ISO/IEC 17021-1:2016 PDF
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Instituto Nacional de Metrologia, Qualidade e Tecnologia – Inmetro
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Summary
This document describes requirements for processes related to management system certification. It includes sections on requests, analysis, and the auditing program. It is written for those working in areas of quality control standards.
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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- WDQWHIRUQHoDDVLQI...
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$GRFXPHQWDomR deve demonstrar o atendimento aos requisitos desta parte da ABNT NBR ISO/IEC 17021. 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© ABNT 2016 - Todos os direitos reservados 21 ABNT NBR ISO/IEC 17021-1:2016 9.1.6 0~OWLSODVQRUPDVGHVLVWHPDVGHJHVWmR 4XDQGR D FHUWL¿FDomR GH P~OWLSODV QRUPDV GH VLVWHPDV GH JHVWmR p IRUQHFLGD SHOR RUJDQLVPR GH FHUWL¿FDomRRSODQHMDPHQWRSDUDDDXGLWRULDGHYHDVVHJXUDUXPDDXGLWRULDDGHTXDGDQRORFDOD¿P GHSURSLFLDUFRQ¿DQoDQDFHUWL¿FDomR 9.2 Planejando auditorias 9.2.1 Determinação dos objetivos, escopo e critérios de auditoria 9.2.1.1 2VREMHWLYRVGHDXGLWRULDGHYHPVHUGHWHUPLQDGRVSHORRUJDQLVPRGHFHUWL¿FDomR2HVFRSR HRVFULWpULRVGHDXGLWRULDLQFOXLQGRTXDLVTXHUDOWHUDo}HVGHYHPVHUHVWDEHOHFLGRVSHORRUJDQLVPR GHFHUWL¿FDomRDSyVGLVFXVVmRFRPRFOLHQWH 9.2.1.2 2VREMHWLYRVGHDXGLWRULDGHYHPGHVFUHYHURTXHGHYHVHUUHDOL]DGRSHODDXGLWRULDHGHYHP LQFOXLU D GHWHUPLQDomRGDFRQIRUPLGDGHGRVLVWHPDGHJHVWmRGRFOLHQWHRXGHSDUWHGHVVHVLVWHPDFRP RVFULWpULRVGHDXGLWRULD E GHWHUPLQDomR GD FDSDFLGDGH GR VLVWHPD GH JHVWmR SDUD DVVHJXUDU TXH R FOLHQWH DWHQGD DRV UHTXLVLWRVHVWDWXWiULRVUHJXODPHQWDUHVHFRQWUDWXDLV 127$ 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¿FDomRFRQVLVWLUHPPDLVGHXPDDXGLWRULD SRUH[HPSORDEUDQJHQGRGLIHUHQWHV SODQWDV RHVFRSRGHXPDDXGLWRULDLQGLYLGXDOSRGHQmRDEUDQJHURHVFRSRFRPSOHWRGDFHUWL¿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¿QLGRHP SDUDDDXGLWRULD 22 © ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados ABNT NBR ISO/IEC 17021-1:2016 9.2.2.1.2 $RVHGHFLGLURWDPDQKRHDFRPSRVLomRGDHTXLSHDXGLWRUDGHYHPVHUFRQVLGHUDGRVRV seguintes itens: D REMHWLYRVGDDXGLWRULDHVFRSRFULWpULRVHWHPSRGHDXGLWRULDHVWLPDGR