Iso 17021 2016

NORMA ABNT NBR
BRASILEIRA ISO/IEC
17021-1
Primeira edição
16.05.2016
Versão corrigida
12.09.2016
Avaliação 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
Número de referência
ABNT NBR ISO/IEC 17021-1:2016
54 páginas
© ISO/IEC 2015 - © ABNT 2016

© ISO/IEC 2015
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escrito da ABNT.
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Sumário Página
Prefácio Nacional ..............................................................................................................................vii

Introdução ...........................................................................................................................................ix
1 Escopo ................................................................................................................................1
2 Referências normativas .....................................................................................................1
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4 Princípios ............................................................................................................................4
4.1 Generalidades.....................................................................................................................4
4.2 Imparcialidade ....................................................................................................................5
4.3 Competência .......................................................................................................................6
4.4 Responsabilidade...............................................................................................................6
4.5 Transparência .....................................................................................................................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 Gestão da imparcialidade ..................................................................................................8
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6 Requisitos de estrutura ...................................................................................................10
6.1 Estrutura organizacional e Alta Direção ........................................................................10
6.2 Controle operacional ....................................................................................................... 11
7 Requisitos de recursos.................................................................................................... 11
7.1 Competência do pessoal ................................................................................................. 11
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7.1.2 Determinação de critérios de competência ................................................................... 11
7.1.3 Processos de avaliação ...................................................................................................12
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7.3 Uso de auditores e especialistas técnicos externos ....................................................13
7.4 Registros do pessoal .......................................................................................................13
7.5 Terceirização.....................................................................................................................14
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© ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados iii

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9 Requisitos dos processos...............................................................................................19
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9.1.1 Solicitação ........................................................................................................................19
9.1.2 Análise crítica da solicitação ..........................................................................................19
9.1.3 Programa de auditoria .....................................................................................................20
9.1.4 Determinação 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 Determinação dos objetivos, escopo e critérios de auditoria .....................................22
9.2.2 Seleção da equipe auditora e designação 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 Condução da reunião de abertura ..................................................................................27
9.4.3 Comunicação durante a auditoria ..................................................................................28
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9.4.7 Condução da reunião de encerramento.........................................................................29
9.4.8 Relatório de auditoria ......................................................................................................30
9.4.9 Análise das causas das não 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 supervisão ................................................................................................33
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9.6.4 Auditorias especiais ........................................................................................................35
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9.9 Registros de clientes .......................................................................................................38
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iv © ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados

10.2 Opção A: Requisitos gerais de sistema de gestão .......................................................39

10.2.1 Generalidades...................................................................................................................39
10.2.2 Manual do sistema de gestão .........................................................................................39
10.2.3 Controle de documentos .................................................................................................39
10.2.4 Controle de registros .......................................................................................................40
10.2.5 Análise crítica pela direção .............................................................................................40
10.2.6 Auditorias internas...........................................................................................................41
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10.3 Opção B: Requisitos de sistema de gestão 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 Análise crítica pela direção .............................................................................................42
Anexo A (normativo) Conhecimentos e habilidades exigidos........................................................43
A.1 Generalidades...................................................................................................................43
A.2 Requisitos de competência para auditores de sistemas de gestão............................44
A.2.1 Conhecimento de práticas de gestão de negócios.......................................................44
A.2.2 Conhecimento de princípios de auditoria, práticas e técnicas ...................................44
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A.2.5 Conhecimento do setor de negócios do cliente ...........................................................44
A.2.6 Conhecimento dos produtos, processos e organização do cliente............................44
A.2.7 Habilidades no idioma apropriadas para todos os níveis dentro da organização do
cliente ................................................................................................................................44
A.2.8 Habilidades para tomar notas e redigir relatórios ........................................................44
A.2.9 Habilidades para apresentação ......................................................................................45
A.2.10 Habilidades de realizar entrevistas ................................................................................45
A.2.11 Habilidades para gestão da auditoria.............................................................................45
A.3 Requisitos de competência para o pessoal que analisa criticamente relatórios de
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A.3.1 Conhecimento dos princípios, práticas e técnicas de auditoria .................................45
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A.4 Requisitos de competência para pessoal que conduz análise crítica da solicitação
para determinar a competência necessária da equipe de auditoria, para selecionar
os membros da equipe de auditoria e para determinar o tempo de auditoria ...........46
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© ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados v

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

Anexo B LQIRUPDWLYRPossíveis métodos de avaliação .................................................................47
B.1 Generalidades...................................................................................................................47
B.2 Análise crítica de registros .............................................................................................47
B.3 Realimentação ..................................................................................................................47
B.4 Entrevistas ........................................................................................................................48
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B.6 Exames ..............................................................................................................................48
Anexo C LQIRUPDWLYR([HPSORGHXPÀX[RGHSURFHVVRSDUDGHWHUPLQDomRHPDQXWHQomR
da competência ................................................................................................................49
Anexo D LQIRUPDWLYRComportamento pessoal desejado .............................................................50
Anexo E LQIRUPDWLYR$XGLWRULDHSURFHVVRGHFHUWL¿FDomR ..........................................................51
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Figuras
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Figura E.1 – Fluxo de processo típico 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

Prefácio Nacional
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Introdução
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partes interessadas.
© ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados ix

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

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

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Parte 1: Requisitos
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FRPR³FHUWL¿FDomR´HRUJDQLVPRVGHDYDOLDomRGDFRQIRUPLGDGHGHWHUFHLUDSDUWHVmRUHIHUHQFLDGRVFRPR
³RUJDQLVPRVGHFHUWL¿FDomR´
127$ 8P RUJDQLVPR GH FHUWL¿FDomR SRGH RX QmR VHU XPD LQVWLWXLomR JRYHUQDPHQWDO FRP RX VHP
DXWRULGDGHUHJXODPHQWDGRUD
127$ (VWDSDUWHGD$%171%5,62,(&SRGHVHUXVDGDFRPRXPGRFXPHQWRGHFULWpULRVSDUD
DFUHGLWDomRRXDYDOLDomRGHSDUHVRXRXWURVSURFHVVRVGHDXGLWRULD
2 Referências normativas
2VGRFXPHQWRVUHODFLRQDGRVDVHJXLUVmRLQGLVSHQViYHLVjDSOLFDomRGHVWHGRFXPHQWR3DUDUHIH-
UrQFLDVGDWDGDVDSOLFDPVHVRPHQWHDVHGLo}HVFLWDGDV3DUDUHIHUrQFLDVQmRGDWDGDVDSOLFDPVH
DVHGLo}HVPDLVUHFHQWHVGRUHIHULGRGRFXPHQWRLQFOXLQGRHPHQGDV
$%171%5,62Sistemas de gestão da qualidade – Fundamentos e vocabulário
$%171%5,62,(&Avaliação de conformidade – Vocabulário e princípios gerais
3 7HUPRVHGH¿QLo}HV
3DUDRVHIHLWRVGHVWHGRFXPHQWRDSOLFDPVHRVVHJXLQWHVWHUPRVHGH¿QLo}HV
3.1
FOLHQWHFHUWL¿FDGR
RUJDQL]DomRFXMRVLVWHPDGHJHVWmRIRLFHUWL¿FDGR
© ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados 1

3.2
imparcialidade
SUHVHQoDGHREMHWLYLGDGH
127$ $REMHWLYLGDGHLPSOLFDDDXVrQFLDGHFRQÀLWRVGHLQWHUHVVHRXDVXDUHVROXomRGHPRGRDQmR
LQÀXHQFLDUGHIRUPDDGYHUVDQDVDWLYLGDGHVVXEVHTXHQWHVGRRUJDQLVPRGHFHUWL¿FDomR
127$ 2XWURVWHUPRV~WHLVSDUDHQWHQGHURHOHPHQWRGHLPSDUFLDOLGDGHLQFOXHP³LQGHSHQGrQFLD´³DXVrQFLD
GHFRQÀLWRVGHLQWHUHVVH´³DXVrQFLDGHWHQGrQFLDV´³QmRGLVFULPLQDomR´´QHXWUDOLGDGH´³HTXLGDGH´³PHQWH
DEHUWD´³MXVWLoD´³GHVSUHQGLPHQWR´³HTXLOtEULR´
3.3
consultoria de sistema de gestão
SDUWLFLSDomRQDLPSODQWDomRLPSOHPHQWDomRRXPDQXWHQomRGHXPVLVWHPDGHJHVWmR
(;(03/2 3UHSDUDomRRXSURGXomRGHPDQXDLVRXSURFHGLPHQWRV
(;(03/2 )RUQHFLPHQWRGHDVVHVVRULDLQVWUXo}HVRXVROXo}HVHVSHFt¿FDVFRPUHODomRDRGHVHQYROYL-
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 HVSHFt¿FDV
SDUDRFOLHQWH
127$ 2 IRUQHFLPHQWR GH LQIRUPDo}HV JHQpULFDV SRUpP QmR VROXo}HV HVSHFt¿FDV SDUD R FOLHQWH SDUD
DPHOKRULDGHSURFHVVRVRXVLVWHPDVQmRpFRQVLGHUDGRFRQVXOWRULD7DOLQIRUPDomRSRGHLQFOXLU
— H[SOLFDomRGRVLJQL¿FDGRHGDLQWHQomRGRVFULWpULRVGHFHUWL¿FDomR
— LGHQWL¿FDomRGHRSRUWXQLGDGHVGHPHOKRULD
— H[SOLFDomRGHWHRULDVDVVRFLDGDVPHWRGRORJLDVWpFQLFDVRXIHUUDPHQWDV
— FRPSDUWLOKDPHQWRGHLQIRUPDomRQmRFRQ¿GHQFLDOVREUHPHOKRUHVSUiWLFDVUHODFLRQDGDV
— RXWURVDVSHFWRVGHJHVWmRTXHQmRHVWHMDPFREHUWRVSHORVLVWHPDGHJHVWmRVHQGRDXGLWDGR
3.4
DXGLWRULDGHFHUWL¿FDomR
DXGLWRULDUHDOL]DGDSRUXPDRUJDQL]DomRGHDXGLWRULDLQGHSHQGHQWHGRFOLHQWHHGDVSDUWHVLQWHUHV-
VDGDVQDFHUWL¿FDomRSDUD¿QVGHFHUWL¿FDomRGRVLVWHPDGHJHVWmRGRFOLHQWH
127$ 1DVGH¿QLo}HVDVHJXLURWHUPR³DXGLWRULD´IRLXVDGRSRUVLPSOLFLGDGHSDUDUHIHULUVHjVDXGLWRULDV
GHFHUWL¿FDomRGHWHUFHLUDSDUWH
127$ $XGLWRULDVGHFHUWL¿FDomRLQFOXHPDXGLWRULDVLQLFLDLVGHVXSHUYLVmRHGHUHFHUWL¿FDomRHWDPEpP
SRGHPLQFOXLUDXGLWRULDVHVSHFLDLV
127$ $XGLWRULDV GH FHUWL¿FDomR VmR WLSLFDPHQWH UHDOL]DGDV SRU HTXLSHV GH DXGLWRULD GRV RUJDQLVPRV
TXHRIHUHFHPFHUWL¿FDomRGHFRQIRUPLGDGHDRVUHTXLVLWRVGDVQRUPDVGHVLVWHPDVGHJHVWmR
127$ 8PDDXGLWRULDFRQMXQWDpTXDQGRGXDVRXPDLVRUJDQL]Do}HVGHDXGLWRULDFRRSHUDPSDUDDXGLWDU
XP~QLFRFOLHQWH
2 © ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados

