APPLYING ISO 9001 AND CMMI IN QUALITY-ORIENTED KNOWLEDGE MANAGEMENT FOR SOFTWARE PROCESS IMPROVEMENT

Transcription

1 140 International Journal of Electronic Business, Vol. 2,. 2, pp (2004) APPLYING ISO 9001 AND CMMI IN QUALITY-ORIENTED KNOWLEDGE MANAGEMENT FOR SOFTWARE PROCESS IMPROVEMENT Yin-Ho Yao 1* and Hsin-Kuo Lee 2 1 Department of Industrial Engineering & Ta-Hwa Institute of Technology 2 Department of Industrial Engineering & Engineering National Tsing Hua University Hsinchu (300), Taiwan ABSTRACT ISO 9001 Quality System (QMS) and Capability Model Integration (CMMI) are quality technologies, which can be applied to the software industry. This paper adopts these two technologies to improve software process quality. ISO 9001 stresses the importance of building a QMS complying with the ISO guidelines of documation. CMMI stresses the importance of building a process improvement model following the CMMI documentation guidelines. In addition, knowledge (KM) technology transforms these quality-related documents into valuable knowledge that can be utilized effectively and efficiently throughout the entire software organization. The objective of this paper is to apply and integrate ISO 9001 and CMMI in a quality-orientated knowledge system for software process improvement (SPI). Focusing on the combined approaches and methodologies, the software process of a real software company is analyzed for designing a web-based prototyping quality-orientated KM system. The main functional modules of the system include creating, archiving, querying and managing the ISO and CMMI based quality system document. With the prototyping system, this paper confirms the benefits and synergies of the quality system for software development and process improvement. This paper also provides the transformation guidelines from ISO 9001 to CMMI for software companies to enhance the quality-orientated knowledge of software processes. Keywords: ISO 9001, Capability Model Integration (CMMI), Software Improvement (SPI), (KM) * 1. INTRODUCTION Owing to more complex software development processes in software development projects, software problems such as poor quality, budget overrun, unimplemented functionality, and cancelled projects become worse. Software organizations, like software companies and departments of enterprises and governments, start to pay more attention to software quality technology to improve software quality. The term Software Improvement (SPI) denotes the changes implemented to a software process that bring about improvements [11]. The software process can be defined as a set of activities, methods, practices, and * Corresponding author: yhyao@thit.edu.tw transformations that people use to develop and maintain software and the associated products such as project plans, design documents, code, test cases, and user manuals [12, 16]. The objectives of SPI are to improve software product quality, increasing productivity and decreasing the cycle time for product development [13]. In other words, SPI aims at achieving competitive advantage for software developers [15]. There are various approaches to implement SPI. European firms tend to use the ISO 9000 family to enhance software process capabilities and quality. rth American companies seem to prefer CMM [12], now CMMI. Both ISO 9001 and CMMI are synergistic SPI technologies. Using either one as a basis will help process improvement. Whereas the CMMI is designed exclusively for software processes, the ISO 9001 standards are not limited to software

2 Y. H. Yao and H. K. Lee: Applying ISO 9001 and CMMI in Quality-Orientated 141 production. Many software companies realize that they need to improve their software processes using more than one assessment model, e.g., ISO 9001 or CMMI. But, if they do not compare the differences carefully, it will cause an increase in the cost of running their business. In fact, the cost can be minimized by understanding where these assessment models overlap and how they differ from one another [17]. First, based on the above concepts, an overview and detailed analysis of each model is provided in this paper. Then a complete translation of the requirements of the models into software process quality documentation is offered. Third, a web-based prototyping quality-orientated KM system is designed. Finally, this study suggests transition steps from ISO 9001 to CMMI to enhance the quality-orientated knowledge of software processes. 