Implementing CMMI Along With ISO 9001

Suppose a company already has an ISO 9001 certification. Then they decide to achieve an appraisal at level 3. Suppose further that their plan is to add additional process assets according to their gap analysis. But then they discover that certain ISO 9001 work instructions or templates require changes to meet the requirements of CMMI level 3. If these assets are changed, would that necessarily invalidate the ISO 9001 certification? Under what conditions would the certification be invalidated, and what needs to be done under those circumstances? Is there a way to avoid this issue?

Without having any details as to your situation, I find it hard to believe that if you are ISO 9001 certified that the CMMI is causing you to make changes to your quality system that would invalidate your ISO 9001 certification. The ISO 9001 standard and the CMMI-DEV model are compatible. Are you working with an SEI-certified Lead Appraiser/consultant? If not, you may be making some decisions to change processes and process assets that are not necessary.

To properly address your concerns, you should have a Lead Appraiser conduct a gap analysis of your organization to determine what you currently have in place that is compatible with the CMMI and identify those gaps that need to be addressed in order for your organization to achieve Maturity Level 3. And any updates to existing processes and process assets should be compatible with both the ISO standard and the CMMI-DEV.

How do I handle negative responses to process improvement or the CMMI?

Some people will always object. There is a saying, “you can take a horse to water, but you can’t make him drink”, which is so apropos to negative reactions to any process improvement initiative. What you have to keep in mind is that people generally fall into one of five populations when it comes to making changes: Innovators, Early Adopters, Early Majority, Late Majority, and Laggards. Innovators, Early Adopters, and the Early Majority are usually those people who are open minded, see the value of models and standards, and are willing to make a change. The Late Majority and Laggards resist change and do not see the value of any model or standard process. I have heard of these type of people referred to as CAVE (Citizens Against Virtually Everything). You may want to look at my presentation on Managing Cultural Change in the Slideshow sidebar on the right of this blog.

I ran into this problem years ago when I was the ISO 9000 Management Representative in a small software company. It was a constant struggle to get people to document and follow their procedures. I even had one developer who said “I just want to be left alone in my office with the door shut so I can write code.” I just had to maintain a positive attitude and continue working towards the end goal despite all the negativity and stupid comments like “OK, what is the documented procedure for making coffee now?”

I had another experience a few years back trying to teach the Software CMM class at a client site. Most of the students didn’t want to be in the class, but were forced to by management. In fact, there was one particular student who just sat in class, did not participate, and had a smug smile on his face the whole time. Half way through the second day the client decided, based on feedback from the students after hours on Day 1, to cancel the remainder of the class because they felt they didn’t need the training, it didn’t teach them anything they didn’t already know, and therefore it was of no value to them.

There isn’t a whole lot you can do with this attitude. You basically are a lone voice crying in the wilderness. They won’t listen to you no matter what you tell them. I characterize these types of people and organizations as being in the first step of the Twelve Step Process, they are in denial. They are a disaster waiting to happen and nothing is going to budge them to look at things differently until after something bad happens. About all you can do is “plant the seed” about the CMMI and process improvement and walk away. When things take a turn for the worse, they may remember what you told them and they may come back to you for help.

Setting Proper Goals and Objectives

On choosing a transition partner for process improvment... : Green & White
One of the underlying issues in the "doomsday scenario" discussed in this article is management commitment and the proper setting of Business Goals and Objectives, Process Goals and Objectives, Quality Goals and Objectives, Project Management Goals and Objectives, etc. Achieving a certification like ISO 9000 or a CMMI Maturity Level is NOT, and should NEVER be, one of these Goals and Objectives. Unfortunately, setting the achievement of ISO or a CMMI Matuity Level is often what I see as a Business Goal and Objective when I teach the CMMI class or pay the initial visit to a new client. When the organization has this view of why it is in business, then they display ALL of the dysfunctional behaviors you noted above.

In my experience, most managers do not know how to perform proper goal setting without some coaching and mentoring. Either the goals are too lofty (motherhood and apple pie) or they have nothing to do with their core business (achieve ISO 9000 etc.).

And if their customers are demanding ISO 9000 or CMMI in order for the company to win new business, then it is extremely difficult to get management's attention to set proper goals and objectives.