHVSRQViYHOSRUGHWHUPLQDUTXDOLQIRUPDomR
GRFXPHQWDGDSUHFLVDVHUUHWLGDRSHUtRGRGHWHPSRSHORTXDOHODGHYHVHUUHWLGDHRPHLRDVHUXVDGR
SDUDVXDUHWHQomR
8PUHTXLVLWRSDUD³PDQWHU´LQIRUPDomRGRFXPHQWDGDQmRH[FOXLDSRVVLELOLGDGHGHTXHDRUJDQL]DomR
SRVVDWDPEpPSUHFLVDU³UHWHU´HVVDPHVPDLQIRUPDomRGRFXPHQWDGDSDUDXPSURSyVLWRSDUWLFXODU
SRUH[HPSORUHWHUYHUV}HVDQWHULRUHVGHOD
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D VDOYDJXDUGDUDRUJDQL]DomRGHSHUGDVGHFRQKHFLPHQWRSRUH[HPSOR
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