2. BACKGROUND There are both production and service processes in a generic software development process. For differentiating them from the hardware manufacturing process, we define software development process as software process [4] in this paper. Because the quality of software is closely related to overall software process, experience has shown that successful quality must be orientated to process improvement rather than control of the final product alone. Hence, it is important to improve software quality by means of improving software processes [10]. It is impossible to create a comprehensive quality system (QMS) without a universally acceptable standard or model to follow, therefore we need an acceptable standard or model as reference. Fortunately, both ISO 9001 and CMMI can help us solve this problem. ISO 9000 series of standards, developed by the International Organization for Standardization (ISO), and CMMI [1], developed by the Software Engineering Institute (SEI), have a common concern of quality and process. Although they are driven by similar issues and are intuitively correlated, they differ in their underlying philosophies: ISO 9001 identifies the minimal requirements for a QMS, while CMMI underlines the need for continual process improvement. However, some aspects are not covered in ISO or CMMI, as illustrated in Table 1. Table 1: Aspects not covered in ISO 9001 and CMMI ISO 9001 CMMI explicit requirements for: Institutionalization Creating/maintaining organization assets (repository/database) areas explicit requirements for: focus and customer satisfaction representative responsible for quality Infrastructure (buildings, workspace, equipment, etc.) Control of monitoring and measuring devices ISO 9000 family is a set of internationally recognized standards on quality. The standards are intended to provide a generic core of quality system standards applicable to broad range of industry and economic sectors. A major purpose of quality is to improve the systems and processes so that continual improvement of quality can be achieved. Before the year 2000, software developers were advised to use ISO [7] due to the specialization of software as a product. At 15 Dec. 2000, ISO published a revised ISO 9000 series. The ISO 9000 family is based on the assumption that all work is accomplished by a process. Accordingly, quality means managing all processes in an overall organization. Table 2 gives an overview of the ISO 9000:2000 standards. Software organizations can use the standards to build and maintain the QMS to assure the software process conforming to the requirements specified in ISO Table 2: Overview of the ISO 9000:2000 standards Standards and guidelines Purposes ISO 9000:2000, Quality Establishes a starting point for understanding the standards and defines the systems - fundamental terms and definitions used in the ISO 9000 family which you need to Fundamentals and vocabulary [6] avoid misunderstandings in their use. ISO 9001:2000, Quality systems Requirements [8] ISO 9004:2000, Quality systems - Guidelines for performance improvements [9] This is the requirement standard you use to assess your ability to meet customer and applicable regulatory requirements and thereby address customer satisfaction. It is now the only standard in the ISO 9000 family against which third-party certification can be carried. This guideline standard provides guidance for continual improvement of your quality system to benefit all parties through sustained customer satisfaction.

3 142 International Journal of Electronic Business, Vol. 2,. 2 (2004) A quality system is a set of organizational structures, procedures, processes and resources needed to implement quality. ISO 9004 is a guideline for performance improvement. ISO 9001 is the only model for external quality assurance specifying a set of requirements. The demonstration of conformance to these requirements is called certification or registration. Although the implementation of an ISO 9001 QMS does not necessarily require a certification, most software organizations are seeking certification when they have installed a QMS. The average time software organizations need to implement an ISO 9001 QMS is 1.5 years. ISO 9001 provides customers with confidence when delivering conforming products/services. It offers a framework for developing a well documented and continually improved QMS based process, which meets customer requirements. The general approach of ISO 9001 is to assure quality by improving processes. The process-orientated framework of ISO9001 QMS is illustrated in Figure 1. Requirements Continual Improvement of of the the QMS Responsibility Resource input Product Product Realization Realization Value-added activities Information flow Measurement, Measurement, Analysis, Analysis, and and Improvement Improvement output Product Satisfaction Figure 1: -orientated framework of ISO 9001 The CMMI Product Suite provides industries and governments with a set of integrated products to support process and product improvement. By reducing redundancy and complexity with the separate use of multiple Capability Models (CMMs) and related CMMI-Models, companies could improve efficiency and the return on investment for process improvement. The resulting CMMI products will be adaptable to an organization s mission/business objectives. The Software Engineering Institute (SEI) is a federally funded research and development center sponsored by the U.S. Department of Defense and operated by Carnegie Mellon University. The models that the SEI are currently involved with in developing, expanding, or maintaining include the following: Capability Model Integration (CMMI) Capability Model for Software (SW-CMM) People Capability Model (P-CMM) Software Acquisition Capability Model (SA-CMM) Systems