127$ 8PD DXGLWRULD FRPELQDGD p TXDQGR XP FOLHQWH p DXGLWDGR SHORV UHTXLVLWRV GH GXDV RX PDLV
QRUPDVGHVLVWHPDVGHJHVWmRMXQWDV
127$ 8PDDXGLWRULDLQWHJUDGDpTXDQGRXPFOLHQWHLQWHJUDDDSOLFDomRGRVUHTXLVLWRVGHGXDVRXPDLV
QRUPDVGHVLVWHPDVGHJHVWmRHPXP~QLFRVLVWHPDGHJHVWmRHpDXGLWDGRSRUPDLVGHXPDQRUPD
3.5
cliente
RUJDQL]DomRFXMRVLVWHPDGHJHVWmRpDXGLWDGRSDUD¿QVGHFHUWL¿FDomR
3.6
auditor
SHVVRDTXHUHDOL]DXPDDXGLWRULD
3.7
competência
FDSDFLGDGHSDUDDSOLFDUFRQKHFLPHQWRHKDELOLGDGHVSDUDFRQVHJXLURVUHVXOWDGRVSUHWHQGLGRV
3.8
guia
SHVVRDGHVLJQDGDSHORFOLHQWHSDUDDX[LOLDUDHTXLSHDXGLWRUD
3.9
observador
SHVVRDTXHDFRPSDQKDDHTXLSHDXGLWRUDPDVQmRDXGLWD
3.10
área técnica
iUHD FDUDFWHUL]DGD SRU SURFHVVRV FRP FDUDFWHUtVWLFDV FRPXQV SHUWLQHQWHV D XP WLSR HVSHFt¿FR
GHVLVWHPDGHJHVWmRHVHXVUHVXOWDGRVSUHWHQGLGRV
NOTA Ver Nota de 7.1.2.
3.11
não conformidade
não atendimento a um requisito
3.12
não conformidade maior
QmR FRQIRUPLGDGH TXH DIHWD D FDSDFLGDGH GR VLVWHPD GH JHVWmR GH DWLQJLU RV UHVXOWDGRV
pretendidos
127$ 1mRFRQIRUPLGDGHVSRGHULDPVHUFODVVL¿FDGDVFRPRPDLRUHVQDVVHJXLQWHVFLUFXQVWkQFLDV
— VHKRXYHUXPDG~YLGDVLJQL¿FDWLYDGHTXHKiXPFRQWUROHHIHWLYRGHSURFHVVRRXGHTXHSURGXWRV
RXVHUYLoRVLUmRDWHQGHUDRVUHTXLVLWRVHVSHFL¿FDGRV
— XPQ~PHURGHQmRFRQIRUPLGDGHVPHQRUHVDVVRFLDGDVDRPHVPRUHTXLVLWRRXDVVXQWRSRGHULD
GHPRQVWUDUXPDIDOKDVLVWrPLFDHDVVLPFRQVWLWXLUXPDQmRFRQIRUPLGDGHPDLRU
3.13
não conformidade menor
QmRFRQIRUPLGDGHTXHQmRDIHWDDFDSDFLGDGHGRVLVWHPDGHJHVWmRGHDWLQJLURVUHVXOWDGRV
pretendidos

3.14
especialista técnico
SHVVRDTXHIRUQHFHFRQKHFLPHQWRHVSHFt¿FRRXH[SHUWLVHjHTXLSHDXGLWRUD
127$ &RQKHFLPHQWRHVSHFt¿FRRXH[SHUWLVHpUHODWLYRjRUJDQL]DomRDRSURFHVVRRXjDWLYLGDGHDVHU
auditada.
3.15
HVTXHPDGHFHUWL¿FDomR
VLVWHPD GH DYDOLDomR GD FRQIRUPLGDGH UHODWLYR DRV VLVWHPDV GH JHVWmR SDUD RV TXDLV RV PHVPRV
UHTXLVLWRVHVSHFL¿FDGRVUHJUDVHSURFHGLPHQWRVHVSHFt¿FRVVHDSOLFDP
3.16
tempo de auditoria
WHPSR QHFHVViULR SDUD SODQHMDU H FRQFOXLU XPD DXGLWRULD FRPSOHWD H HIHWLYD GR VLVWHPD GH JHVWmR
GDRUJDQL]DomRFOLHQWH
3.17
GXUDomRGHDXGLWRULDVGHFHUWL¿FDomRGHVLVWHPDGHJHVWmR
SDUWHGRWHPSRGHDXGLWRULDGHVSHQGLGRFRQGX]LQGRDWLYLGDGHVGHVGHDUHXQLmRGHDEHUWXUD
DWpDUHXQLmRGHHQFHUUDPHQWRLQFOXVLYH
127$ $WLYLGDGHVGHDXGLWRULDQRUPDOPHQWHLQFOXHP
— FRQGXomRGDUHXQLmRGHDEHUWXUD
— UHDOL]DomRGHDQiOLVHFUtWLFDGDGRFXPHQWDomRHQTXDQWRFRQGX]DDXGLWRULD
— FRPXQLFDomRGXUDQWHDDXGLWRULD
— GHVLJQDomRGHWDUHIDVHUHVSRQVDELOLGDGHVGHJXLDVHREVHUYDGRUHV
— FROHWDHYHUL¿FDomRGHLQIRUPDomR
— JHUDomRGHFRQVWDWDo}HVGHDXGLWRULD
— SUHSDUDomRGDVFRQFOXV}HV
— FRQGXomRGDUHXQLmRGHHQFHUUDPHQWR
4 Princípios
4.1 Generalidades
4.1.1 2V SULQFtSLRV GHVFULWRV QHVWD 6HomR IRUQHFHP D EDVH SDUD R GHVHPSHQKR HVSHFt¿FR
VXEVHTXHQWHHSDUDRVUHTXLVLWRVGHVFULWRVQHVWDSDUWHGD$%171%5,62,(&(VWDSDUWHGD
$%17 1%5 ,62,(& QmR RIHUHFH UHTXLVLWRV HVSHFt¿FRV SDUD WRGDV DV VLWXDo}HV TXH
SRVVDPRFRUUHU&RQYpPDSOLFDUHVWHVSULQFtSLRVFRPRRULHQWDomRSDUDWRPDUGHFLV}HVTXHSRGHP
VHUQHFHVViULDVHPVLWXDo}HVLPSUHYLVWDV3ULQFtSLRVQmRVmRUHTXLVLWRV
4.1.2 2REMHWLYRJHUDOGDFHUWL¿FDomRpSURSRUFLRQDUFRQ¿DQoDDWRGDVDVSDUWHVTXHXPVLVWHPD
GH JHVWmR DWHQGH D UHTXLVLWRV HVSHFt¿FRV 2 YDORU GD FHUWL¿FDomR p R JUDX GH FRQ¿DQoD S~EOLFD
HVWDEHOHFLGD SRU PHLR GH XPD DYDOLDomR FRPSHWHQWH H LPSDUFLDO UHDOL]DGD SRU XPD WHUFHLUD SDUWH
$VSDUWHVFRPLQWHUHVVHQDFHUWL¿FDomRLQFOXHPHQWUHRXWUDV
௘D FOLHQWHVGRVRUJDQLVPRVGHFHUWL¿FDomR

௘E FOLHQWHVGDVRUJDQL]Do}HVFXMRVVLVWHPDVGHJHVWmRHVWmRFHUWL¿FDGRV
௘F DXWRULGDGHVJRYHUQDPHQWDLV
௘G RUJDQL]Do}HVQmRJRYHUQDPHQWDLV
௘H FRQVXPLGRUHVHRXWURVPHPEURVGRS~EOLFR
4.1.3 2VSULQFtSLRVSDUDLQVSLUDUFRQ¿DQoDLQFOXHP
— LPSDUFLDOLGDGH
— FRPSHWrQFLD
— UHVSRQVDELOLGDGH
— WUDQVSDUrQFLD
— FRQ¿GHQFLDOLGDGH
— FDSDFLGDGHGHUHVSRVWDDUHFODPDo}HV
— DERUGDJHPEDVHDGDHPULVFR
127$ (VWD SDUWH GD $%17 1%5 ,62,(& GH¿QH RV SULQFtSLRV GD FHUWL¿FDomR 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 FHUWL¿FDomR SRVVD RIHUHFHU XPD FHUWL¿FDomR TXH SURSRUFLRQH
FRQ¿DQoDpQHFHVViULRTXHHOHVHMDLPSDUFLDOHSHUFHELGRFRPRWDOeLPSRUWDQWHTXHWRGRRSHVVRDO
LQWHUQRHH[WHUQRHVWHMDFRQVFLHQWHGDQHFHVVLGDGHGHLPSDUFLDOLGDGH
4.2.2 2 IDWR GH D IRQWH GH UHFHLWD GH XP RUJDQLVPR GH FHUWL¿FDomR SURYLU GR SDJDPHQWR GH VHX
FOLHQWHSHODFHUWL¿FDomRFRQVWLWXLXPDDPHDoDSRWHQFLDOjLPSDUFLDOLGDGH
4.2.3 3DUDREWHUHPDQWHUDFRQ¿DQoDpHVVHQFLDOTXHDVGHFLV}HVGHXPRUJDQLVPRGHFHUWL¿FDomR
VHMDP EDVHDGDV HP HYLGrQFLDV REMHWLYDV GH FRQIRUPLGDGH RX QmR FRQIRUPLGDGH REWLGDV SHOR
RUJDQLVPRGHFHUWL¿FDomRHTXHVXDVGHFLV}HVQmRVHMDPLQÀXHQFLDGDVSRURXWURVLQWHUHVVHVRXSRU
outras partes.
4.2.4 $VDPHDoDVjLPSDUFLDOLGDGHSRGHPLQFOXLUPDVQmRVHOLPLWDPDRVHJXLQWH
௘D ,QWHUHVVHSUySULRDPHDoDVTXHVXUJHPGHXPDSHVVRDRXRUJDQLVPRTXHDWXDHPVHXSUySULR
LQWHUHVVH 2 LQWHUHVVH ¿QDQFHLUR SUySULR UHSUHVHQWD XPD DPHDoD VXVFHWtYHO GH FRPSURPHWHU
DLPSDUFLDOLGDGHGHXPDFHUWL¿FDomR
௘E $XWR DYDOLDomR DPHDoDV TXH VXUJHP GH XPD SHVVRD RX RUJDQLVPR TXH DYDOLD R VHX SUySULR
WUDEDOKR$DXGLWRULDGRVVLVWHPDVGHJHVWmRGHXPFOLHQWHSDUDRTXDORRUJDQLVPRGHFHUWL¿FDomR
IRUQHFHXFRQVXOWRULDVREUHVLVWHPDVGHJHVWmRVHULDXPDDPHDoDGHVWHWLSR
௘F )DPLOLDULGDGHRXFRQ¿DQoDDPHDoDVTXHVXUJHPGHXPDSHVVRDRXRUJDQLVPRTXHSRUVHU

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

4.3 Competência
4.3.1 $ FRPSHWrQFLD GR SHVVRDO GR RUJDQLVPR GH FHUWL¿FDomR HP WRGDV DV IXQo}HV HQYROYLGDV
QDVDWLYLGDGHVGHFHUWL¿FDomRpQHFHVViULDSDUDRIHUHFHUXPDFHUWL¿FDomRTXHSURSRUFLRQHFRQ¿DQoD
4.3.2 $ FRPSHWrQFLD WDPEpP SUHFLVD VHU PDQWLGD SHOR VLVWHPD GH JHVWmR GR RUJDQLVPR GH
FHUWL¿FDomR
4.3.3 eFUtWLFRSDUDDGLUHomRGRRUJDQLVPRGHFHUWL¿FDomRWHUXPSURFHVVRLPSOHPHQWDGRSDUDD
GH¿QLomRGRVFULWpULRVGHFRPSHWrQFLDSDUDRSHVVRDOHQYROYLGRQDDXGLWRULDHHPRXWUDVDWLYLGDGHV
GHFHUWL¿FDomRHSDUDUHDOL]DUDYDOLDomRFRPEDVHQRVFULWpULRV
4.4 Responsabilidade
4.4.1 2 FOLHQWH FHUWL¿FDGR H QmR R RUJDQLVPR GH FHUWL¿FDomR p TXHP SRVVXL D UHVSRQVDELOLGDGH
SRU FRQVLVWHQWHPHQWH DOFDQoDU RV UHVXOWDGRV SUHWHQGLGRV GD LPSOHPHQWDomR GD QRUPD GH VLVWHPD
GHJHVWmRHSHODFRQIRUPLGDGHFRPRVUHTXLVLWRVSDUDFHUWL¿FDomR
4.4.2 2 RUJDQLVPR GH FHUWL¿FDomR p UHVSRQViYHO SRU DYDOLDU HYLGrQFLDV REMHWLYDV VX¿FLHQWHV QDV
TXDLVSRVVDEDVHDUXPDGHFLVmRGHFHUWL¿FDomR&RPEDVHQDVFRQFOXV}HVGHDXGLWRULDRRUJDQLVPR
WRPDDGHFLVmRGHFRQFHGHUDFHUWL¿FDomRVHKRXYHUHYLGrQFLDVX¿FLHQWHGHFRQIRUPLGDGHRXGHQmR
FRQFHGHUDFHUWL¿FDomRVHQmRKRXYHUHYLGrQFLDVX¿FLHQWHGHFRQIRUPLGDGH
127$ 4XDOTXHUDXGLWRULDEDVHLDVHHPDPRVWUDJHPGHQWURGRVLVWHPDGHJHVWmRGHXPDRUJDQL]DomR
HSRUWDQWRQmRpXPDJDUDQWLDGHGHFRQIRUPLGDGHFRPRVUHTXLVLWRV
4.5 Transparência
4.5.1 8P RUJDQLVPR GH FHUWL¿FDomR SUHFLVD RIHUHFHU DFHVVR S~EOLFR RX GLYXOJDU LQIRUPDo}HV
DSURSULDGDV H RSRUWXQDV VREUH VHX SURFHVVR GH DXGLWRULD H GH FHUWL¿FDomR H VREUH D VLWXDomR GD
FHUWL¿FDomRRXVHMDDFRQFHVVmRPDQXWHQomRGDFHUWL¿FDomRH[SDQVmRRXUHGXomRGHHVFRSRGD
FHUWL¿FDomR UHQRYDomR VXVSHQVmR RX UHVWDXUDomR RX FDQFHODPHQWR GD FHUWL¿FDomR GH TXDOTXHU
RUJDQL]DomRD¿PGHREWHUFRQ¿DQoDQDLQWHJULGDGHHFUHGLELOLGDGHGDVFHUWL¿FDo}HV7UDQVSDUrQFLD
pXPSULQFtSLRGHDFHVVRRXGLYXOJDomRGHLQIRUPDo}HVDSURSULDGDV
4.5.2 3DUD REWHU RX PDQWHU FRQ¿DQoD QD FHUWL¿FDomR FRQYpP TXH XP RUJDQLVPR GH FHUWL¿FDomR
RIHUHoDDFHVVRDSURSULDGRRXGLYXOJXHLQIRUPDo}HVTXHQmRVHMDPFRQ¿GHQFLDLVVREUHDVFRQFOXV}HV
GHDXGLWRULDVHVSHFt¿FDVSRUH[HPSORDXGLWRULDVHPUHVSRVWDDUHFODPDo}HVDSDUWHVLQWHUHVVDGDV
HVSHFt¿FDV
4.6 &RQ¿GHQFLDOLGDGH
3DUD REWHU DFHVVR SULYLOHJLDGR jV LQIRUPDo}HV TXH VmR QHFHVViULDV SDUD DYDOLDU DGHTXDGDPHQWH
DFRQIRUPLGDGHFRPRVUHTXLVLWRVGHFHUWL¿FDomRpHVVHQFLDOTXHXPRUJDQLVPRGHFHUWL¿FDomRQmR
GLYXOJXHTXDOTXHULQIRUPDomRFRQ¿GHQFLDO
4.7 &DSDFLGDGHGHUHVSRVWDDUHFODPDo}HV
$VSDUWHVTXHFRQ¿DPQDFHUWL¿FDomRHVSHUDPWHUDVVXDVUHFODPDo}HVLQYHVWLJDGDVHFDVRVHMDP
SURFHGHQWHVFRQYpPTXHWHQKDPFRQ¿DQoDGHTXHHVWDVUHFODPDo}HVVHUmRWUDWDGDVDGHTXDGDPHQWH
H FRP UD]RiYHO HPSHQKR SHOR RUJDQLVPR GH FHUWL¿FDomR SDUD VHUHP VROXFLRQDGDV$ H¿FiFLD GD
FDSDFLGDGH GH UHVSRVWD D UHFODPDo}HV p XP PHLR LPSRUWDQWH GH SURWHomR SDUD R RUJDQLVPR GH
FHUWL¿FDomRVHXVFOLHQWHVHRXWURVXVXiULRVGHFHUWL¿FDomRFRQWUDHUURVRPLVV}HVRXFRPSRUWDPHQWR
LPSUySULR$FRQ¿DQoDQDVDWLYLGDGHVGHFHUWL¿FDomRpVDOYDJXDUGDGD TXDQGRDVUHFODPDo}HVVmR
tratadas adequadamente.

