ABNT NBR ISO/IEC 17021-1:2016 PDF
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Uploaded by GutsyMeteor9465
Instituto Nacional de Metrologia, Qualidade e Tecnologia – Inmetro
2016
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Summary
This document details the requirements for processes used in auditing and certifying management systems according to the ABNT NBR ISO/IEC 17021-1:2016 standard. It covers topics such as requests, analyses and audits of the management system, and planning of audits.
Full Transcript
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ABNT NBR ISO/IEC 17021-1:2016 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 SDUDGHVHQYROYHUXPSURJUDPDGHDXGLWRULD YHU E TXDOTXHUGLIHUHQoDUHFRQKHFLGDGHLQWHUSUHWDomRHQWUHRRUJDQLVPRGHFHUWL¿FDomRHDRUJDQL- ]DomRVROLFLWDQWHVHMDUHVROYLGD F R RUJDQLVPR GH FHUWL¿FDomR WHQKD FRPSHWrQFLD H FDSDFLGDGH SDUD H[HFXWDU D DWLYLGDGH GHFHUWL¿FDomR G RHVFRSRVROLFLWDGRSDUDDFHUWL¿FDomRD V SODQWD V GDVRSHUDo}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 © ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados 19 ABNT NBR ISO/IEC 17021-1:2016 9.1.3 Programa de auditoria 9.1.3.1 8P SURJUDPD GH DXGLWRULD SDUD R FLFOR FRPSOHWR GH FHUWL¿FDomR GHYH VHU HODERUDGR SDUD LGHQWL¿FDUFODUDPHQWHD V DWLYLGDGH V GHDXGLWRULDQHFHVViULD V SDUDGHPRQVWUDUTXHRVLVWHPDGH JHVWmRGRFOLHQWHDWHQGHDRVUHTXLVLWRVSDUDFHUWL¿FDomRSDUDD V QRUPD V VHOHFLRQDGD V RXRXWUR V GRFXPHQWR V QRUPDWLYR V 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¿FDomR YHU $GHWHUPLQDomRGRSURJUDPDGHDXGLWRULDHGHTXDLVTXHU DMXVWHV VXEVHTXHQWHV GHYH FRQVLGHUDU R WDPDQKR GR FOLHQWH R HVFRSR H D FRPSOH[LGDGH GH VHX VLVWHPDGHJHVWmRSURGXWRVHSURFHVVRVDVVLPFRPRRQtYHOGHPRQVWUDGRGHH¿FiFLDGRVLVWHPD GHJHVWmRHRVUHVXOWDGRVGHTXDLVTXHUDXGLWRULDVDQWHULRUHV 127$ 2$QH[R(FRQWpPXPÀX[RJUDPDGHXPSURFHVVRWtSLFRGHDXGLWRULDHFHUWL¿FDomR 127$ $ OLVWD D VHJXLU FRQWpP LWHQV DGLFLRQDLV TXH SRGHP VHU FRQVLGHUDGRV DR VH HODERUDU RX UHYLVDU XPSURJUDPDGHDXGLWRULD WDPEpPSRGHVHUQHFHVViULRDERUGiORVQDGHWHUPLQDomRGRHVFRSRGDDXGLWRULD HHODERUDomRGHSODQRGHDXGLWRULD — UHFODPDo}HVUHFHELGDVSHORRUJDQLVPRGHFHUWL¿FDomRVREUHRFOLHQWH — DXGLWRULDFRPELQDGDLQWHJUDGDRXFRQMXQWD — PXGDQoDVQRVUHTXLVLWRVGHFHUWL¿FDomR — PXGDQoDVQRVUHTXLVLWRVOHJDLV — PXGDQoDVQRVUHTXLVLWRVGHDFUHGLWDomR — GDGRVGHGHVHPSHQKRRUJDQL]DFLRQDO SRUH[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$GRFXPHQWDomR deve demonstrar o atendimento aos requisitos desta parte da ABNT NBR ISO/IEC 17021. 