Comparing ISO 9000, Malcolm Baldrige, and the SEI CMM for Software: A Reference and Selection Guide

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Choose the right quality methodology—and implement it with maximum efficiency.

Quality is more critical than ever, but how can you decide which quality methodology is most appropriate for your organization? And if business necessity requires you to work with more than one methodology, how can you manage your quality efforts most efficiently, avoiding duplication while achieving the greatest quality benefits?

Comparing ISO 9000, Malcolm Baldrige and the SEI CMM for Software:A Reference and Selection Guide is the first book designed specifically to help you solve these problems. Quality expert Michael Tingey outlines the fundamental goals that all quality methodologies seek to achieve. Then, in unprecedented detail, he shows how these three leading systems compare:

• ISO 9000
• The Malcolm Baldrige National Quality Award
• The Software Engineering Institute (SEI) Capability Maturity Model (CMM) for Software

Whether you are reengineering all your processes or just looking to improve specific processes, Tingey helps you understand how each methodology's requirements translate into specific actions you should take to improve quality. He also introduces the new Quality Management System Assessment Framework—a comprehensive means of comparing your quality management system to the leading systems in industry today.

With this information, you can design customized quality plans without unnecessary cost and duplication—while ensuring that you actually achieve the quality goals you've set. You can also understand how these formal methodologies fit with the internal software quality efforts you may already have in place.

No matter what role you play in improving quality—and no matter which leading methodology or methodologies you choose to work with—you will find this book to be an invaluable resource and reference.

A detailed guide to choosing the best quality management system for your organization.

Quality is more critical than ever, but how can you decide which quality methodology is most appropriate for your organization? And if business necessity requires you to work with more than one methodology, how can you manage your quality efforts most efficiently, avoiding duplication while achieving the greatest quality benefits? 'Comparing ISO 9000, Malcolm Baldrige, and the SEI CMM for Software: A Reference and Selection Guide' is the first book designed specifically to help you solve these problems.

Choose the right software quality methodology, and make it work efficiently. Some organizations have established ISO 9000 quality certification or the Software Engineering Institute's Capability Maturity Model (CMM) as requirements for doing business with other companies. For other companies, the need for quality improvement has been recognized as critical to long-term survival. This book compares the three leading software quality assessment methodologies, including ISO 9000, SEI CMM and the Malcolm Baldrige Quality Award, helping businesses understand how these methods overlap, how to choose one, and how to manage the quality process most effectively. Managers and developers interested in improving their software quality.

MICHAEL TINGEY is a staff programmer for IBM Corporation, located at the IBM Glendale Programming Lab in Endicott, New York. He was key process focal point for IBM's first domestic software laboratory ISO 9001 certification, and is a trained ISO 9000 Lead Assessor. He is a member of the IBM Glendale Programming Lab's Malcolm Baldrige Assessment team, and has served as an internal Malcolm Baldrige assessor for IBM, assessing the quality of other IBM business units.

List of Figures.

List of Tables.

Preface.

Acknowledgments.

INTRODUCTION.  1. Purpose.

 2. Total Quality Management.

 3. Quality Management Systems.

ISO 9004, Quality Management System Guidelines. Malcolm Baldrige Quality Management System. Applying Quality Management System Elements to an Organization.  4. Assessment of Quality Management Systems.

Why Assessment? Types of Assessments.

II. QUALITY MANAGEMENT SYSTEM ASSESSMENT METHODOLOGIES.  5. 1995 Malcolm Baldrige National Quality Award.

 6. 1994 ISO 9000.

 7. 1993 SEI CMM for Software.

 8. Other Quality Management System Assessments.

Deming Prize. European Quality Award. Government Quality Awards.

III. COMPARING QMS ASSESSMENT METHODOLOGIES.  9. Comparison Overview.

10. High-Level Comparison.

Malcolm Baldrige Correlations. ISO 9001 Correlations. SEI CMM Correlations. 11. Comparison from a Malcolm Baldrige Perspective.