127$ eQHFHVViULRPDQWHUXPHTXLOtEULRDGHTXDGRHQWUHRVSULQFtSLRVGHWUDQVSDUrQFLDHGHFRQ¿GHQ-
FLDOLGDGHLQFOXVLYHFDSDFLGDGHGHUHVSRVWDDUHFODPDo}HVD¿PGHGHPRQVWUDULQWHJULGDGHHFUHGLELOLGDGH
SDUDWRGRVRVXVXiULRVGHFHUWL¿FDomR
4.8 Abordagem baseada em risco
2UJDQLVPRV GH FHUWL¿FDomR SUHFLVDP OHYDU HP FRQVLGHUDomR RV ULVFRV DVVRFLDGRV D RIHUHFHU
FHUWL¿FDomRFRPSHWHQWHFRHUHQWHHLPSDUFLDO5LVFRVSRGHPLQFOXLUPDVQmRVHOLPLWDPDDTXHOHV
associados a:
— REMHWLYRVGDDXGLWRULD
— DPRVWUDJHPXVDGDQRSURFHVVRGHDXGLWRULD
— LPSDUFLDOLGDGHUHDOHSHUFHELGD
— DVVXQWRVOHJDLVUHJXODWyULRVHGHUHVSRQVDELOLGDGHFLYLO
— RUJDQL]DomRGRFOLHQWHVHQGRDXGLWDGDHVHXDPELHQWHRSHUDFLRQDO
— LPSDFWRGDDXGLWRULDQRFOLHQWHHVXDVDWLYLGDGHV
— VD~GHHVHJXUDQoDGDVHTXLSHVDXGLWRUDV
— SHUFHSomRGDVSDUWHVLQWHUHVVDGDV
— D¿UPDo}HVGRFOLHQWHFHUWL¿FDGRTXHLQGX]DPDRHUUR
— uso de marcas.
5 Requisitos gerais
5.1 Aspectos legais e contratuais
5.1.1 Responsabilidade legal
2RUJDQLVPRGHFHUWL¿FDomRGHYHVHUXPDHQWLGDGHFRPSHUVRQDOLGDGHMXUtGLFDSUySULDRXXPDSDUWH
GH¿QLGDGHXPDHQWLGDGHFRPSHUVRQDOLGDGHMXUtGLFDSUySULDTXHSRVVDVHUUHVSRQViYHOOHJDOPHQWHSRU
WRGDVDVVXDVDWLYLGDGHVGHFHUWL¿FDomR8PRUJDQLVPRGHFHUWL¿FDomRJRYHUQDPHQWDOpFRQVLGHUDGR
HQWLGDGHOHJDOFRPEDVHHPVHXHVWDWXWRJRYHUQDPHQWDO
5.1.2 &RQWUDWRGHFHUWL¿FDomR
2 RUJDQLVPR GH FHUWLILFDomR GHYH WHU XP FRQWUDWR OHJDO H YLJHQWH FRP FDGD FOLHQWH SDUD R
IRUQHFLPHQWRGHDWLYLGDGHVGHFHUWLILFDomRGHDFRUGRFRPRVUHTXLVLWRVSHUWLQHQWHVGHVWDSDUWH
GD $%17 1%5 ,62,(& $OpP GLVVR TXDQGR RV RUJDQLVPRV GH FHUWLILFDomR SRVVXtUHP
GLYHUVRV HVFULWyULRV RX XP FOLHQWH SRVVXLU YiULRV ORFDLV R RUJDQLVPR GH FHUWLILFDomR GHYH
DVVHJXUDU D H[LVWrQFLD GH XP FRQWUDWR OHJDO H YLJHQWH HQWUH R RUJDQLVPR GH FHUWLILFDomR TXH
FRQFHGHDFHUWLILFDomRHRFOLHQWHTXHFXEUDWRGRVRVORFDLVLQFOXVRVQRHVFRSRGDFHUWLILFDomR
127$ 8PDFRUGRSRGHVHUFRQVHJXLGRDWUDYpVGHP~OWLSORVDFRUGRVTXHUHIHUHQFLHPRXSRURXWURODGR
associem-se um ao outro.

5.1.3 5HVSRQVDELOLGDGHSHODVGHFLV}HVGHFHUWL¿FDomR
2RUJDQLVPRGHFHUWL¿FDomRGHYHVHUUHVSRQViYHOHPDQWHUDXWRULGDGHSRUVXDVGHFLV}HVHPUHODomR
j FHUWL¿FDomR LQFOXLQGR FRQFHVVmR UHFXVD PDQXWHQomR GD FHUWL¿FDomR H[SDQVmR RX UHGXomR
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por estas partes interessadas.
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6 Requisitos de estrutura
6.1 Estrutura organizacional e Alta Direção
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GH FHUWL¿FDomR RIHUHFLGDV SRU ¿OLDLV SDUFHLURV DJHQWHV IUDQTXHDGRV HWF LQGHSHQGHQWHPHQWH
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7 Requisitos de recursos
7.1 Competência do pessoal
7.1.1 &RQVLGHUDo}HVJHUDLV
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7.1.3 Processos de avaliação
2 RUJDQLVPR GH FHUWL¿FDomR GHYH WHU SURFHVVRV GRFXPHQWDGRV SDUD D DYDOLDomR LQLFLDO
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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 FHUWL¿FDomR GHYH PDQWHU
FRQ¿GHQFLDLV WRGDV DV LQIRUPDo}HV REWLGDV RX JHUDGDV GXUDQWH D UHDOL]DomR GDV DWLYLGDGHV
GRRUJDQLVPRGHFHUWL¿FDomRH[FHWRVHUHTXHULGRSRUOHL
8.4.7 2RUJDQLVPRGHFHUWL¿FDomRGHYHWHUSURFHVVRVHTXDQGRDSOLFiYHOHTXLSDPHQWRVHLQVWDOD-
o}HVTXHJDUDQWDPDVHJXUDQoDQRWUDWDPHQWRGHLQIRUPDo}HVFRQ¿GHQFLDLV

8.5 7URFDGHLQIRUPDo}HVHQWUHXPRUJDQLVPRGHFHUWL¿FDomRHVHXVFOLHQWHV
8.5.1 ,QIRUPDo}HVVREUHDDWLYLGDGHHRVUHTXLVLWRVGHFHUWL¿FDomR
2RUJDQLVPRGHFHUWL¿FDomRGHYHIRUQHFHUHDWXDOL]DUVHXVFOLHQWHVVREUHDVVHJXLQWHVLQIRUPDo}HV
௘D XPDGHVFULomRGHWDOKDGDGDDWLYLGDGHLQLFLDOHFRQWtQXDGHFHUWL¿FDomRLQFOXLQGRDVROLFLWDomR
DXGLWRULDV LQLFLDLV DXGLWRULDV GH VXSHUYLVmR H SURFHVVR SDUD FRQFHVVmR UHFXVD PDQXWHQomR
GD FHUWL¿FDomR H[SDQVmR RX UHGXomR GR HVFRSR GD FHUWL¿FDomR UHQRYDomR VXVSHQVmR
RXUHVWDXUDomRRXFDQFHODPHQWRGDFHUWL¿FDomR
௘E RVUHTXLVLWRVQRUPDWLYRVSDUDFHUWL¿FDomR
௘F LQIRUPDo}HVVREUHDVWD[DVFREUDGDVSDUDVROLFLWDomRFHUWL¿FDomRLQLFLDOHPDQXWHQomR
௘G UHTXLVLWRVGRRUJDQLVPRGHFHUWL¿FDomRSDUDTXHRVFOLHQWHV
௘ DWHQGDPDRVUHTXLVLWRVGHFHUWL¿FDomR
௘ WRPHPWRGDVDVPHGLGDVQHFHVViULDVSDUDDUHDOL]DomRGDVDXGLWRULDVLQFOXLQGRDVGLVSRVLo}HV
SDUDDQiOLVHGDGRFXPHQWDomRHRDFHVVRDWRGRVRVSURFHVVRVHiUHDVUHJLVWURVHSHVVRDO
SDUD¿QVGHFHUWL¿FDomRLQLFLDOVXSHUYLVmRUHFHUWL¿FDomRHVROXomRGHUHFODPDo}HVH
௘ WRPHP SURYLGrQFLDV TXDQGR DSOLFiYHO SDUD DFRPRGDU D SUHVHQoD GH REVHUYDGRUHV

SRUH[HPSORDXGLWRUHVGHDFUHGLWDomRRXDXGLWRUHVHPWUHLQDPHQWR
௘H GRFXPHQWRVGHVFUHYHQGRRVGLUHLWRVHGHYHUHVGRVFOLHQWHVFHUWL¿FDGRVLQFOXLQGRUHTXLVLWRVDR
ID]HUUHIHUrQFLDjVXDFHUWL¿FDomRHPTXDOTXHUWLSRGHFRPXQLFDomRGHDFRUGRFRPRVUHTXLVLWRV
GH
௘I LQIRUPDo}HVVREUHSURFHVVRVSDUDWUDWDUUHFODPDo}HVHDSHODo}HV
8.5.2 1RWL¿FDomRGHDOWHUDo}HVSHORRUJDQLVPRGHFHUWL¿FDomR
2RUJDQLVPRGHFHUWL¿FDomRGHYHLQIRUPDUGHYLGDPHQWHDVHXVFOLHQWHVFHUWL¿FDGRVVREUHTXDLVTXHU
DOWHUDo}HVHPVHXVUHTXLVLWRVSDUDFHUWL¿FDomR2RUJDQLVPRGHFHUWL¿FDomRGHYHYHUL¿FDUVHFDGD
FOLHQWHFHUWL¿FDGRDWHQGHDRVQRYRVUHTXLVLWRV
8.5.3 1RWL¿FDomRGHDOWHUDo}HVSHORFOLHQWHFHUWL¿FDGR
2RUJDQLVPRGHFHUWL¿FDomRGHYHWHUDFRUGRVOHJDLVHYLJHQWHVSDUDDVVHJXUDUTXHRFOLHQWHFHUWL¿FDGR
LQIRUPHDRRUJDQLVPRGHFHUWL¿FDomRVHPGHPRUDGDVTXHVW}HVTXHSRVVDPDIHWDUDFDSDFLGDGH
GRVLVWHPDGHJHVWmRGHFRQWLQXDUDDWHQGHUDRVUHTXLVLWRVGDQRUPDXVDGDSDUDFHUWL¿FDomR(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}HVDEUDQJLGDVSHORVLVWHPDGHJHVWmRFHUWL¿FDGR
௘H DOWHUDo}HVVLJQL¿FDWLYDVQRVLVWHPDGHJHVWmRHQRVSURFHVVRV
2RUJDQLVPRGHFHUWL¿FDomRGHYHWRPDUDo}HVFRQIRUPHDSURSULDGR