Engineering Capability Model (SE-CMM) Integrated Product Development Capability Model (IPD-CMM) The SEI continues to advocate the adoption of CMMI models as the best process improvement models available for product and service development and maintenance. These models build on and extend the best practices of the SW-CMM, SECM, and IPD-CMM. The newest CMMI model is CMMI-SE/SW/IPPD/SS Version 1.1 [2], released at March 1, This model includes systems engineering, software engineering, integrated product and process development, and supplier sourcing. History of the CMMI series is shown in Figure ~2002 SEI and Mitre SEI Watts SEI SEI SEI SEI Corporation Framework Description of Framework and Questionnaire ( SEI-87-TR-24 ) Humphrey s Managing the Software Capability Model ( V 0.2 ) Capability Model ( V 1.0 ) Capability Model ( V 1.1 ) Capability Model Integration ( V 1.0~V 1.1 ) Figure 2: History of CMMI

4 Y. H. Yao and H. K. Lee: Applying ISO 9001 and CMMI in Quality-Orientated 143 CMMI offers a framework that describes the key elements of an effective software process, which support the measurement of the software process. The CMMI describes a process maturity framework of five maturity levels (initial, managed, defined, quantitatively and optimizing level), as illustrated in Figure 3. Disciplined process Standard process Initial Initial Continually improving process Predictable process Managed Defined Quantitatively Managed Optimizing Figure 3: Framework of CMMI maturity levels The purposes of the CMMI are to: Describe good and engineering practices as structured by the maturity framework. Support organizations to improve their processes. The CMMI provides two representations (continuous representation and organizational maturity approach) to facilitate users to become familiar with either approach, i.e. process capability approach or organizational maturity approach. Software organizations have to choose one before implementing CMMI: 1. capability approach - continuous representation: Choose order of improvement based on business objectives, areas of risk. Enable comparisons based on process areas or maturity levels. Enable comparison to ISO (SPICE) 2. Organizational maturity approach - staged representation: Follow proven sequence of improvements, beginning with basic practices. Enable comparisons based on maturity levels. Migrate from CMM for Software (SW-CMM). Because most software organizations have adopted ISO 9001 or SW-CMM, they should have some experiences on QMS or process maturity improvement. Hence, CMMI staged representation will be the better one to most software organizations. The CMMI staged representation is composed of 5 maturity levels, 24 Areas (PA), 54 Specific Goals (SP), 24 Generic Goals (GG), 181 Specific Practices (SP), and 274 Generic Practices (GP), as illustrated in Figure 4. Although one might expect that a QMS in a big software organization is more expensive than a QMS in a small one, the costs of implementing and certifying a QMS do not correlate with the size of the organization. The organizational structures of larger organizations are usually well documented and more clearly defined. This makes it much easier to install an ISO 9001 or CMMI QMS. Some common benefits for implementing ISO 9001 and CMMI are positive cultural change, increased productivity, better communications and improved customer satisfaction. Yet, it is also important to distinguish between the ISO9001 and CMMI. Following are some major differences between ISO 9001 and CMMI, as illustrated in Table 3. Area Area 1 1 Specific Specific Goal Goal Specific Specific Practices Practices level level Area Area 2 2 Commitment to Perform Ability to Perform Area Area n n Generic Generic Goal Goal Common Feature Directing Verifying Implementation Implementation Generic Generic Practices Practices Figure 4: Structure of CMMI composition Table 3: Major differences between ISO 9001 and CMMI ISO 9001 CMMI Focus: Its primary focus is the customer-supplier relationship tofocus: Its focus is on the supplier to improve the reduce a customer s risk in choosing a supplier. internal software process. Objectives: Objectives: It is written for a wide range of industry other than software. It is written specifically for software industry. Documents are more abstract. Documents are detailed. It identifies only the minimal requirement for a QMS. It describes the software process in detail. Concept: It is to follow a set of standards to make success It emphasizes on achieving maturity and repeatable. improving its process continuously. Structure: It means that some basic practices are in place and the Concept: It emphasizes on continual improvement, challenge is only to maintain certification. even at the last level. Internal appraisal: It requires auditors, such that the value of Internal appraisal: It allows self-assessment follow certification depends on the expertise and experience of the on the CMMI requirements. auditors. Time needed: It takes about one and a half years to obtain ISO 9001 certification. Time needed:it takes an average of two years to move between levels of the CMMI.