Malcolm Baldrige, Leadership. Malcolm Baldrige, Senior Executive Leadership. Malcolm Baldrige, Leadership System and Organization. Malcolm Baldrige, Public Responsibility and Corporate Citizenship. Malcolm Baldrige, Information and Analysis. Malcolm Baldrige, Management of Information and Data. Malcolm Baldrige, Competitive Comparisons and Benchmarking. Malcolm Baldrige, Analysis and Use of Company-Level Data. Malcolm Baldrige, Strategic Planning. Malcolm Baldrige, Strategy Development. Malcolm Baldrige, Strategy Deployment. Malcolm Baldrige, Human Resource Development and Management. Malcolm Baldrige, Human Resource Planning and Evaluation. Malcolm Baldrige, High Performance Work Systems. Malcolm Baldrige, Employee Education, Training, and Development. Malcolm Baldrige, Employee Well-Being and Satisfaction. Malcolm Baldrige, Process Management. Malcolm Baldrige, Design and Introduction of Products and Services. Malcolm Baldrige, Process Management: Product and Service Production and Delivery. Malcolm Baldrige, Process Management: Support Services. Malcolm Baldrige, Management of Supplier Performance. Malcolm Baldrige, Business Results. Malcolm Baldrige, Product and Service Quality Results. Malcolm Baldrige, Company Operational and Financial Results. Malcolm Baldrige, Supplier Performance Results. Malcolm Baldrige, Customer Focus and Satisfaction. Malcolm Baldrige, Customer and Market Knowledge. Malcolm Baldrige, Customer Relationship Management. Malcolm Baldrige, Customer Satisfaction Determination. Malcolm Baldrige, Customer Satisfaction Results. Malcolm Baldrige, Customer Satisfaction Comparison. 12. Comparison from an ISO 9001 Perspective.

ISO 9001, Management Responsibility. ISO 9001, Quality System. ISO 9001, Contract Review. ISO 9001, Design Control. ISO 9001, Document and Data Control. ISO 9001, Purchasing. ISO 9001, Control of Customer-Supplied Product. ISO 9001, Product Identification and Traceability. ISO 9001, Process Control. ISO 9001, Inspection and Testing. ISO 9001, Control of Inspection, Measuring, and Test Equipment. ISO 9001, Inspection and Test Status. ISO 9001, Control of Nonconforming Product. ISO 9001, Corrective and Preventive Action. ISO 9001, Handling, Storage, Packaging, Preservation, and Delivery. ISO 9001, Control of Quality Records. ISO 9001, Internal Quality Audits. ISO 9001, Training. ISO 9001, Servicing. ISO 9001, Statistical Techniques. 13. Comparison from an SEI CMM Perspective.

SEI CMM, Goals. SEI CMM, Common Features. SEI CMM, Commitment to Perform. SEI CMM, Ability to Perform. SEI CMM, Activities Performed. SEI CMM, Measurement and Analysis. SEI CMM, Verifying Implementation. SEI CMM, Key Process Areas. SEI CMM, Level 1—Initial. SEI CMM, Level 2—Repeatable. SEI CMM, Level 2 Requirements Management. SEI CMM, Level 2 Software Project Planning. SEI CMM, Level 2 Software Project Tracking and Oversight. SEI CMM, Level 2 Software Subcontract Management. SEI CMM, Level 2 Software Quality Assurance. SEI CMM, Level 2 Software Configuration Management. SEI CMM, Level 3—Defined. SEI CMM, Level 3 Organization Process Focus. SEI CMM, Level 3 Organization Process Definition. SEI CMM, Level 3 Training Program. SEI CMM, Level 3 Integrated Software Management. SEI CMM, Level 3 Software Product Engineering. SEI CMM, Level 3 Intergroup Coordination. SEI CMM, Level 3 Peer Reviews. SEI CMM, Level 4—Managed SEI CMM, Level 4 Quantitative Process Management. SEI CMM, Level 4 Software Quality Management. SEI CMM, Level 5—Optimizing. SEI CMM, Level 5 Defect Prevention. SEI CMM, Level 5 Technology Change Management. SEI CMM, Level 5 Process Change Management.