9 Requisitos dos processos

9.1 $WLYLGDGHVGHSUpFHUWL¿FDomR
9.1.1 Solicitação
2RUJDQLVPRGHFHUWL¿FDomRGHYHH[LJLUTXHXPUHSUHVHQWDQWHDXWRUL]DGRGDRUJDQL]DomRVROLFL-
WDQWHIRUQHoDDVLQIRUPDo}HVQHFHVViULDVSDUDOKHSHUPLWLUHVWDEHOHFHURVHJXLQWH
௘D RHVFRSRGHVHMDGRGDFHUWL¿FDomR
௘E GHWDOKHV SHUWLQHQWHV GD RUJDQL]DomR VROLFLWDQWH FRQIRUPH UHTXHULGR SHOR HVTXHPD GH
FHUWL¿FDomRHVSHFt¿FRLQFOXLQGRVHXQRPHHRHQGHUHoRGDVVXDVSODQWDVVHXVSURFHVVRVH
RSHUDo}HV UHFXUVRV WpFQLFRV H KXPDQRV IXQo}HV UHODFLRQDPHQWRV H TXDLVTXHU REULJDo}HV
OHJDLVSHUWLQHQWHV
௘F LGHQWL¿FDomRGHWRGRVRVSURFHVVRVWHUFHLUL]DGRVXVDGRVSHODRUJDQL]DomRTXHDIHWDUmRDFRQIRU-
PLGDGHFRPRVUHTXLVLWRV
௘G DVQRUPDVRXRXWURVUHTXLVLWRVSDUDRVTXDLVDRUJDQL]DomRVROLFLWDQWHEXVFDFHUWL¿FDomR
௘H VHFRQVXOWRULDUHODWLYDDRVLVWHPDGHJHVWmRDVHUFHUWL¿FDGRIRLIRUQHFLGDHVHVLPTXHPIRUQHFHX
9.1.2 Análise crítica da solicitação
9.1.2.1 2RUJDQLVPRGHFHUWL¿FDomRGHYHUHDOL]DUXPDDQiOLVHFUtWLFDGDVROLFLWDomRHGDVLQIRUPD-
o}HVVXSOHPHQWDUHVGHFHUWL¿FDomRSDUDDVVHJXUDUTXH
௘D DV LQIRUPDo}HV VREUH D RUJDQL]DomR VROLFLWDQWH H VHX VLVWHPD GH JHVWmR VHMDP VX¿FLHQWHV
SDUDGHVHQYROYHUXPSURJUDPDGHDXGLWRULDYHU
௘E TXDOTXHUGLIHUHQoDUHFRQKHFLGDGHLQWHUSUHWDomRHQWUHRRUJDQLVPRGHFHUWL¿FDomRHDRUJDQL-
]DomRVROLFLWDQWHVHMDUHVROYLGD
௘F R RUJDQLVPR GH FHUWL¿FDomR WHQKD FRPSHWrQFLD H FDSDFLGDGH SDUD H[HFXWDU D DWLYLGDGH

GHFHUWL¿FDomR
௘G RHVFRSRVROLFLWDGRSDUDDFHUWL¿FDomRDVSODQWDVGDVRSHUDo}HVGDRUJDQL]DomRVROLFLWDQWH

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

9.1.3 Programa de auditoria
9.1.3.1 8P SURJUDPD GH DXGLWRULD SDUD R FLFOR FRPSOHWR GH FHUWL¿FDomR GHYH VHU HODERUDGR SDUD
LGHQWL¿FDUFODUDPHQWHDVDWLYLGDGHVGHDXGLWRULDQHFHVViULDVSDUDGHPRQVWUDUTXHRVLVWHPDGH
JHVWmRGRFOLHQWHDWHQGHDRVUHTXLVLWRVSDUDFHUWL¿FDomRSDUDDVQRUPDVVHOHFLRQDGDVRXRXWURV
GRFXPHQWRV QRUPDWLYRV 2 SURJUDPD GH DXGLWRULD SDUD R FLFOR GH FHUWL¿FDomR GHYH FREULU WRGRV
os requisitos do sistema de gestão.
9.1.3.2 2SURJUDPDGHDXGLWRULDSDUDDFHUWL¿FDomRLQLFLDOGHYHLQFOXLUXPDDXGLWRULDLQLFLDOHPGXDV
IDVHVDXGLWRULDVGHVXSHUYLVmRQRSULPHLURHQRVHJXQGRDQRVDSyVDGHFLVmRGHFHUWL¿FDomRHXPD
DXGLWRULDGHUHFHUWL¿FDomRQRWHUFHLURDQRDQWHVGRYHQFLPHQWRGDFHUWL¿FDomR2SULPHLURFLFORGH
FHUWL¿FDomRGHWUrVDQRVLQLFLDVHFRPDGHFLVmRGHFHUWL¿FDomR2VFLFORVVXEVHTXHQWHVLQLFLDPFRP
DGHFLVmRGHUHFHUWL¿FDomRYHU$GHWHUPLQDomRGRSURJUDPDGHDXGLWRULDHGHTXDLVTXHU
DMXVWHV VXEVHTXHQWHV GHYH FRQVLGHUDU R WDPDQKR GR FOLHQWH R HVFRSR H D FRPSOH[LGDGH GH VHX
VLVWHPDGHJHVWmRSURGXWRVHSURFHVVRVDVVLPFRPRRQtYHOGHPRQVWUDGRGHH¿FiFLDGRVLVWHPD
GHJHVWmRHRVUHVXOWDGRVGHTXDLVTXHUDXGLWRULDVDQWHULRUHV
127$ 2$QH[R(FRQWpPXPÀX[RJUDPDGHXPSURFHVVRWtSLFRGHDXGLWRULDHFHUWL¿FDomR
127$ $ OLVWD D VHJXLU FRQWpP LWHQV DGLFLRQDLV TXH SRGHP VHU FRQVLGHUDGRV DR VH HODERUDU RX UHYLVDU
XPSURJUDPDGHDXGLWRULDWDPEpPSRGHVHUQHFHVViULRDERUGiORVQDGHWHUPLQDomRGRHVFRSRGDDXGLWRULD
HHODERUDomRGHSODQRGHDXGLWRULD
— UHFODPDo}HVUHFHELGDVSHORRUJDQLVPRGHFHUWL¿FDomRVREUHRFOLHQWH
— DXGLWRULDFRPELQDGDLQWHJUDGDRXFRQMXQWD
— PXGDQoDVQRVUHTXLVLWRVGHFHUWL¿FDomR
— PXGDQoDVQRVUHTXLVLWRVOHJDLV
— PXGDQoDVQRVUHTXLVLWRVGHDFUHGLWDomR
— GDGRVGHGHVHPSHQKRRUJDQL]DFLRQDOSRUH[HPSORtQGLFHVGHGHIHLWRGDGRVGH.3,
— SUHRFXSDo}HVGDVSDUWHVLQWHUHVVDGDVSHUWLQHQWHV
127$ &DVR HVSHFL¿FDGR SHOR HVTXHPD GH FHUWL¿FDomR HVSHFt¿FR GD LQG~VWULD R FLFOR GH FHUWL¿FDomR
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 UHFHUWL¿FDomR $ GDWD GD SULPHLUD DXGLWRULD GH VXSHUYLVmR DSyV D
FHUWL¿FDomRLQLFLDOQmRSRGHXOWUDSDVVDUPHVHVDSDUWLUGDGDWDGDGHFLVmRGDFHUWL¿FDomR
127$ 3RGH VHU QHFHVViULR DMXVWDU D IUHTXrQFLD GDV DXGLWRULDV GH VXSHUYLVmR SDUD DFRPRGDU IDWRUHV
FRPR VD]RQDOLGDGH RX FHUWL¿FDomR GH VLVWHPDV GH JHVWmR GH GXUDomR OLPLWDGD SRU H[HPSOR SODQWDV
GHFRQVWUXomRWHPSRUiULDV
9.1.3.4 4XDQGR XP RUJDQLVPR GH FHUWL¿FDomR OHYDU HP FRQWD FHUWL¿FDomR Mi FRQFHGLGD DR FOLHQWH H
DXGLWRULDVUHDOL]DGDVSRURXWURRUJDQLVPRGHFHUWL¿FDomRHOHGHYHREWHUHPDQWHUHYLGrQFLDVVX¿FLHQWHV
FRPRUHODWyULRVHGRFXPHQWDomRGHDo}HVFRUUHWLYDVSDUDTXDOTXHUQmRFRQIRUPLGDGH$GRFXPHQWDomR
deve demonstrar o atendimento aos requisitos desta parte da ABNT NBR ISO/IEC 17021. O organismo
GHFHUWL¿FDomRGHYHEDVHDGRQDLQIRUPDomRREWLGDMXVWL¿FDUHUHJLVWUDUTXDLVTXHUDMXVWHVDRSURJUDPD
GHDXGLWRULDH[LVWHQWHHDFRPSDQKDUDLPSOHPHQWDomRGHDo}HVFRUUHWLYDVUHODWLYDVDQmRFRQIRUPL-
dades anteriores.

9.1.3.5 2QGHRFOLHQWHRSHUDHPUHJLPHGHWXUQRVDVDWLYLGDGHVTXHDFRQWHFHPGXUDQWHRWXUQRGH
WUDEDOKRGHYHPVHUFRQVLGHUDGDVQDHODERUDomRGRSURJUDPDGHDXGLWRULDHQRVSODQRVGHDXGLWRULD
9.1.4 Determinação do tempo de auditoria
9.1.4.1 2RUJDQLVPRGHFHUWL¿FDomRGHYHWHUSURFHGLPHQWRVGRFXPHQWDGRVSDUDGHWHUPLQDURWHPSR
GH DXGLWRULD 3DUD FDGD FOLHQWH HOH GHYH FDOFXODU R WHPSR QHFHVViULR SDUD SODQHMDU H UHDOL]DU XPD
DXGLWRULDFRPSOHWDHH¿FD]GRVLVWHPDGHJHVWmRGRFOLHQWH
9.1.4.2 $R GHWHUPLQDU R WHPSR GH DXGLWRULD R RUJDQLVPR GH FHUWL¿FDomR GHYH FRQVLGHUDU HQWUH
RXWURVRVVHJXLQWHVDVSHFWRV
௘D RVUHTXLVLWRVGDQRUPDGHVLVWHPDGHJHVWmRSHUWLQHQWH
௘E FRPSOH[LGDGHGRFOLHQWHHVHXVLVWHPDGHJHVWmR
௘F FRQWH[WRWHFQROyJLFRHUHJXODWyULR
௘G TXDOTXHUWHUFHLUL]DomRGHTXDLVTXHUDWLYLGDGHVLQFOXtGDVQRHVFRSRGRVLVWHPDGHJHVWmR
௘H RVUHVXOWDGRVGHTXDLVTXHUDXGLWRULDVDQWHULRUHV
௘I RWDPDQKRHRQ~PHURGHORFDLVVXDORFDOL]DomRJHRJUi¿FDHFRQVLGHUDo}HVGHPXOWLVLWH
௘J RVULVFRVDVVRFLDGRVDRVSURGXWRVSURFHVVRVRXDWLYLGDGHVGDRUJDQL]DomR
௘K VHDVDXGLWRULDVVmRFRPELQDGDVFRQMXQWDVRXLQWHJUDGDV
127$ 2 WHPSR JDVWR HP GHVORFDPHQWR SDUD FKHJDU H GHL[DU RV ORFDLV DXGLWDGRV QmR HVWi LQFOXtGR
QRFiOFXORGDGXUDomRGRVGLDVGHDXGLWRULDGRVLVWHPDGHJHVWmR
127$ 2RUJDQLVPRGHFHUWL¿FDomRSRGHXWLOL]DUDVGLUHWUL]HVHVWDEHOHFLGDVQD,62,(&76SDUD
GHWHUPLQDomRGDGXUDomRGDDXGLWRULDGHVLVWHPDGHJHVWmRQRDWRGDGRFXPHQWDomRGHVWHVSURFHGLPHQWRV
1RVFDVRVHPTXHWHQKDPVLGRHVWDEHOHFLGRVFULWpULRVHVSHFt¿FRVSDUDXPHVTXHPDHVSHFt¿FRGH
FHUWL¿FDomRSRUH[HPSOR$%17,6276RX,62,(&HVVHVFULWpULRVGHYHPVHUDSOLFDGRV
9.1.4.3 $GXUDomRGDDXGLWRULDGRVLVWHPDGHJHVWmRHDVXDMXVWL¿FDWLYDGHYHPVHUUHJLVWUDGDV
9.1.4.4 2WHPSRXWLOL]DGRSRUTXDOTXHUPHPEURGDHTXLSHTXHQmRIRUGHVLJQDGRFRPRDXGLWRUSRU