5 144 International Journal of Electronic Business, Vol. 2,. 2 (2004) 3. ANALYSIS OF INTEGRATED ISO 9001 AND CMMI ARCHITECTURE In this section, software processes based on ISO 9001 requirements, CMMI requirements, and ISO 9001-CMMI-integration requirements are analyzed successively. The analytical results are detailed in three process matrices as described below. 3.1 Software Analysis With the ISO 9001-based process matrix analysis framework (as illustrated in Figure 5), we use five quality principles (i.e., resource, responsibility, product realization, measurement and process improvement) as the vertical dimension, and business roles (including customer, level, Quality Assurance representative, business department, technique department, quality assurance and supplier) as the horizontal dimension. The aims of the framework are: (1) to demonstrate that there are close relationships between software development processes and other business processes, (2) to provide a basis for ISO 9000 documentation and quality-orientated knowledge, (3) to emphasize the importance of PDCA (Plan, Do, Check, Action) cycle, roles/duties assignments, and continual process improvement for meeting the software project quality. With the CMMI-based process matrix analysis framework (as illustrated in Figure 6), we use a project process and a software engineering process as the vertical dimension, and roles of business as the horizontal dimension. The purposes of the framework are: (1) to demonstrate the close relationships between project processes and software development processes, (2) to provide a basis for CMMI documentation and knowledge. According ISO 9001 and CMMI process requirements, this study integrates the ISO-based 9001 and CMMI-based software process matrix. The integrative framework (as illustrated in Figure 7) provides a guideline for analyzing the gap between the existing software process and ISO-based/CMMI-based software process, which will aid in designing and implementing quality-orientated knowledge systems for software process improvement. Software organizations should look for the synergy between ISO 9001 and CMMI. Most software organizations could start with ISO 9001 then add CMMI, some might start with CMMI then ISO So, it is better to determine the process improvement status of the organization based on either ISO 9001 or CMMI, and then develop a transition plan. Transforming from ISO 9001 to CMMI enhances the quality-orientated knowledge of software processes, as illustrated in Figure 8. P Resource Responsibility Level QA Representative Business Technique Department Department QA Supplier Provision of resource/human resources/infrastructure/work environment commitment/ focus/quality policy/quality planning/responsibility, authority and communication/ review review Market survey development Requirement confirm D Product Realization Quality system requirement requirement confirm Product validation Contract review sign a contract Purchasing Project planning System analysis System design Program design System test System implement System maintenance Software QA Software development Outsourcing C A Measurement, Analysis Improvement Pay Finance Internal audit Monitoring and measurement/control of nonconforming product/analysis of data Compliant Continual improvement/corrective action/preventive action Figure 5: ISO 9001-based process matrix analysis

6 Y. H. Yao and H. K. Lee: Applying ISO 9001 and CMMI in Quality-Orientated 145 Project process PM end point Update historical database CMMI document requirement Requirement confirm Risk Business Technique level department department QA Supplier Contract review Sign a contract Yes Project team Postmortem Integrated PM for IPPD, Integrated team, Supplier agreement Re-planning Project approval PM start point Project planning Requirement confirm Project monitoring and control Software engineering start point Software development Software engineering process Update historical database Yes Requirement development, Technical solution, product integration System analysis System design Program design System test System implement System maintenance Measurement and analysis, and product quality assurance Software engineering end point Requirement, Configuration, Verification, Validation Figure 6: CMMI-based process matrix analysis