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© ABNT 2016 - Todos os direitos reservados 23 ABNT NBR ISO/IEC 17021-1:2016 9.2.2.2.3 Guias &DGDDXGLWRUGHYHVHUDFRPSDQKDGRSRUXPJXLDDPHQRVVHDFRUGDGRGHRXWUDIRUPDSHORDXGLWRU OtGHUHSHORFOLHQWH2VJXLDVVmRGHVLJQDGRVSHODHTXLSHDXGLWRUDSDUDIDFLOLWDUDDXGLWRULD$HTXLSH DXGLWRUD GHYH DVVHJXUDU TXH RV JXLDV QmR 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 9.2.3.1 Generalidades 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 24 © ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados ABNT NBR ISO/IEC 17021-1:2016 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 9.3.1.1 Generalidades $DXGLWRULDLQLFLDOGHFHUWL¿FDomRGHXPVLVWHPDGHJHVWmRGHYHVHUUHDOL]DGDHPGXDVIDVHV IDVH HIDVH 9.3.1.2 Fase 1 9.3.1.2.1 2SODQHMDPHQWRGHYHDVVHJXUDUTXHRVREMHWLYRVGDIDVHSRVVDPVHUDWLQJLGRVHTXH RFOLHQWHHVWHMDLQIRUPDGRVREUHTXDLVTXHUDWLYLGDGHV³LQORFR´GXUDQWHDIDVH 127$ $IDVHQmRUHTXHUXPSODQRGHDXGLWRULDIRUPDO YHU 9.3.1.2.2 2VREMHWLYRVGDIDVHVmR D DQDOLVDUFULWLFDPHQWHHDLQIRUPDomRGRFXPHQWDGDGRVLVWHPDGHJHVWmRGRFOLHQWH E DYDOLDUDVFRQGLo}HVHVSHFt¿FDVGDSODQWDGRFOLHQWHHGLVFXWLUFRPRSHVVRDOGRFOLHQWHD¿P GHGHWHUPLQDURJUDXGHSUHSDUDomRSDUDDIDVH F DQDOLVDU FULWLFDPHQWH D VLWXDomR H D FRPSUHHQVmR GR FOLHQWH TXDQWR DRV UHTXLVLWRV GD QRUPD HP HVSHFLDO FRP UHODomR j LGHQWL¿FDomR GH DVSHFWRVFKDYH RX VLJQL¿FDWLYRV GH GHVHPSHQKR GHSURFHVVRVGHREMHWLYRVHGDRSHUDomRGRVLVWHPDGHJHVWmR G REWHUDVLQIRUPDo}HVQHFHVViULDVHPUHODomRDRHVFRSRGRVLVWHPDGHJHVWmRLQFOXLQGR — D V SODQWD V GRFOLHQWH © ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados 25 ABNT NBR ISO/IEC 17021-1:2016 — SURFHVVRVHHTXLSDPHQWRXWLOL]DGR — QtYHLVGRVFRQWUROHVHVWDEHOHFLGRV SDUWLFXODUPHQWHQRFDVRGHFOLHQWHVPXOWLVLWH — UHTXLVLWRVHVWDWXWiULRVHUHJXODWyULRVDSOLFiYHLV H DQDOLVDUFULWLFDPHQWHDDORFDomRGHUHFXUVRVSDUDDIDVHHDFRUGDUFRPRFOLHQWHRVGHWDOKHV GDIDVH I SHUPLWLURSODQHMDPHQWRGDIDVHREWHQGRXPHQWHQGLPHQWRVX¿FLHQWHGRVLVWHPDGHJHVWmRGR FOLHQWHHGRVHXIXQFLRQDPHQWRQRORFDOQRFRQWH[WRGDQRUPDGHVLVWHPDGHJHVWmRRXRXWUR GRFXPHQWRQRUPDWLYR J DYDOLDU VH DV DXGLWRULDV LQWHUQDV H DV DQiOLVHV FUtWLFDV SHOD GLUHomR HVWmR VHQGR SODQHMDGDV H UHDOL]DGDVHVHRQtYHOGHLPSOHPHQWDomRGRVLVWHPDGHJHVWmRGHPRQVWUDTXHRFOLHQWHHVWi SURQWRSDUDDIDVH 127$ 6HDRPHQRVSDUWHGDIDVHIRUUHDOL]DGDQDVLQVWDODo}HVGRFOLHQWHLVWRSRGHDX[LOLDUDDOFDQoDU RVREMHWLYRVFLWDGRVDFLPD 9.3.1.2.3 $V FRQFOXV}HV GRFXPHQWDGDV FRP UHODomR DR DWHQGLPHQWR GRV REMHWLYRV GD IDVH H j DSWLGmRSDUDVHJXLUjIDVHGHYHPVHUFRPXQLFDGDVDRFOLHQWHLQFOXLQGRDLGHQWL¿FDomRGHTXDLVTXHU iUHDVGHSUHRFXSDomRTXHSRGHULDPVHUFODVVL¿FDGDVFRPRQmRFRQIRUPLGDGHVGXUDQWHDIDVH 127$ 2VGDGRVUHVXOWDQWHVGDIDVHQmRSUHFLVDPDWHQGHURVUHTXLVLWRVGHXPUHODWyULR YHU 9.3.1.2.4 1D GHWHUPLQDomR GR LQWHUYDOR HQWUH DV IDVHV H GHYHVH OHYDU HP FRQVLGHUDomR DV QHFHVVLGDGHVGRFOLHQWHHPUHVROYHUDViUHDVGHSUHRFXSDomRLGHQWL¿FDGDVGXUDQWHDIDVH7DPEpP SRGHVHUSUHFLVRTXHRRUJDQLVPRGHFHUWL¿FDomRUHYLVHVHXVSUHSDUDWLYRVSDUDDIDVH6HRFRUUHUHP