H[HPSOR HVSHFLDOLVWDV WpFQLFRV WUDGXWRUHV LQWpUSUHWHV REVHUYDGRUHV H DXGLWRUHV HP WUHLQDPHQWR
QmRSRGHFRQWDUQDGXUDomRGDDXGLWRULDGHVLVWHPDGHJHVWmRHVWDEHOHFLGD
127$ 3DUDRXVRGHWUDGXWRUHVHLQWpUSUHWHVSRGHVHUQHFHVViULRXPWHPSRDGLFLRQDOGHDXGLWRULD
9.1.5 Amostragem de multi-site
$RXWLOL]DUDPRVWUDJHPGHPXOWLVLWHSDUDDDXGLWRULDGRVLVWHPDGHJHVWmRGHXPFOLHQWHTXHFXEUDD
PHVPDDWLYLGDGHHPGLYHUVDVORFDOL]Do}HVJHRJUi¿FDVRRUJDQLVPRGHFHUWL¿FDomRGHYHGHVHQYROYHU
XP SURJUDPD GH DPRVWUDJHP D ¿P GH DVVHJXUDU XPD DXGLWRULD DGHTXDGD GR VLVWHPD GH JHVWmR$
MXVWL¿FDWLYDSDUDRSODQRGHDPRVWUDJHPGHYHVHUGRFXPHQWDGDSDUDFDGDFOLHQWH$DPRVWUDJHPQmR
pSHUPLWLGDSDUDDOJXQVHVTXHPDVGHFHUWL¿FDomRHVSHFt¿FRVHRQGHFULWpULRVHVSHFt¿FRVWHQKDPVLGR
HVWDEHOHFLGRV SDUD XP HVTXHPD GH FHUWL¿FDomR HVSHFt¿FR SRU H[HPSOR$%17 1%5 ,6276
HVWHVGHYHPVHUDSOLFDGRV
127$ 4XDQGRKRXYHUP~OWLSODVSODQWDVTXHQmRFXEUDPDPHVPDDWLYLGDGHDPRVWUDJHPQmRpDGHTXDGD

9.1.6 0~OWLSODVQRUPDVGHVLVWHPDVGHJHVWmR
4XDQGR D FHUWL¿FDomR GH P~OWLSODV QRUPDV GH VLVWHPDV GH JHVWmR p IRUQHFLGD SHOR RUJDQLVPR GH
FHUWL¿FDomRRSODQHMDPHQWRSDUDDDXGLWRULDGHYHDVVHJXUDUXPDDXGLWRULDDGHTXDGDQRORFDOD¿P
GHSURSLFLDUFRQ¿DQoDQDFHUWL¿FDomR
9.2 Planejando auditorias
9.2.1 Determinação dos objetivos, escopo e critérios de auditoria
9.2.1.1 2VREMHWLYRVGHDXGLWRULDGHYHPVHUGHWHUPLQDGRVSHORRUJDQLVPRGHFHUWL¿FDomR2HVFRSR
HRVFULWpULRVGHDXGLWRULDLQFOXLQGRTXDLVTXHUDOWHUDo}HVGHYHPVHUHVWDEHOHFLGRVSHORRUJDQLVPR
GHFHUWL¿FDomRDSyVGLVFXVVmRFRPRFOLHQWH
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$ 8PDDXGLWRULDGHFHUWL¿FDomRGHVLVWHPDGHJHVWmRQmRpXPDDXGLWRULDGHFRQIRUPLGDGHOHJDO
௘F GHWHUPLQDomRGDH¿FiFLDGRVLVWHPDGHJHVWmRSDUDDVVHJXUDUTXHRFOLHQWHSRGHUD]RDYHOPHQWH
HVSHUDUDWHQGHUVHXVREMHWLYRVGH¿QLGRV
௘G FRQIRUPHDSOLFiYHOLGHQWL¿FDomRGHiUHDVSDUDSRVVtYHOPHOKRULDGRVLVWHPDGHJHVWmR
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
LQLFLDORXGHUHFHUWL¿FDomRFRQVLVWLUHPPDLVGHXPDDXGLWRULDSRUH[HPSORDEUDQJHQGRGLIHUHQWHV
SODQWDVRHVFRSRGHXPDDXGLWRULDLQGLYLGXDOSRGHQmRDEUDQJHURHVFRSRFRPSOHWRGDFHUWL¿FDomR
PDVRWRWDOGHDXGLWRULDVGHYHVHUFRHUHQWHFRPRHVFRSRFRQVWDQWHQRGRFXPHQWRGHFHUWL¿FDomR
9.2.1.4 2VFULWpULRVGHDXGLWRULDGHYHPVHUXVDGRVFRPRUHIHUrQFLDSDUDGHWHUPLQDomRGDFRQIRUPL-
GDGHHGHYHPLQFOXLU
— RVUHTXLVLWRVGHXPGRFXPHQWRQRUPDWLYRGH¿QLGRVREUHVLVWHPDVGHJHVWmR
— RVSURFHVVRVGH¿QLGRVHDGRFXPHQWDomRGRVLVWHPDGHJHVWmRGHVHQYROYLGRSHORFOLHQWH
9.2.2 Seleção da equipe auditora e designação de tarefas
9.2.2.1 Generalidades
9.2.2.1.1 2 RUJDQLVPR GH FHUWL¿FDomR 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
LGHQWL¿FDGDVSHORRUJDQLVPRGHFHUWL¿FDomRFRQIRUPHGH¿QLGRHPSDUDDDXGLWRULD

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 FHUWL¿FDomR LQFOXLQGR UHTXLVLWRV HVWDWXWiULRV UHJXODPHQWDUHV RX FRQWUDWXDLV

DSOLFiYHLV
௘H LGLRPDHFXOWXUD
127$ 'ROtGHUGDHTXLSHGHXPDDXGLWRULDFRPELQDGDRXLQWHJUDGDVHHVSHUDFRQKHFLPHQWRSURIXQGR
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9.2.2.1.3 2 FRQKHFLPHQWR H DV KDELOLGDGHV GR DXGLWRUOtGHU H GRV DXGLWRUHV SRGHP VHU FRPSOH-
PHQWDGRVSRUHVSHFLDOLVWDVWpFQLFRVWUDGXWRUHVHLQWpUSUHWHVTXHGHYHPDWXDUVREDRULHQWDomR
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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-
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9.2.2.1.5 2 DXGLWRUOtGHU HP FRQVXOWD FRP D HTXLSH DXGLWRUD GHYH GHVLJQDU UHVSRQVDELOLGDGHV D
FDGDPHPEURGDHTXLSHSDUDDXGLWDUSURFHVVRVIXQo}HVORFDLViUHDVRXDWLYLGDGHVHVSHFt¿FRV7DLV
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HPTXHDDXGLWRULDSURJULGDGHIRUPDDDVVHJXUDURFXPSULPHQWRGRVREMHWLYRVGDDXGLWRULD
9.2.2.2 Observadores, especialistas técnicos e guias
9.2.2.2.1 Observadores
$ SUHVHQoD H D MXVWL¿FDWLYD SDUD REVHUYDGRUHV GXUDQWH XPD DWLYLGDGH GH DXGLWRULD GHYHP VHU
DFRUGDGDVHQWUHRRUJDQLVPRGHFHUWL¿FDomRHRFOLHQWHDQWHVGDUHDOL]DomRGDDXGLWRULD$HTXLSH
DXGLWRUD GHYH DVVHJXUDU TXH RV REVHUYDGRUHV QmR LQÀXHQFLHP RX LQWHU¿UDP LQGHYLGDPHQWH
QRSURFHVVRRXQRUHVXOWDGRGDDXGLWRULD
127$ 2VREVHUYDGRUHVSRGHPVHUPHPEURVGDRUJDQL]DomRGRFOLHQWHFRQVXOWRUHVSHVVRDOGRRUJDQLVPR
GHDFUHGLWDomRUHDOL]DQGRXPDWHVWHPXQKDUHJXODGRUHVRXRXWUDVSHVVRDVMXVWL¿FDGDV
9.2.2.2.2 Especialistas técnicos
2SDSHOGRVHVSHFLDOLVWDVWpFQLFRVGXUDQWHXPDDXGLWRULDGHYHVHUDFRUGDGRHQWUHRRUJDQLVPRGH
FHUWL¿FDomRHRFOLHQWHDQWHVGDFRQGXomRGDDXGLWRULD8PHVSHFLDOLVWDWpFQLFRQmRSRGHDWXDUFRPR
DXGLWRUQDHTXLSHDXGLWRUD2VHVSHFLDOLVWDVWpFQLFRVGHYHPHVWDUDFRPSDQKDGRVSRUXPDXGLWRU
127$ 2VHVSHFLDOLVWDVWpFQLFRVSRGHPIRUQHFHUDVVHVVRUDPHQWRjHTXLSHDXGLWRUDSDUDDSUHSDUDomR
SODQHMDPHQWRRXDXGLWRULD

9.2.2.2.3 Guias
&DGDDXGLWRUGHYHVHUDFRPSDQKDGRSRUXPJXLDDPHQRVVHDFRUGDGRGHRXWUDIRUPDSHORDXGLWRU
OtGHUHSHORFOLHQWH2VJXLDVVmRGHVLJQDGRVSHODHTXLSHDXGLWRUDSDUDIDFLOLWDUDDXGLWRULD$HTXLSH
DXGLWRUD GHYH DVVHJXUDU TXH RV JXLDV QmR LQÀXHQFLHP RX LQWHU¿UDP QR SURFHVVR RX QR UHVXOWDGR
da auditoria.
127$ $VUHVSRQVDELOLGDGHVGHXPJXLDSRGHPLQFOXLU
௘D HVWDEHOHFHUFRQWDWRVHKRUiULRVSDUDHQWUHYLVWDV
௘E RUJDQL]DUYLVLWDVSDUDSDUWHVHVSHFt¿FDVGRORFDORXGDRUJDQL]DomR
௘F DVVHJXUDUTXHUHJUDVUHODWLYDVDRVSURFHGLPHQWRVGHVHJXUDQoDHVHJXULGDGHGRORFDOVHMDPFRQKHFLGDV
HUHVSHLWDGDVSHORVPHPEURVGDHTXLSHDXGLWRUD
௘G WHVWHPXQKDUDDXGLWRULDHPQRPHGRFOLHQWH
௘H IRUQHFHUHVFODUHFLPHQWRRXLQIRUPDo}HVFRQIRUPHUHTXLVLWDGRSHORDXGLWRU
127$ 4XDQGRDSURSULDGRRDXGLWDGRSRGHWDPEpPDWXDUFRPRJXLD
9.2.3 Plano de auditoria
2 RUJDQLVPR GH FHUWL¿FDomR GHYH DVVHJXUDU TXH XP SODQR GH DXGLWRULD VHMD HVWDEHOHFLGR DQWHV
GHFDGDDXGLWRULDLGHQWL¿FDGDQRSURJUDPDGHDXGLWRULDTXHVLUYDGHEDVHSDUDDFRUGRHPUHODomR
jUHDOL]DomRHSURJUDPDomRGDVDWLYLGDGHVGHDXGLWRULD
127$ 1mR VH HVSHUD TXH XP RUJDQLVPR GH FHUWL¿FDomR Yi HODERUDU XP SODQR GH DXGLWRULD SDUD FDGD
DXGLWRULDQRPRPHQWRHPTXHRSURJUDPDGHDXGLWRULDVIRUHODERUDGR
9.2.3.2 Preparação do plano de auditoria
2SODQRGHDXGLWRULDGHYHVHUDSURSULDGRDRVREMHWLYRVHDRHVFRSRGDDXGLWRULD2SODQRGHDXGLWRULD
GHYHLQFOXLURXID]HUUHIHUrQFLDQRPtQLPRDRVVHJXLQWHVLWHQV
௘D RVREMHWLYRVGDDXGLWRULD
௘E RVFULWpULRVGHDXGLWRULD
௘F RHVFRSRGDDXGLWRULDLQFOXLQGRDLGHQWL¿FDomRGDVXQLGDGHVRUJDQL]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