IV. FRAMEWORK FOR COMPARING QMS ASSESSMENT METHODOLOGIES. 14. Approach.

QMS Elements. QMS Activities. Translating QMS Requirements into Statements of Activity. Mapping Statements of Activity into QMS Properties Matrix. Comparing/Contrasting Mappings. Evaluating Mappings. 15. System Assumptions.

16. Framework High-Level Comparison.

17. Framework Comparison Summary.

V. APPENDIXES.  A. QMS Statements of Activity: Malcolm Baldrige.

 B. QMS Statements of Activity: ISO 9001.

 C. QMS Statements of Activity: SEI CMM.

 D. Correlated Statements of Activity: Malcolm Baldrige to ISO 9001.

 E. Correlated Statements of Activity: Malcolm Baldrige to SEI CMM.

 F. Correlated Statements of Activity: ISO 9001 to Malcolm Baldrige.

 G. Correlated Statements of Activity: ISO 9001 to SEI CMM.

 H. Correlated Statements of Activity: SEI CMM to Malcolm Baldrige.

 I. Correlated Statements of Activity: SEI CMM to ISO 9001.

 J. Quality Plans.

 J.1SEI Quality Plans.

 J.2ISO Quality Plans.

 K. Malcolm Baldrige—Properties Matrix.

 L. ISO 9001—Properties Matrix.

 M. SEI CMM—Properties Matrix.

 N. Properties Matrix Summary.

Index.

List of Figures.

Fig. 5.1 MB criteria framework. Fig. 6.1 ISO 9001/9002/9003 relationship. Fig. 7.1 SEI five levels of software process maturity. Fig. 10.1 SEI CMM/MB/ISO 9001 high-level comparison. Figure 11.1 Malcolm Baldrige mapping to ISO 9001. Figure 11.2 Malcolm Baldrige mapping to SEI CMM. Figure 12.1 ISO 9001 mapping to Malcolm Baldrige. Figure 12.2 ISO 9001 mapping to SEI CMM. Figure 13.1 SEI CMM mapping to Malcolm Baldrige. Figure 13.2 SEI CMM mapping to ISO 9001. Fig. 14.1 Activity loop. Fig. 16.1 Quality management system element comparison. Fig. 16.2 Quality management system activity comparison. List of Tables.

Table 5.1 MB Examination Items and Point Values. Table 6.1 ISO 9001 Quality System Requirements. Table 7.1 SEI CMM Key Process Areas by Maturity Level. Table 8.1 European Quality Award Categories. Table A.1 QMS Statements of Activity: Malcolm Baldrige. Table B.1 QMS Statements of Activity: ISO 9001 (ANSI/ASQC Q9001—1994). Table C.1 QMS Statements of Activity: SEI CMM. Table D.1 Malcolm Baldrige Statements Correlated to ISO 9001. Table E.1 Malcolm Baldrige Statements Correlated to SEI CMM. Table F.1 ISO 9001 Statements Correlated to Malcolm Baldrige. Table G.1 ISO 9001 Statements Correlated to SEI CMM. Table H.1 SEI CMM Statements Correlated to Malcolm Baldrige. Table I.1 SEI CMM Statements Correlated to ISO 9001. Table K.1 QMS Properties Matrix: Malcolm Baldrige. Table K.2 QMS Properties Matrix Summary: Malcolm Baldrige. Table L.1 QMS Properties Matrix: ISO 9001. Table L.2 QMS Properties Matrix Summary: ISO 9001. Table M.1 QMS Properties Matrix: SEI Capability Maturity Model. Table M.2 QMS Properties Matrix Summary: SEI CMM. Table N.1 QMS Properties Matrix Summary Comparison.