Resource Responsibility Product Realization Measurement, Analysis Quality system PM process SE process PM end pt. Update historical database Document database Update historical database informatin Product realization Payment Level Department Department QA Supplier Project team Postmortem Integrated PM for IPPD, Integrated team, Supplier agreement requirement Requirement confirm QA Representative Contract review Sign a contract Risk Re-planning Yes Business Yes Market survey development Project approval PM start pt. Project planning Requirement development, Technical solution, product integration Technique Provision of resource/human resources/infrastructure/work environment commitment/ focus/quality policy/quality planning/responsibility, authority and communication/ review review Requirement confirm Project monitoring and control SE process start pt. System analysis System design Program design System test System implement System maintenance Software development Measurement and analysis, and product quality assurance SE engineering end pt. Requirement, Configuration, Verification, Validation Purchase Outsourcing Finance Internal audit Monitoring and measurement/control of nonconforming product/analysis of data Improvement compliant Continual improvement, Corrective action, Preventive action Figure 7: Integrative ISO 9001/CMMI-based process matrix analysis Initialize Assess Assess Organize Train Train Establish ISO ISO QMS QMS Establish ISO ISO Document Continually improve process Institutionalize Institutionalize Assess Assess pilot pilot Develop processes Pilot Pilot improvement CMMI adoption and assessment step ISO 9001 adoption and audit step Internally audit audit Audit Audit Review once half a year to one year Assess Assess gap gap (IDEAL) Organize Train Train Strategically analyze analyze Set Set goal goal and and plan plan Strategic transform step Figure 8: Transformation from ISO 9001 to CMMI 3.2 Software Quality Content Analysis The basic function of knowledge is to manage knowledge contents. content can be defined as documents that have been written by knowledge workers that outline a re-usable area of know-how (procedures, processes etc.) or know-why [3]. The major knowledge contents for software process quality are ISO documents and CMMI documents. ISO documents are usually classified on four levels, namely, Quality Manual (QM), Operation Procedures (OP), Work Instructions (WI), and Quality Record or Form, as illustrated in Figure 9.

7 146 International Journal of Electronic Business, Vol. 2,. 2 (2004) Quality Manual: states the quality policy and describes the quality system in accordance with the policy [5]. Operating Procedures: The procedures often include detailed business processes, related activities, as well as and personnel s responsibilities and authorities with respect to specific activities [5, 14]. Work instructions: which provide the detailed (step-by-step instructions) on how to perform a particular task. Quality records and forms: provide the evidence (records or proofs) of what have been accomplished to comply with the quality system. presented. Then, the implementation system environment (HW/SW), system framework and system function tree (depicted as system structure chart) are demonstrated. Finally, the database structure with entities relationship diagrams and part of data dictionaries are described. 4.1 Quality-Orientated KM System Analysis and Design It is necessary to define the mission/goal of the system and then analyze and establish the ISO 9001 QMS/CMMI model before implementing KMS ( System), as illustrated in Figure 10. Figure 10 shows the strategic KMS implementation steps including strategy analysis steps, ISO9001 QMS/CMMI modeling steps for software process quality and implementation KMS steps. Quality Plan [I] Quality Manual (QM) [II] Operation (OP) [III] Work Instructions (WI) [IV] Quality Record (From and record) Figure 9: ISO document level The organization s process asset library is a collection of items (such as processes descriptions, life cycle models description and process-related documentation) maintained by the organization, which support process improvement by allowing the sharing of knowledge learned across the organization. CMMI documents can be derived from process assets of CMMI including standard processes, life cycle models, process tailoring guidelines or criteria, organizational measurement repository (which contains both product and process measures that are related to the organization s set of standard processes) and a library of process-related documentation. 