9.2.3.3 Comunicação das tarefas da equipe auditora
$V WDUHIDV DWULEXtGDV j HTXLSH DXGLWRUD GHYHP VHU GH¿QLGDV H GHYHP GHWHUPLQDU TXH D HTXLSH
auditora:
௘D H[DPLQH H YHUL¿TXH D HVWUXWXUD SROtWLFDV SURFHVVRV SURFHGLPHQWRV UHJLVWURV H GRFXPHQWRV

UHODFLRQDGRVGRFOLHQWHSHUWLQHQWHVjQRUPDGRVLVWHPDGHJHVWmR
௘E FRQ¿UPH VH HVVHV LWHQV DWHQGHP D WRGRV RV UHTXLVLWRV SHUWLQHQWHV DR HVFRSR SUHWHQGLGR
GHFHUWL¿FDomR
௘F FRQ¿UPHVHRVSURFHVVRVHSURFHGLPHQWRVHVWmRHVWDEHOHFLGRVLPSOHPHQWDGRVHPDQWLGRVFRP
H¿FiFLDD¿PGHVHUYLUGHEDVHSDUDDFRQ¿DQoDQRVLVWHPDGHJHVWmRGRFOLHQWH
௘G FRPXQLTXHDRFOLHQWHSDUDVXDDomRTXDLVTXHULQFRHUrQFLDVHQWUHDSROtWLFDREMHWLYRVHPHWDV
GRFOLHQWH
9.2.3.4 Comunicação do plano de auditoria
2SODQRGHDXGLWRULDGHYHVHUFRPXQLFDGRHDVGDWDVGDDXGLWRULDGHYHPVHUSUHYLDPHQWHDFRUGDGDV
FRPDRUJDQL]DomRGRFOLHQWH
9.2.3.5 Comunicação relativa aos membros da equipe auditora
2 RUJDQLVPR GH FHUWL¿FDomR GHYH IRUQHFHU R QRPH H TXDQGR VROLFLWDGR GHYH WRUQDU GLVSRQtYHLV
LQIRUPDo}HV FXUULFXODUHV GH FDGD PHPEUR GD HTXLSH DXGLWRUD FRP WHPSR VX¿FLHQWH SDUD R FOLHQWH
GLVFRUGDU GD GHVLJQDomR GH TXDOTXHU PHPEUR GD HTXLSH H SDUD R RUJDQLVPR GH FHUWL¿FDomR
UHFRQVWLWXLUDHTXLSHHPUHVSRVWDDTXDOTXHUREMHomRYiOLGD
9.3 &HUWL¿FDomRLQLFLDO
9.3.1 $XGLWRULDLQLFLDOGHFHUWL¿FDomR
$DXGLWRULDLQLFLDOGHFHUWL¿FDomRGHXPVLVWHPDGHJHVWmRGHYHVHUUHDOL]DGDHPGXDVIDVHVIDVH
HIDVH
9.3.1.2 Fase 1
9.3.1.2.1 2SODQHMDPHQWRGHYHDVVHJXUDUTXHRVREMHWLYRVGDIDVHSRVVDPVHUDWLQJLGRVHTXH
RFOLHQWHHVWHMDLQIRUPDGRVREUHTXDLVTXHUDWLYLGDGHV³LQORFR´GXUDQWHDIDVH
127$ $IDVHQmRUHTXHUXPSODQRGHDXGLWRULDIRUPDOYHU
9.3.1.2.2 2VREMHWLYRVGDIDVHVmR
௘D DQDOLVDUFULWLFDPHQWHHDLQIRUPDomRGRFXPHQWDGDGRVLVWHPDGHJHVWmRGRFOLHQWH
௘E DYDOLDUDVFRQGLo}HVHVSHFt¿FDVGDSODQWDGRFOLHQWHHGLVFXWLUFRPRSHVVRDOGRFOLHQWHD¿P
GHGHWHUPLQDURJUDXGHSUHSDUDomRSDUDDIDVH
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HP HVSHFLDO FRP UHODomR j LGHQWL¿FDomR GH DVSHFWRVFKDYH RX VLJQL¿FDWLYRV GH GHVHPSHQKR
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— DVSODQWDVGRFOLHQWH

— SURFHVVRVHHTXLSDPHQWRXWLOL]DGR
— QtYHLVGRVFRQWUROHVHVWDEHOHFLGRVSDUWLFXODUPHQWHQRFDVRGHFOLHQWHVPXOWLVLWH
— UHTXLVLWRVHVWDWXWiULRVHUHJXODWyULRVDSOLFiYHLV
௘H DQDOLVDUFULWLFDPHQWHDDORFDomRGHUHFXUVRVSDUDDIDVHHDFRUGDUFRPRFOLHQWHRVGHWDOKHV
GDIDVH
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FOLHQWHHGRVHXIXQFLRQDPHQWRQRORFDOQRFRQWH[WRGDQRUPDGHVLVWHPDGHJHVWmRRXRXWUR
GRFXPHQWRQRUPDWLYR
௘J DYDOLDU VH DV DXGLWRULDV LQWHUQDV H DV DQiOLVHV FUtWLFDV SHOD GLUHomR HVWmR VHQGR SODQHMDGDV H
UHDOL]DGDVHVHRQtYHOGHLPSOHPHQWDomRGRVLVWHPDGHJHVWmRGHPRQVWUDTXHRFOLHQWHHVWi
SURQWRSDUDDIDVH
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9.3.1.2.3 $V FRQFOXV}HV GRFXPHQWDGDV FRP UHODomR DR DWHQGLPHQWR GRV REMHWLYRV GD IDVH H j
DSWLGmRSDUDVHJXLUjIDVHGHYHPVHUFRPXQLFDGDVDRFOLHQWHLQFOXLQGRDLGHQWL¿FDomRGHTXDLVTXHU
iUHDVGHSUHRFXSDomRTXHSRGHULDPVHUFODVVL¿FDGDVFRPRQmRFRQIRUPLGDGHVGXUDQWHDIDVH
127$ 2VGDGRVUHVXOWDQWHVGDIDVHQmRSUHFLVDPDWHQGHURVUHTXLVLWRVGHXPUHODWyULRYHU
9.3.1.2.4 1D GHWHUPLQDomR GR LQWHUYDOR HQWUH DV IDVHV H GHYHVH OHYDU HP FRQVLGHUDomR DV
QHFHVVLGDGHVGRFOLHQWHHPUHVROYHUDViUHDVGHSUHRFXSDomRLGHQWL¿FDGDVGXUDQWHDIDVH7DPEpP
SRGHVHUSUHFLVRTXHRRUJDQLVPRGHFHUWL¿FDomRUHYLVHVHXVSUHSDUDWLYRVSDUDDIDVH6HRFRUUHUHP
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GHYHFRQVLGHUDUDQHFHVVLGDGHGHUHSHWLUSDUWHRXWRGDDIDVH2FOLHQWHGHYHHVWDULQIRUPDGRTXH
RVUHVXOWDGRVGDIDVHSRGHPFDXVDURDGLDPHQWRRXFDQFHODPHQWRGDIDVH
9.3.1.3 Fase 2
2REMHWLYRGDIDVHpDYDOLDUDLPSOHPHQWDomRLQFOXLQGRH¿FiFLDGRVLVWHPDGHJHVWmRGRFOLHQWH
$IDVHGHYHRFRUUHUQRVORFDLVGRFOLHQWH(ODGHYHLQFOXLUDDXGLWRULDGHQRPtQLPRRVHJXLQWH
௘D LQIRUPDo}HV H HYLGrQFLDV VREUH FRQIRUPLGDGH FRP WRGRV RV UHTXLVLWRV GD QRUPD DSOLFiYHO
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௘E PRQLWRUDPHQWR PHGLo}HV FRPXQLFDomR H DQiOLVH FUtWLFD GR GHVHPSHQKR HP UHODomR DRV
SULQFLSDLVREMHWLYRVHPHWDVGHGHVHPSHQKRFRHUHQWHFRPDVH[SHFWDWLYDVQDQRUPDDSOLFiYHO
GHVLVWHPDGHJHVWmRRXHPRXWURGRFXPHQWRQRUPDWLYR
௘F DFDSDFLGDGHHRGHVHPSHQKRGRVLVWHPDGHJHVWmRGRFOLHQWHHPUHODomRDRDWHQGLPHQWRGRV
UHTXLVLWRVHVWDWXWiULRVUHJXODWyULRVHFRQWUDWXDLV
௘G FRQWUROHRSHUDFLRQDOGRVSURFHVVRVGRFOLHQWH
௘H DXGLWRULDLQWHUQDHDQiOLVHFUtWLFDSHODGLUHomR
௘I UHVSRQVDELOLGDGHGDGLUHomRSHODVSROtWLFDVGRFOLHQWH

9.3.1.4 &RQFOXV}HVGDDXGLWRULDLQLFLDOGHFHUWL¿FDomR
$ HTXLSH DXGLWRUD GHYH DQDOLVDU FULWLFDPHQWH WRGDV DV LQIRUPDo}HV H HYLGrQFLDV FROHWDGDV GXUDQWH
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9.4 Conduzindo auditorias
9.4.1 Generalidades
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GHYHLQFOXLUXPDUHXQLmRGHDEHUWXUDQRLQtFLRGDDXGLWRULDHXPDUHXQLmRGHHQFHUUDPHQWRDR¿QDO
da auditoria.
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IRU YLUWXDO R RUJDQLVPR GH FHUWL¿FDomR GHYH DVVHJXUDU TXH HVWDV DWLYLGDGHV VHMDP FRQGX]LGDV SRU
SHVVRDOFRPDFRPSHWrQFLDDSURSULDGD$VHYLGrQFLDVREWLGDVGXUDQWHHVWHWLSRGHDXGLWRULDGHYHP
VHU VX¿FLHQWHV SDUD SHUPLWLU TXH R DXGLWRU WRPH XPD GHFLVmR FRQVFLHQWH VREUH D FRQIRUPLGDGH
do requisito em questão.
127$ $XGLWRULDV³in loco´SRGHPLQFOXLUDFHVVRUHPRWRDsitesHOHWU{QLFRVTXHFRQWHQKDPLQIRUPDo}HV

SHUWLQHQWHV j DXGLWRULD GR VLVWHPD GH JHVWmR 3RGH VHU FRQVLGHUDGR R XVR GH PHLRV HOHWU{QLFRV SDUD
DFRQGXomRGHDXGLWRULDV
9.4.2 Condução da reunião 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 FRQ¿UPDomRGRHVFRSRGHFHUWL¿FDomR
௘F FRQ¿UPDomR 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 FRQ¿UPDomRGRVFDQDLVIRUPDLVGHFRPXQLFDomRHQWUHDHTXLSHDXGLWRUDHRFOLHQWH
௘H FRQ¿UPDomRGHTXHRVUHFXUVRVHLQVWDODo}HVQHFHVViULRVjHTXLSHDXGLWRUDHVWHMDPGLVSRQtYHLV
௘I FRQ¿UPDomRGHDVVXQWRVUHODWLYRVjFRQ¿GHQFLDOLGDGH
௘J FRQ¿UPDomRGHSURFHGLPHQWRVSHUWLQHQWHVGHVHJXUDQoDGRWUDEDOKRHPHUJrQFLDHVHJXULGDGH
SDUDDHTXLSHDXGLWRUD
௘K FRQ¿UPDomRGDGLVSRQLELOLGDGHIXQo}HVHLGHQWLGDGHVGHWRGRVRVJXLDVHREVHUYDGRUHV
௘L RPpWRGRGHUHODWDULQFOXLQGRDFODVVL¿FDomRGDVFRQVWDWDo}HVGHDXGLWRULD
௘M LQIRUPDo}HVVREUHDVFRQGLo}HVQDVTXDLVDDXGLWRULDSRGHVHUHQFHUUDGDSUHPDWXUDPHQWH

