Systematic process improvement using ISO 9001:2000 and CMMI

252 Appraisal/Registration
It is important to note that the SEI does not ‘‘certify’’ appraisal ratings.
Although it keeps a database of all assessments and appraisals, it does not
provide information about the scope or results of any organization’s appraisal
to the public. On the other hand, an appraised organization is free to use
and publicize the appraisal results as it sees fit.
8.2 ISO 9001:2000 registration process
In this section we briefly describe the ISO assessment flow and the objective
evidence needed for an ISO certification audit. Because the standard has
been updated, there are at least two ways to approach an ISO 9001:2000
audit. One is for organizations that have upgraded their QMS from the 1994
version, and another is for those being audited for the first time using the
2000 version. We will concentrate on the later because it will, in general,
encompass the former. The upgrade audit typically concentrates on the
review of the requirements imposed by the ISO 9001:2000 standard, evidence
that internal audits and management reviews focusing on process
changes have been conducted, and personnel training in the new QMS.
Most organizations will perform a preassessment to determine if the QMS
is satisfactory for the formal audit. ISO limits performance of the preassessment
to only one instance. The flow of a typical registration process is shown
in Figure 8.4.
It is expected that the organization has already selected the registrar and
has the necessary information about ISO audit requirements. During the
preparation phase, the auditor and the organization’s representative develop
an audit plan, which identifies the organizational unit to be assessed and
the scope of the assessment. In addition, the optional preassessment will be
arranged. Note that registrars are not allowed to provide consultation services
because the standards require that they maintain their independence from
the organizations that they will audit.
During preparation, the auditor will inform the organization about the
documentation they will be required to provide and the support that will
be needed during the assessment. The goal of the audit is to review as much
of the organizational documentation and its implementation as possible in
the time allotted, typically a week. Although an audit of a large organization
will be different from an audit of a small organization, the processes practiced
in those organizations must be reviewed in both cases.
A portion of a typical assessment plan is shown in Table 8.4. The plan
indicates the areas of investigation and relates them to the responsible or
cognizant organizational elements. Assessors develop questions at the level