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CMM vs. ISO. David S. Craft CIRM, PMP. Agenda. Who Am I Software Systems Development ISO CMM Sarbanes Oxley. Who Am I. Managing Consultant, Engineering and Manufacturing Services. Inventory Control Manager. Shift Supervisor. Internal ISO Auditor. Industrial Engineer. Team Leader.

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cmm vs iso


David S. Craft CIRM, PMP

  • Who Am I
  • Software Systems Development
  • ISO
  • CMM
  • Sarbanes Oxley
who am i
Who Am I

Managing Consultant, Engineering and Manufacturing Services

Inventory Control Manager

Shift Supervisor

Internal ISO Auditor

Industrial Engineer

Team Leader


Materials Manager

VISTA Volunteer

Manager Production Planning & Control

Chief Industrial Engineer

Project Manager

  • To Develop Software and Systems You Need A Process
    • Anything goes
    • Defined
    • Structured
Process, people and technology are the major determinants of project cost, quality and schedule.
common misconceptions
Common Misconceptions
  • I don’t need defined processes I have:
      • Really good people
      • Advanced Technology
      • An experienced manager
  • Defined Processes:
      • Interfere with creativity
      • Equals bureaucracy + regimentation
      • Isn’t needed when building prototypes
      • Is only useful on large projects
      • Hinders agility in fast moving projects
      • Costs too much
why we need standard processes
Why We Need Standard Processes
  • Estimating (History)
    • Scope
    • Cost
    • Time
    • Tools
  • Deliver the Product to Estimate (Visibility)
    • Time
    • Cost
    • Quality
  • Handling/Controlling Changes
    • Planned
    • Unplanned
    • Scope Creep
iso cmm differences
ISO – CMM Differences

Netta Dotan, Quality Assurance & project management, Ronkal Office Technologies

iso cmm differences my view
ISO – CMM Differences – My View

Netta Dotan, Quality Assurance & project management, Ronkal Office Technologies

iso cmm similarities
ISO – CMM Similarities
  • Both require the organization be explicit about what their processes and quality systems are
  • Say what you do; do what you say
  • The organization records and tracks data for objective analysis
  • Require strong management support to succeed
  • Provide a structured and measured approach to quality improvement
  • Require an outside audit for “certification”
  • Both are refined/improved over time
meet iso
Meet ISO
  • The International Organization for Standardization (ISO) is a worldwide federation of national standards bodies from some 162 countries, representing approximately 95% of worldwide production. ISO is a non-governmental organization established in 1947 to promote the development of standardization and related activities in the world with a view to facilitating international exchange of goods and services and development of cooperation in the spheres of intellectual, scientific, technological and economic activity
  • ISO (International Organization for Standardization) is the world's largest developer and publisher of International Standards.
  • ISO is a non-governmental organization that forms a bridge between the public and private sectors. On the one hand, many of its member institutes are part of the governmental structure of their countries, or are mandated by their government. On the other hand, other members have their roots uniquely in the private sector, having been set up by national partnerships of industry associations. Therefore, ISO enables a consensus to be reached on solutions that meet both the requirements of business and the broader needs of society.
iso s impact
ISO’s Impact
  • In the global economy
  • ISO 9001:2000 and ISO 14001:2004 have become thoroughly integrated with the world economy.
  • ISO 9001:2000 is now firmly established as the globally accepted standard for providing assurance about the quality of goods and services in supplier-customer relations.
  • The positive roles played in globalization by ISO’s standards for quality and environmental management systems include the following:
    • a unifying base for global businesses and supply chains – such as the automotive and oil and gas sectors
    • a technical support for regulation – as, for example, in the medical devices sector
    • a tool for major new economic players to increase their participation in global supply chains, in export trade and in business process outsourcing;
    • a tool for regional integration –  as shown by their adoption by new or potential members of the European Union
  • In the rise of services in the global economy – nearly 33 % of ISO 9001:2000 certificates in 2005 went to organizations in the service sectors.
what are standards
Standards are documented agreements containing technical specifications or other precise criteria to be used consistently as rules, guidelines, or definitions of characteristics, to ensure that materials, products, processes and services are fit for their purpose.

For example, the format of the credit cards, phone cards, and "smart" cards that have become commonplace is derived from an ISO International Standard. Adhering to the standard, which defines such features as an optimal thickness (0,76 mm), means that the cards can be used worldwide.

International Standards thus contribute to making life simpler, and to increasing the reliability and effectiveness of the goods and services we use.