௘N FRQ¿UPDomRGHTXHRDXGLWRUOtGHUHDHTXLSHDXGLWRUDUHSUHVHQWDQGRRRUJDQLVPRGHFHUWL¿FDomR
VmRUHVSRQViYHLVSHODDXGLWRULDHGHYHPFRQWURODUDH[HFXomRGRSODQRGHDXGLWRULDLQFOXLQGR
DVDWLYLGDGHVHWULOKDVGHDXGLWRULD
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௘P PpWRGRVHSURFHGLPHQWRVDVHUHPXVDGRVSDUDUHDOL]DomRGDDXGLWRULDFRPEDVHHPDPRVWUDJHP
௘Q FRQ¿UPDomRGRLGLRPDDVHUXVDGRGXUDQWHDDXGLWRULD
௘R FRQ¿UPDomR GH TXH GXUDQWH D DXGLWRULD R FOLHQWH VHUi PDQWLGR LQIRUPDGR GR SURJUHVVR
GDDXGLWRULDHGHTXDLVTXHUSUHRFXSDo}HV
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9.4.3 Comunicação durante a auditoria
9.4.3.1 'XUDQWHDDXGLWRULDDHTXLSHDXGLWRUDGHYHDYDOLDUSHULRGLFDPHQWHRSURJUHVVRGDDXGLWRULD
HWURFDULQIRUPDo}HV2DXGLWRUOtGHUGHYHUHGLVWULEXLURWUDEDOKRHQWUHRVPHPEURVGDHTXLSHDXGLWRUD
FRQIRUPHQHFHVViULRHFRPXQLFDUSHULRGLFDPHQWHRSURJUHVVRGDDXGLWRULDHTXDLVTXHUSUHRFXSDo}HV
DRFOLHQWH
9.4.3.2 4XDQGRDHYLGrQFLDGLVSRQtYHOGDDXGLWRULDLQGLFDUTXHRVREMHWLYRVGDDXGLWRULDVmRLQDWLQJt-
YHLVRXVXJHULUDSUHVHQoDGHXPULVFRLPHGLDWRHVLJQL¿FDWLYRSRUH[HPSORVHJXUDQoDRDXGLWRUOtGHU
GHYHUHODWDUHVVHIDWRDRFOLHQWHHVHSRVVtYHODRRUJDQLVPRGHFHUWL¿FDomRSDUDGHWHUPLQDUDDomR
DSURSULDGD7DODomRSRGHLQFOXLUDUHFRQ¿UPDomRRXDPRGL¿FDomRGRSODQRGHDXGLWRULDPXGDQoDV
QRVREMHWLYRVRXQRHVFRSRGDDXGLWRULDRXRHQFHUUDPHQWRGDDXGLWRULD2DXGLWRUOtGHUGHYHUHODWDU
RUHVXOWDGRGDDomRSDUDRRUJDQLVPRGHFHUWL¿FDomR
9.4.3.3 2DXGLWRUOtGHUGHYHDQDOLVDUFULWLFDPHQWHFRPRFOLHQWHTXDOTXHUQHFHVVLGDGHGHPXGDQoDV
QRHVFRSRGDDXGLWRULDTXH¿TXHPDSDUHQWHVFRPRSURJUHVVRGDVDWLYLGDGHVGDDXGLWRULDQRORFDO
HUHODWDUHVVDVPXGDQoDVDRRUJDQLVPRGHFHUWL¿FDomR
9.4.4 2EWHQomRHYHUL¿FDomRGHLQIRUPDo}HV
9.4.4.1 'XUDQWHDDXGLWRULDDVLQIRUPDo}HVSHUWLQHQWHVDRVREMHWLYRVHVFRSRHFULWpULRVGDDXGLWRULD
LQFOXLQGRLQIRUPDo}HVUHODWLYDVjVLQWHUIDFHVHQWUHIXQo}HVDWLYLGDGHVHSURFHVVRVGHYHPVHUREWLGDV
SRUDPRVWUDJHPDGHTXDGDHYHUL¿FDGDVSDUDTXHVHWRUQHPHYLGrQFLDGHDXGLWRULD
9.4.4.2 2VPpWRGRVSDUDREWHULQIRUPDo}HVGHYHPLQFOXLUHQWUHRXWURV
௘D HQWUHYLVWDV
௘E REVHUYDomRGHSURFHVVRVHDWLYLGDGHV
௘F DQiOLVHFUtWLFDGHGRFXPHQWDomRHUHJLVWURV
9.4.5 ,GHQWL¿FDomRHUHJLVWURGDVFRQVWDWDo}HVGHDXGLWRULD
9.4.5.1 $V FRQVWDWDo}HV GD DXGLWRULD UHVXPLQGR D FRQIRUPLGDGH H GHWDOKDQGR DV QmR FRQIRUPL-
GDGHVGHYHPVHULGHQWL¿FDGDVFODVVL¿FDGDVUHJLVWUDGDVHUHODWDGDVSDUDSRVVLELOLWDUXPDWRPDGD
GHGHFLVmRGHFHUWL¿FDomRIXQGDPHQWDGDRXDPDQXWHQomRGDFHUWL¿FDomR

9.4.5.2 2SRUWXQLGDGHVGHPHOKRULDSRGHPVHULGHQWL¿FDGDVHUHJLVWUDGDVH[FHWRVHSURLELGDVSHORV
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$OpPGLVVRRRUJDQLVPRGHFHUWL¿FDomRGHYHHVWDEHOHFHUSURFHGLPHQWRVSDUDUHWHUUHJLVWURVSRUXP
SHUtRGR FRHUHQWH FRP VXDV REULJDo}HV FRQWUDWXDLV H OHJDLV 2 DFHVVR D HVVHV UHJLVWURV GHYH VHU
FRHUHQWHFRPRVPHFDQLVPRVGHFRQ¿GHQFLDOLGDGH
127$ 3DUDRVUHTXLVLWRVGHUHJLVWURVGHFOLHQWHVFHUWL¿FDGRVYHUWDPEpP
10.2.5 Análise crítica pela direção
$ $OWD 'LUHomR GR RUJDQLVPR GH FHUWL¿FDomR GHYH HVWDEHOHFHU SURFHGLPHQWRV SDUD DQDOLVDU
FULWLFDPHQWHVHXVLVWHPDGHJHVWmRDLQWHUYDORVSODQHMDGRVD¿PGHDVVHJXUDUVXDSHUWLQrQFLD
DGHTXDomR H H¿FiFLD FRQWtQXDV LQFOXLQGR DV SROtWLFDV H REMHWLYRV GHFODUDGRV UHODFLRQDGRV DR
DWHQGLPHQWRGHVWDSDUWHGD$%171%5,62,(&(VVDVDQiOLVHVFUtWLFDVGHYHPVHUUHDOL]DGDV
QRPtQLPRXPDYH]SRUDQR
10.2.5.2 Entradas para a análise crítica
$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

10.2.5.3 Saídas da análise crítica
$VVDtGDVGDDQiOLVHFUtWLFDSHODGLUHomRGHYHPLQFOXLUGHFLV}HVHDo}HVUHODFLRQDGDVD
௘D PHOKRULDGDH¿FiFLDGRVLVWHPDGHJHVWmRHVHXVSURFHVVRV
௘E PHOKRULD GRV VHUYLoRV GH FHUWL¿FDomR UHODWLYRV DR DWHQGLPHQWR GHVWD SDUWH GD
$%171%5,62,(&
௘F QHFHVVLGDGHGHUHFXUVRV
௘G UHYLV}HVGDSROtWLFDGDRUJDQL]DomRHVHXVREMHWLYRV
10.2.6 Auditorias internas
10.2.6.1 2RUJDQLVPRGHFHUWL¿FDomRGHYHHVWDEHOHFHUSURFHGLPHQWRVSDUDDXGLWRULDVLQWHUQDVD¿P
GHYHUL¿FDUVHHOHDWHQGHDRVUHTXLVLWRVGHVWDSDUWHGD$%171%5,62,(&HVHRVLVWHPD
GHJHVWmRHVWiLPSOHPHQWDGRHpPDQWLGRFRPH¿FiFLD
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
$IUHTXrQFLDGDVDXGLWRULDVLQWHUQDVSRGHVHUUHGX]LGDVHRRUJDQLVPRGHFHUWL¿FDomRSXGHUGHPRQVWUDU
TXH R VHX VLVWHPD GH JHVWmR FRQWLQXD LPSOHPHQWDGR FRP H¿FiFLD GH DFRUGR FRP HVWD SDUWH
GD$%171%5,62,(&HSRVVXLHVWDELOLGDGHFRPSURYDGD
10.2.6.4 2RUJDQLVPRGHFHUWL¿FDomRGHYHDVVHJXUDUTXH
௘D DVDXGLWRULDVLQWHUQDVVHMDPUHDOL]DGDVSRUSHVVRDOTXDOL¿FDGRFRPFRQKHFLPHQWRHPFHUWL¿-
FDomRDXGLWRULDHUHTXLVLWRVGHVWDSDUWHGD$%171%5,62,(&
௘E RVDXGLWRUHVQmRDXGLWHPVHXSUySULRWUDEDOKR
௘F RSHVVRDOUHVSRQViYHOSHODiUHDDXGLWDGDVHMDLQIRUPDGRGRUHVXOWDGRGDDXGLWRULD
௘G TXDLVTXHUDo}HVUHVXOWDQWHVGHDXGLWRULDVLQWHUQDVVHMDPWRPDGDVGHPDQHLUDDSURSULDGDHHP
WHPSRDGHTXDGR
௘H TXDLVTXHURSRUWXQLGDGHVGHPHOKRULDVHMDPLGHQWL¿FDGDV
10.2.7 $o}HVFRUUHWLYDV
2 RUJDQLVPR GH FHUWL¿FDomR GHYH HVWDEHOHFHU SURFHGLPHQWRV SDUD LGHQWL¿FDomR H JHVWmR GH QmR
FRQIRUPLGDGHVHPVXDVRSHUDo}HV2RUJDQLVPRGHFHUWL¿FDomRWDPEpPGHYHTXDQGRQHFHVViULR
WRPDUDo}HVSDUDHOLPLQDUDVFDXVDVGDVQmRFRQIRUPLGDGHVD¿PGHHYLWDUUHLQFLGrQFLD$VDo}HV
FRUUHWLYDVGHYHPVHUDGHTXDGDVDRLPSDFWRGRVSUREOHPDVHQFRQWUDGRV2VSURFHGLPHQWRVGHYHP
GH¿QLUUHTXLVLWRVSDUD
௘D LGHQWL¿FDUQmRFRQIRUPLGDGHVSRUH[HPSORGHUHFODPDo}HVHDXGLWRULDVLQWHUQDV
௘E GHWHUPLQDUDVFDXVDVGDQmRFRQIRUPLGDGH

௘F FRUULJLUQmRFRQIRUPLGDGHV
௘G DYDOLDUDQHFHVVLGDGHGHDo}HVSDUDDVVHJXUDUTXHDVQmRFRQIRUPLGDGHVQmRRFRUUDPQRYDPHQWH
௘H GHWHUPLQDUHLPSOHPHQWDUGHPDQHLUDRSRUWXQDDVDo}HVQHFHVViULDV
௘I UHJLVWUDURVUHVXOWDGRVGDVDo}HVWRPDGDV
௘J DQDOLVDUFULWLFDPHQWHDH¿FiFLDGDVDo}HVFRUUHWLYDVWRPDGDV
10.3 Opção B: Requisitos de sistema de gestão de acordo com a ABNT NBR ISO 9001
10.3.1 Generalidades
2 RUJDQLVPR GH FHUWL¿FDomR 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$%171%5,62RHVFRSRGRVLVWHPDGHJHVWmRGHYHLQFOXLU
RVUHTXLVLWRVGHSURMHWRHGHVHQYROYLPHQWRSDUDVHXVVHUYLoRVGHFHUWL¿FDomR
10.3.3 Foco no cliente
3DUDDDSOLFDomRGRVUHTXLVLWRVGD$%171%5,62DRGHVHQYROYHUVHXVLVWHPDGHJHVWmRR
RUJDQLVPR GH FHUWL¿FDomR GHYH DQDOLVDU D FUHGLELOLGDGH GD FHUWL¿FDomR H DERUGDU DV QHFHVVLGDGHV
GHWRGDVDVSDUWHVFRQIRUPHHVWDEHOHFLGRHPTXHGHSHQGHPGHVHXVVHUYLoRVGHDXGLWRULD
HFHUWL¿FDomRHQmRDSHQDVGHVHXVFOLHQWHV
10.3.4 Análise crítica pela direção
3DUDDDSOLFDomRGRVUHTXLVLWRVGD$%171%5,62RRUJDQLVPRGHFHUWL¿FDomRGHYHLQFOXLU
FRPRHQWUDGDSDUDDDQiOLVHFUtWLFDSHODGLUHomRLQIRUPDo}HVVREUHDSHODo}HVHUHFODPDo}HVSHUWL-
QHQWHVGHXVXiULRVGHDWLYLGDGHVGHFHUWL¿FDomRHXPDDQiOLVHFUtWLFDGDLPSDUFLDOLGDGH

Anexo A
(normativo)
Conhecimentos e habilidades exigidos
A.1 Generalidades
$7DEHOD$HVSHFL¿FDRFRQKHFLPHQWRHKDELOLGDGHVTXHXPRUJDQLVPRGHFHUWL¿FDomRGHYHGH¿QLU
SDUD IXQo}HV HVSHFt¿FDV GH FHUWL¿FDomR ; VLJQL¿FD TXH R RUJDQLVPR GH FHUWL¿FDomR GHYH GH¿QLU
RV FULWpULRV H D SURIXQGLGDGH GRV FRQKHFLPHQWRV H KDELOLGDGHV 2V UHTXLVLWRV GH FRQKHFLPHQWR
HKDELOLGDGHVHVSHFL¿FDGRVQD7DEHOD$HVWmRH[SOLFDGRVHPPDLVGHWDOKHVQRWH[WRDSyVDWDEHOD
HHVWmRUHIHUHQFLDGRVSHORQ~PHURHQWUHSDUrQWHVHV
Tabela A.1 – Tabela de conhecimentos e habilidades

