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

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


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  • Copyright 1997
  • Dimensions: 7" x 9-1/4"
  • Pages: 336
  • Edition: 1st
  • Book
  • ISBN-10: 0-13-376260-2
  • ISBN-13: 978-0-13-376260-0


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.

Sample Content

Table of Contents

List of Figures.

List of Tables.




 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.


 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.


 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.


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.


 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.
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.


This book is an in-depth study that compares three quality management system (QMS) assessment methods: Malcolm Baldrige National Quality Award (MB), International Organization for Standardization 9000 (ISO 9000), and the Software Engineering Institute (SEI) Capability Maturity Model (CMM) for Software.

Many companies are finding themselves in a position where they must assess their quality management system using more than one assessment model. This is causing an increase in the cost of conducting business, which can be minimized by understanding where these assessment models overlap and how they differ from one another.

This book also establishes a framework from which to compare QMS assessment methodologies in general. This outline provides assistance in deciding which methodology is best suited for an organizationÕs QMS. It also provides a cross-reference among the various methodologies for specific aspects of a quality management system.

An overview and detailed analysis of each methodology is provided. Also included is a complete translation of all assessment methodology requirements into statements of activity. The following specific methodologies were used for the comparison:

Software Engineering Institute Capability Maturity Model for Software (1993, latest published revision).

ANSI/ASQC Q9001--1994, Quality Systems-Model for Quality Assurance in Design, Development, Production, Installation, and Servicing (American equivalent to ISO 9001, 1994). (1994, latest published revision).

1995 Malcolm Baldrige National Quality Award (published annually)

This book is divided into five parts and is structured so that each part can be used independently of the others. Using the subsequent paragraphs, people of differing experience levels can quickly find the material that is of the most importance to them. Those who are new to TQM and quality management systems can start with Part 1 and progress through the subsequent parts. Experienced practitioners can largely skip Parts 1 and 2 and focus on Parts 3, 4, and 5.

Part I: Introduction provides an introduction and a backdrop from which you can better understand the comparison. Chapter 1 describes the two primary purposes of the book. Chapter 2 introduces total quality management (TQM) and some of the various definitions of quality, identifying their common themes. Chapter 3 further defines TQM by identifying the "Core Values and Concepts" underlying the ISO and MB quality management systems. Chapter 4 provides the rationale for assessing the quality management system and the types of assessments.

Part II: Quality Management System Assessment Methodologies provides an overview for each of the three QMS assessment methodologies in Chapters 5, 6, and 7 . Chapter 8 briefly describes other QMS assessments.

Part III: Comparing QMS Assessment Methodologies is the core part of the book, comparing the three methodologies. Chapter 9 gives a summary and overview of the comparison. Chapter 10 provides a high-level view of where the methodologies intersect. Chapters 11, 12, and 13 provide a detailed view as seen from each methodologyÕs perspective and the corresponding requirements in the other two methodologies.

Part IV: Framework for Comparing QMS Assessment Methodologies provides the framework used for comparing the QMS methodologies. Chapter 14 describes the approach used to compare the assessment methodologies. Chapter 15 discusses conducting a system comparison in general and also identifies the assumptions used in the comparison. Chapter 16 provides a high-level comparison using the QMS framework, which Chapter 17 then summarizes.

Part V: contains the appendixes. Appendixes A, B, and C provide the detailed requirements of MB, SEI, and ISO. Appendixes D, E, F, G, H, and I provide the detailed correlated requirements of MB, SEI, and ISO as seen from each methodologyÕs perspective. Appendix J provides the detailed requirements of the SEI and ISO quality plans. Appendixes K, L, and M provide the QMS framework properties matrixes for MB, SEI, and ISO. Appendix N is the summary of properties matrixes.


Software Engineering Institute, SEI, Capability Maturity Model, CMM, International Organization for Standardization 9000, ISO, ISO 9000, ISO 9001, ISO 9004, Malcolm Baldrige National Quality Award, MB, MBNQA, Quality Management System, QMS, Total Quality Management, TQM, Market-Driven Quality, MDQ, Comparison, Assessment, Continuous Improvement, Quality Maturity, Process Reengineering, Reengineering, Framework, Methodology, Methodologies, Software Development Process.


Excerpts from the Capability Maturity Model for Software, Version 1.1 (CMU-93-TR-24), and the Key Practices of the Capability Maturity Model, Version 1.1 (CMU-93-TR-25), appear throughout this book with permission of the Software Engineering Institute, Carnegie Mellon University, Pittsburgh, PA 15213. Copyright -- 1993 by Carnegie Mellon University.

Excerpts from the Q9001-1994 standards throughout this book appear with the permission of the American Society for Quality Control, 611 East Wisconsin, Ave., P.O. Box 3005, Milwaukee, WI 53201. Copyright -- 1994, American Society for Quality Control. No part of these standards may be reproduced in any form, in an electronic retrieval system or otherwise, without the prior written permission of the copyright holder.

The author and publisher make no guarantee, either express or implied, with regard to the ISO 9000 registration.

Excerpts from the 1995 Malcolm Baldrige National Quality Control Award appear throughout this book.

The Malcolm Baldrige National Quality Award is published by the United States Department of Commerce and is considered public domain material.


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