TXDLVTXHUPXGDQoDVVLJQL¿FDWLYDVTXHLPSDFWHPRVLVWHPDGHJHVWmRRRUJDQLVPRGHFHUWL¿FDomR 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 GHVLVWHPDGHJHVWmRRXRXWURGRFXPHQWRQRUPDWLYR E PRQLWRUDPHQWR PHGLo}HV FRPXQLFDomR H DQiOLVH FUtWLFD GR GHVHPSHQKR HP UHODomR DRV SULQFLSDLVREMHWLYRVHPHWDVGHGHVHPSHQKR FRHUHQWHFRPDVH[SHFWDWLYDVQDQRUPDDSOLFiYHO GHVLVWHPDGHJHVWmRRXHPRXWURGRFXPHQWRQRUPDWLYR F DFDSDFLGDGHHRGHVHPSHQKRGRVLVWHPDGHJHVWmRGRFOLHQWHHPUHODomRDRDWHQGLPHQWRGRV UHTXLVLWRVHVWDWXWiULRVUHJXODWyULRVHFRQWUDWXDLV G FRQWUROHRSHUDFLRQDOGRVSURFHVVRVGRFOLHQWH H DXGLWRULDLQWHUQDHDQiOLVHFUtWLFDSHODGLUHomR I UHVSRQVDELOLGDGHGDGLUHomRSHODVSROtWLFDVGRFOLHQWH 26 © ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados ABNT NBR ISO/IEC 17021-1:2016 9.3.1.4 &RQFOXV}HVGDDXGLWRULDLQLFLDOGHFHUWL¿FDomR $ HTXLSH DXGLWRUD GHYH DQDOLVDU FULWLFDPHQWH WRGDV DV LQIRUPDo}HV H HYLGrQFLDV FROHWDGDV GXUDQWH DV IDVHV H D ¿P GH DQDOLVDU FULWLFDPHQWH DV FRQVWDWDo}HV GD DXGLWRULD H FRQFRUGDU TXDQWR jVFRQFOXV}HVGDDXGLWRULD 9.4 Conduzindo auditorias 9.4.1 Generalidades 2RUJDQLVPRGHFHUWL¿FDomRGHYHWHUXPSURFHVVRSDUDUHDOL]DUDXGLWRULDVQRORFDO(VVHSURFHVVR GHYHLQFOXLUXPDUHXQLmRGHDEHUWXUDQRLQtFLRGDDXGLWRULDHXPDUHXQLmRGHHQFHUUDPHQWRDR¿QDO da auditoria. 4XDQGRDOJXPDSDUWHGDDXGLWRULDIRUIHLWDSRUPHLRVHOHWU{QLFRVRXTXDQGRRORFDODVHUDXGLWDGR 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 © ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados 27 ABNT NBR ISO/IEC 17021-1:2016 N FRQ¿UPDomRGHTXHRDXGLWRUOtGHUHDHTXLSHDXGLWRUDUHSUHVHQWDQGRRRUJDQLVPRGHFHUWL¿FDomR VmRUHVSRQViYHLVSHODDXGLWRULDHGHYHPFRQWURODUDH[HFXomRGRSODQRGHDXGLWRULDLQFOXLQGR DVDWLYLGDGHVHWULOKDVGHDXGLWRULD O FRQ¿UPDomRGDVLWXDomRGDVFRQVWDWDo}HVGDDQiOLVHFUtWLFDRXDXGLWRULDDQWHULRUVHDSOLFiYHO P PpWRGRVHSURFHGLPHQWRVDVHUHPXVDGRVSDUDUHDOL]DomRGDDXGLWRULDFRPEDVHHPDPRVWUDJHP Q FRQ¿UPDomRGRLGLRPDDVHUXVDGRGXUDQWHDDXGLWRULD R FRQ¿UPDomR GH TXH GXUDQWH D DXGLWRULD R FOLHQWH VHUi PDQWLGR LQIRUPDGR GR SURJUHVVR GDDXGLWRULDHGHTXDLVTXHUSUHRFXSDo}HV S RSRUWXQLGDGHSDUDRFOLHQWHID]HUSHUJXQWDV 9.4.3 Comunicação durante a auditoria 9.4.3.1 'XUDQWHDDXGLWRULDDHTXLSHDXGLWRUDGHYHDYDOLDUSHULRGLFDPHQWHRSURJUHVVRGDDXGLWRULD HWURFDULQIRUPDo}HV2DXGLWRUOtGHUGHYHUHGLVWULEXLURWUDEDOKRHQWUHRVPHPEURVGDHTXLSHDXGLWRUD FRQIRUPHQHFHVViULRHFRPXQLFDUSHULRGLFDPHQWHRSURJUHVVRGDDXGLWRULDHTXDLVTXHUSUHRFXSDo}HV DRFOLHQWH 9.4.3.2 4XDQGRDHYLGrQFLDGLVSRQtYHOGDDXGLWRULDLQGLFDUTXHRVREMHWLYRVGDDXGLWRULDVmRLQDWLQJt- YHLVRXVXJHULUDSUHVHQoDGHXPULVFRLPHGLDWRHVLJQL¿FDWLYR SRUH[HPSORVHJXUDQoD RDXGLWRUOtGHU 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}HVDWLYLGDGHVHSURFHVVRV GHYHPVHUREWLGDV 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 © ISO/IEC 2015 - 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