E VHDDXGLWRULDpFRPELQDGDFRQMXQWDRXLQWHJUDGD F D FRPSHWrQFLD JOREDO GD HTXLSH DXGLWRUD QHFHVViULD SDUD DOFDQoDU RV REMHWLYRV GD DXGLWRULD YHU7DEHOD$ G UHTXLVLWRV GH FHUWL¿FDomR LQFOXLQGR UHTXLVLWRV HVWDWXWiULRV UHJXODPHQWDUHV RX FRQWUDWXDLV DSOLFiYHLV H LGLRPDHFXOWXUD 127$ 'ROtGHUGDHTXLSHGHXPDDXGLWRULDFRPELQDGDRXLQWHJUDGDVHHVSHUDFRQKHFLPHQWRSURIXQGR GHSHORPHQRVXPDGDVQRUPDVHFRQKHFLPHQWRVLPSOHVGDVRXWUDVQRUPDVXWLOL]DGDVSDUDDTXHODDXGLWRULD SDUWLFXODU 9.2.2.1.3 2 FRQKHFLPHQWR H DV KDELOLGDGHV GR DXGLWRUOtGHU H GRV DXGLWRUHV SRGHP VHU FRPSOH- PHQWDGRVSRUHVSHFLDOLVWDVWpFQLFRVWUDGXWRUHVHLQWpUSUHWHVTXHGHYHPDWXDUVREDRULHQWDomR GH XP DXGLWRU 4XDQGR IRUHP XWLOL]DGRV WUDGXWRUHV RX LQWpUSUHWHV HOHV GHYHP VHU VHOHFLRQDGRV GHIRUPDDQmRLQÀXHQFLDUDDXGLWRULDLQGHYLGDPHQWH 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- VDELOLGDGH¿QDOSHODVDWLYLGDGHVHFRQVWDWDo}HVGRDXGLWRUHPWUHLQDPHQWR 9.2.2.1.5 2 DXGLWRUOtGHU HP FRQVXOWD FRP D HTXLSH DXGLWRUD GHYH GHVLJQDU UHVSRQVDELOLGDGHV D FDGDPHPEURGDHTXLSHSDUDDXGLWDUSURFHVVRVIXQo}HVORFDLViUHDVRXDWLYLGDGHVHVSHFt¿FRV7DLV WDUHIDVGHYHPOHYDUHPFRQVLGHUDomRDQHFHVVLGDGHSRUFRPSHWrQFLDHRXVRH¿FD]HH¿FLHQWHGD HTXLSHDXGLWRUDDVVLPFRPRDVGLIHUHQWHVIXQo}HVHUHVSRQVDELOLGDGHVGRVDXGLWRUHVDXGLWRUHVHP WUHLQDPHQWRHHVSHFLDOLVWDVWpFQLFRV3RGHPVHUIHLWDVPXGDQoDVQDVWDUHIDVGHVLJQDGDVQDPHGLGD 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 © ISO/IEC 2015 - © ABNT 2016 - Todos os direitos reservados 23 ABNT NBR ISO/IEC 17021-1:2016 9.2.2.2.3 Guias &DGDDXGLWRUGHYHVHUDFRPSDQKDGRSRUXPJXLDDPHQRVVHDFRUGDGRGHRXWUDIRUPDSHORDXGLWRU OtGHUHSHORFOLHQWH2VJXLDVVmRGHVLJQDGRVSHODHTXLSHDXGLWRUDSDUDIDFLOLWDUDDXGLWRULD$HTXLSH DXGLWRUD GHYH DVVHJXUDU TXH RV JXLDV QmR LQÀXHQFLHP RX LQWHU¿UDP QR SURFHVVR RX QR UHVXOWDGR da auditoria. 127$ $VUHVSRQVDELOLGDGHVGHXPJXLDSRGHPLQFOXLU D HVWDEHOHFHUFRQWDWRVHKRUiULRVSDUDHQWUHYLVWDV E RUJDQL]DUYLVLWDVSDUDSDUWHVHVSHFt¿FDVGRORFDORXGDRUJDQL]DomR F DVVHJXUDUTXHUHJUDVUHODWLYDVDRVSURFHGLPHQWRVGHVHJXUDQoDHVHJXULGDGHGRORFDOVHMDPFRQKHFLGDV HUHVSHLWDGDVSHORVPHPEURVGDHTXLSHDXGLWRUD G WHVWHPXQKDUDDXGLWRULDHPQRPHGRFOLHQWH H IRUQHFHUHVFODUHFLPHQWRRXLQIRUPDo}HVFRQIRUPHUHTXLVLWDGRSHORDXGLWRU 127$ 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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