Last modified 2002-07-17

What are standards?
which iso standards
Which ISO Standards
  • ISO 9000 represents consensus on what requirements a quality system must meet but does no dictate how they should be met.
  • The ISO 9000 series addresses quality management and quality assurance standards. It is designed to assist organizations in implementing and operating an effective quality management system (QMS). ISO 9001 defines what quality standards should be followed. It does not tell how.
  • The ISO 9000:2000 series is based on 8 key principles: Customer Focus, Leadership, Involvement of People, Process Approach, System Approach to Management, Continual improvement, Factual Approach to Decision Making and Mutually Beneficial Supplier Relationships
quality system documentation
Level 1


Approach and




Level 2


Who, What, When




Level 3

Answers How

Level 4

Results: shows that the system is operating


Quality System Documentation
iso 9001 2000 structure
ISO 9001:2000 Structure
  • Quality Management System
    • 4.1 General requirements
    • 4.2 Document requirements
  • Management Responsibility
    • 5.1 Management commitment
    • 5.2 Customer focus
    • 5.3 Quality policy
    • 5.4 Planning
    • 5.5 Responsibility, authority, communication
    • 5.6 Management review
  • Product realization
    • 7.1 Planning of product realization
    • 7.2 Customer-related processes
    • 7.3 Design and development
    • 7.4 Purchasing
    • 7.5 Production and service provision
    • 7.6 Control of monitoring and measuring devices
  • Measurement, Analysis & Improvement
    • 8.1 General
    • 8.2 Monitoring and measurement
    • 8.3 Control of nonconforming product
    • 8.4 Analysis of data
    • 8.5 Improvement
  • Resource Management
    • 6.1 Provision of resources
    • 6.2 Human resources
    • 6.3 Infrastructure
    • 6.4 Work environment
  • ISO is a certification model. Typically, an internal quality system assessment (audit) is performed, repairs made and the organization may then submit to a formal system audit lasting for several days performed by one of the ISO certification Bodies. The certificate usually is valid for three years and also requires that a system of Quality Management be in place, including performance of regular internal audits and intermediate external audits.
meet cmmi
  • CMMI® (Capability Maturity Model® Integration) models are collections of best practices that help organizations to improve their processes. These models are developed by product teams with members from industry, government, and the Software Engineering Institute (SEI). These models provides a comprehensive integrated set of guidelines for developing products and services.
  • The CMMI-DEV model provides guidance for applying CMMI best practices in a development organization. Best practices in the model focus on activities for developing quality products and services to meet the needs of customers and end users.
  • Other CMMI models: Acquisition and Services
scope of cmmi
Scope of CMMI
  • CMMI is designed to help identify and prioritize process improvement opportunities and facilitate organizational change management. The model is used for internal process improvement, sourcing selection and benchmarking, rather than certification
  • CMMI is organized as a process framework that cluster related practices into process areas that, when performed collectively, satisfy a set of goals. It requires that you define specific practices to meet specific goals but does not define how they are to be implemented.
  • The CMMI provides two representations – staged and continuous. The staged view provides five maturity levels: Initial, Managed, Defined, Quantitatively Managed, and Optimizing and 22 process areas PAs). The PAs at each maturity level build on the previous level. Alternatively, continuous representation is used to focus on a process capability in a desired functional area (project management, process management, engineering and support) rather that maturity levels.
  • This is not a certification model, but ratings may be announced and published. The SEI publishes ratings provided the company gives it permission. Formal appraisals are typically 5 – 10 days and led by SEI-authorized internal or external lead appraisers, using trained teams and a formal methods. The method is named SCAMPI (Standard CMMI Appraisal Method for Process Improvement).
examples of cmmi impact roi
Examples of CMMI Impact: ROI
  • 5:1 ROI for quality activities (Accenture)
  • 13:1 ROI calculated as defects avoided per hour spent in training and defect prevention (Northrop Grumman Defense Enterprise Systems)
  • Avoided $3.72 M in costs due to better cost performance (Raytheon North Texas Software Engineering) as the organization improved from SW-CMM level 4 to CMMI level 5
  • 2:1 ROI over 3 years (Siemens Information Systems Ltd, India)
  • 2.5:1 ROI over 12st year, with benefits amortized over less than 6 months (reported under non disclosure)
  • (reported by the American Society for Quality)
sarbanes oxley implications
Sarbanes-Oxley Implications
  • With its more than 300 discrete points of enforceable law, this is the most significant piece of account legislation passed since the formation of the SEC in 1933
  • SOX was passed with the specific intent of increasing accountability and attempting to install ethical behavior in financial reporting and business operations.
  • With this increase spotlight on reporting, companies must invest resources and focus into their internal control process
  • The Act created the Public Company Accounting Oversight Board (PCAOB) to oversee the activities of the auditing profession and mandated reforms to enhance corporate and criminal fraud accountability.
  • A goal of SOX legislation is to continually improve the transparency of financial and business events that can impact the accuracy and future validity of financial statements. Projects to improve processes and regular review of controls will become common-place activities as compliance evolves. Tools that simplify project completion and track status will better enable organization to cost-effectively undertake these projects.
sox major section
SOX Major Section
  • 302 – Corporate Responsibility for Financial Reports
    • Requires Executives to certify the accuracy of corporate financial reports
  • 404 – Management Assessment of Internal Controls
    • Requires executives and auditors to confirm the effectiveness of internal controls for financial reporting
  • 409 – Real Time Issuers Disclose
    • Requires any material changes in financial state of issuer be communicated quickly and with supporting data to the public
implications for it
Implications for IT
  • Configuration management is now a must
  • Change controls must be handled more carefully
  • Security, security, security
  • All system changes must be verifiable by a clear audit trail
  • Reduce reliance on batch processing, update data warehouse more frequently
  • Interfaces from any financial system must be documented and controlled
  • IT activities must be aligned with the company’s governance and risk policies