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

A.2 Requisitos de competência para auditores de sistemas de gestão
A.2.1 Conhecimento de práticas de gestão de negócios
&RQKHFLPHQWRGHWLSRVJHUDLVGHRUJDQL]DomRWDPDQKRJRYHUQDQoDHVWUXWXUDHSUiWLFDVGHORFDLV
GHWUDEDOKRVLVWHPDVGHLQIRUPDomRHGDGRVVLVWHPDVGHGRFXPHQWDomRHWHFQRORJLDGDLQIRUPDomR
A.2.2 Conhecimento de princípios de auditoria, práticas e técnicas
&RQKHFLPHQWR GH SULQFtSLRV JHUDLV GH DXGLWRULD GH VLVWHPDV GH JHVWmR SUiWLFDV H WpFQLFDV FRPR
HVSHFL¿FDGR QHVWD 1RUPD VX¿FLHQWHV SDUD FRQGX]LU DXGLWRULDV GH FHUWL¿FDomR H DYDOLDU SURFHVVRV
de auditoria interna.
A.2.3 &RQKHFLPHQWR GH QRUPDVGRFXPHQWRV QRUPDWLYRV HVSHFt¿FRV GH VLVWHPDV

de gestão
&RQKHFLPHQWR GD QRUPD GH VLVWHPD GH JHVWmR RX RXWURV GRFXPHQWRV QRUPDWLYRV HVSHFL¿FDGRV
SDUDFHUWL¿FDomRVX¿FLHQWHSDUDGHWHUPLQDUVHRVLVWHPDIRLHIHWLYDPHQWHLPSOHPHQWDGRHVHHVWi
FRQIRUPHFRPRVUHTXLVLWRV
A.2.4 &RQKHFLPHQWRGRVSURFHVVRVGRRUJDQLVPRGHFHUWL¿FDomR
&RQKHFLPHQWR GRV SURFHVVRV GH XP RUJDQLVPR GH FHUWL¿FDomR VX¿FLHQWH SDUD DWXDU GH DFRUGR
FRPRVSURFHGLPHQWRVHSURFHVVRVGRRUJDQLVPRGHFHUWL¿FDomR
A.2.5 Conhecimento do setor de negócios do cliente
&RQKHFLPHQWR GD WHUPLQRORJLD SUiWLFDV H SURFHVVRV FRPXQV DR VHWRU GH QHJyFLRV GH XP FOLHQWH
VX¿FLHQWHSDUDHQWHQGHUDVH[SHFWDWLYDVGRVHWRUQRFRQWH[WRGDQRUPDGRVLVWHPDGHJHVWmRRXRXWUR
documento normativo.
127$ (QWHQGHVHSRUVHWRUGHQHJyFLRVDVDWLYLGDGHVHFRQ{PLFDVSRUH[HPSORDHURHVSDFLDOTXtPLFD

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

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 relatórios
&DSDFLGDGH GH OHU H HVFUHYHU FRP YHORFLGDGH SUHFLVmR H FRPSUHHQVmR VX¿FLHQWHV SDUD UHJLVWUDU
WRPDUQRWDVHHIHWLYDPHQWHFRPXQLFDUFRQVWDWDo}HVGHDXGLWRULDHFRQFOXV}HV

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

UHODWyULRVGHDXGLWRULDHTXHWRPDGHFLV}HVGHFHUWL¿FDomR
$VIXQo}HVGHVWHSHVVRDOSRGHPVHUSUHHQFKLGDVSRUXPDRXPDLVSHVVRDV
A.3.1 Conhecimento dos princípios, práticas e técnicas de auditoria
&RQKHFLPHQWR GH SULQFtSLRV SUiWLFDV H WpFQLFDV JHUDLV GH DXGLWRULD GH VLVWHPD GH JHVWmR FRPR
HVSHFL¿FDGRQHVWD1RUPDVX¿FLHQWHSDUDHQWHQGHUXPUHODWyULRGHDXGLWRULDGHFHUWL¿FDomR
A.3.2 &RQKHFLPHQWR GH QRUPDVGRFXPHQWRV QRUPDWLYRV HVSHFt¿FRV GH VLVWHPD

de gestão
&RQKHFLPHQWRGDQRUPDVGHVLVWHPDGHJHVWmRRXRXWURVGRFXPHQWRVQRUPDWLYRVHVSHFL¿FDGRV
SDUD FHUWL¿FDomR VX¿FLHQWH SDUD WRPDU XPD GHFLVmR FRP EDVH HP XP UHODWyULR GH DXGLWRULD
GHFHUWL¿FDomR
&RQKHFLPHQWR GRV SURFHVVRV GH XP RUJDQLVPR GH FHUWL¿FDomR VX¿FLHQWH SDUD GHWHUPLQDU VH DV
H[SHFWDWLYDV GR RUJDQLVPR GH FHUWL¿FDomR IRUDP DWHQGLGDV FRP EDVH QD LQIRUPDomR VXEPHWLGD
SDUDDQiOLVHFUtWLFD
&RQKHFLPHQWRGHWHUPLQRORJLDSUiWLFDVHSURFHVVRVFRPXQVDXPDiUHDGHQHJyFLRGHXPFOLHQWH
VX¿FLHQWHSDUDHQWHQGHUXPUHODWyULRGHDXGLWRULDQRFRQWH[WRGDQRUPDGRVLVWHPDGHJHVWmRRXRXWUR
documento normativo.

A.4 Requisitos de competência para pessoal que conduz análise crítica da

solicitação para determinar a competência necessária 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 HVSHFt¿FRV GH VLVWHPD

de gestão
&RQKHFLPHQWRGHTXDLVQRUPDVRXRXWURVGRFXPHQWRVQRUPDWLYRVHVWmRVHQGRHVSHFL¿FDGRVSDUD
FHUWL¿FDomR
&RQKHFLPHQWR GRV SURFHVVRV GH XP RUJDQLVPR GH FHUWL¿FDomR VX¿FLHQWH SDUD GHVLJQDU PHPEURV
da equipe de auditoria competentes e determinar o tempo de auditoria com exatidão.
&RQKHFLPHQWRGDWHUPLQRORJLDSUiWLFDVHSURFHVVRVFRPXQVDRVHWRUGHQHJyFLRVGHXPFOLHQWHVX¿-
FLHQWHSDUDGHVLJQDUPHPEURVGDHTXLSHGHDXGLWRULDFRPSHWHQWHVHGHWHUPLQDURWHPSRGHDXGLWRULD
com exatidão.
A.4.4 Conhecimento dos produtos, processos e organização do cliente
&RQKHFLPHQWRUHODFLRQDGRDRVWLSRVGHSURGXWRVRXSURFHVVRVGHXPFOLHQWHVX¿FLHQWHSDUDGHVLJQDU
PHPEURVGDHTXLSHGHDXGLWRULDFRPSHWHQWHVHGHWHUPLQDURWHPSRGHDXGLWRULDFRPH[DWLGmR

Anexo B
LQIRUPDWLYR
Possíveis métodos de avaliação
B.1 Generalidades
(VWH$QH[RIRUQHFHH[HPSORVGHPpWRGRVGHDYDOLDomRSDUDDMXGDURVRUJDQLVPRVGHFHUWL¿FDomR
2VPpWRGRVSDUDDYDOLDUDFRPSHWrQFLDGHSHVVRDVSRGHPVHUDJUXSDGRVHPFLQFRJUDQGHVFDWHJRULDV
DQiOLVH FUtWLFD GH UHJLVWURV UHDOLPHQWDomR HQWUHYLVWDV REVHUYDo}HV H H[DPHV (VVDV FDWHJRULDV
SRGHP VHU DLQGD PDLV VXEGLYLGLGDV$ VHJXLU DSUHVHQWDVH XPD EUHYH GHVFULomR GH FDGD PpWRGR
VXDXWLOLGDGHHVXDVOLPLWDo}HVSDUDDYDOLDUFRQKHFLPHQWRVHKDELOLGDGHVeLPSURYiYHOTXHTXDOTXHU
PpWRGRXWLOL]DGRVR]LQKRFRQ¿UPHDFRPSHWrQFLD
2VPpWRGRVGHVFULWRVHP%D%SRGHPIRUQHFHULQIRUPDo}HV~WHLVVREUHFRQKHFLPHQWRVHKDELOL-
GDGHVHOHVVmRPDLVH¿FD]HVTXDQGRHODERUDGRVSDUDXVRFRPFULWpULRVHVSHFL¿FDGRVGHFRPSHWrQ-
FLDUHVXOWDQWHVGRSURFHVVRGHGHWHUPLQDomRGHFRPSHWrQFLDVGH¿QLGRHPH
8PH[HPSORGHXPÀX[RGHSURFHVVRSDUDGHWHUPLQDomRHPDQXWHQomRGDFRPSHWrQFLDpGDGRQR
Anexo C.
B.2 Análise crítica de registros

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

$ UHDOLPHQWDomR SURYHQLHQWH GH FOLHQWHV SRGH VHU XP LQGLFDGRU GH FRQKHFLPHQWRV H KDELOLGDGHV
3DUDXPDXGLWRUDUHDOLPHQWDomRSRGHVHULQÀXHQFLDGDSHORVUHVXOWDGRVGDDXGLWRULD
$UHDOLPHQWDomRSRUVLVyQmRpHYLGrQFLDVDWLVIDWyULDGHFRPSHWrQFLD
B.4 Entrevistas
$VHQWUHYLVWDVSRGHPVHU~WHLVSDUDH[WUDLULQIRUPDo}HVVREUHFRQKHFLPHQWRVHKDELOLGDGHV
(QWUHYLVWDVGHHPSUHJRSRGHPVHU~WHLVSDUDGHWDOKDULQIRUPDo}HVGHFXUUtFXORVHGHH[SHULrQFLDV
SDVVDGDVGHWUDEDOKRHPUHODomRDFRQKHFLPHQWRVHKDELOLGDGHV
&RPR SDUWH GDV DQiOLVHV FUtWLFDV GH GHVHPSHQKR DV HQWUHYLVWDV SRGHP IRUQHFHU LQIRUPDo}HV
HVSHFt¿FDVVREUHFRQKHFLPHQWRVHKDELOLGDGHV
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Anexo C
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da competência
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Identificar funções no Estabelecer método de Indução

Estabelece critérios de Identificar capacidade
organismo de certificação avaliar critérios (se necessário)
competência para cada atual do pessoal
função
Avaliação de lacunas em Analisar

- Conhecimentos
habilidades e conhecimentos - Habilidades
- Experiência
sim
Boa não Estabelecer programa de
treinamento/orientação
Demonstração de
conhecimentos e habilidades não
Treinament
sim o eficaz?
Satisfatória
PDCA não
sim
Requisitos sim Critérios estabelecidos

Envolver auditor especialista
Específicos do setor com base no risco ou especialista técnico
não
sim não
Competente
Critérios não Melhoria das sim Estabelecer programa de
atendidos? desenvolvimento de auditores

Análise periódica da habilidades?
competência
não não
Identificada Melhoria satisfatória

sim
lacuna? das habilidades?
sim
sim PDCA
Estabelecer programa de treinamento
não
Treinamento eficaz?
PDCA
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da competência

Anexo D
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Anexo E
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Figura E.1 – Fluxo de processo típico para auditoria de terceira parte e processo
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ambiental
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orientações de uso
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de negócios – Requisitos

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>@ ABNT NBR ISO 55001, Gestão de ativos – Sistemas de gestão – Requisitos

Iso 17021 2016

Enviado por

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Enviado por

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NORMA ABNT NBR

Avaliação da conformidade — Requisitos para

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

© ISO/IEC 2015 - © ABNT 2016

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

Prefácio Nacional ..............................................................................................................................vii

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

 1RWL¿FDomRGHDOWHUDo}HVSHORRUJDQLVPRGHFHUWL¿FDomR ..........................................18

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

10.2 Opção A: Requisitos gerais de sistema de gestão .......................................................39

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

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

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

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

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

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

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

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

Avaliação da conformidade — Requisitos para organismos que fornecem

$%171%5,62Sistemas de gestão da qualidade – Fundamentos e vocabulário

$%171%5,62,(&Avaliação de conformidade – Vocabulário e princípios gerais

© ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados 1

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

NOTA Ver Nota de 7.1.2.

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

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

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

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

4.8 Abordagem baseada em risco

5.1.1 Responsabilidade legal

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

5.2 Gestão da imparcialidade

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

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6.2 Controle operacional

7.1.2 Determinação de critérios de competência

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

7.1.3 Processos de avaliação

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

7.3 Uso de auditores e especialistas técnicos externos

7.4 Registros do pessoal

© ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados 13

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9 Requisitos dos processos

9.1.2 Análise crítica da solicitação

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