4. IMPLEMENTING QUALITY-ORIENTATED KM SYSTEM FOR SOFTWARE PROCESS IMPROVEMENT In this section, an implemented ISO 9000/CMMI based quality-orientated KM system for software process improvement is discussed. First, data flow diagrams (DFDs) for the KM system and managing the knowledge contents are Strategy analysis step External analysis Opportunity & Threat Threat Establish software process quality step Implement KMS step Define Define mission mission and and goal goal Select Select strategy of of system system integration Establish ISO ISO QMS QMS Establish CMMI CMMI model model Establish KMS KMS prototype Enrich Enrich KMS KMS content content Totally Totally implement KMS KMS Internal analysis Strength & Weakness Figure 10: Strategic KMS implementation steps In this research, data flow diagrams are used as a process description tool to document the details of the functional primitive, processes steps and logic of the KM system. The KM processes include managing knowledge content, community communication, resource sharing, online learning, security etc. The KM data flow diagram is illustrated in Figure 11. Data flow diagram of managing knowledge content is depicted in Figure 12. Customized individual demand modules 1.0 Add, Delete, Modify Content 2.0 content User Community Communication 3.0 Community communication User Identification ID acknowledgement Statistical Analysis Click Business intelligence 4.0 Business intelligence 0.0 system User Click resource sharing 5.0 Statistical analysis User Identification ID acknowledgement 6.0 Information sharing 7.0 Online learing System security System Online learning User data Figure 11: KMS data flow diagram 8.0 Security

8 Y. H. Yao and H. K. Lee: Applying ISO 9001 and CMMI in Quality-Orientated 147 ISO documents CMMI documents User documents 2.1 Manage ISO documents 2.2 CMMI documents 2.3 ISO documents query Add, Delete, Modify ISO documents CMMI documents query Add, Delete, Modify CMMI documents documents query Add, Delete, Modify knowledge content ISO Documents CMMI Documents File Entity relationship diagram (ERD) is often used as a means to describe the structure of a database. The main database structure of the KM system is depicted in an integrative ERD. The integrated ERD is composed of four entities (data tables) relationships including ISO document table, knowledge document table, CMMI document table and user data table, as illustrated in Figure 13, 14, 15, 16. Figure 12: Managing knowledge content data flow diagram Doc. level table DOC. Level. DOC. level Author table Author Author. name FK1,11 FK2,11 FK3,11 FK7 FK6,11 FK4,11 FK5,11 ISO doc. table ISO doc. Number ISO doc. name Doc. level Authoring department Author name department Keeping department Issue date Version Workflow status Keeping department Workflow status. Approving department. Authoring department table Authoring department Authoring department department table department department Keeping departments table Keeping department Keeping department Workflow status Workflow status Workflow status Figure 13: ISO document relationships tables Category table Category Category Project table Project Project department table department department FK1,11 FK2,11 FK3,11 FK4,11 FK5,11 FK6,11 file table file. file name Category Project Authoring department Author department issue date version workflow status Authoring department table Workflow status table Authoring department Authoring department Author Table Author Author Workflow status Workflow status Figure 14: file relationships tables

9 148 International Journal of Electronic Business, Vol. 2,. 2 (2004) Standards process table Standard process Standard process Tailoring Criteria table Tailoring criteria Tailoring criteria FK1,11 FK3,11 FK2,11 FK4,11 FK5,11 CMMI doc. table CMMI doc. CMMI doc. Standard process Life-cycle model Tailoring Criteria Measure Repository doc. doc. table Measurement Repository table Measurement repository. Measurement Repository Life-cycle model table Life-cycle model Life-cycle model doc. doc. Figure 15: CMMI document relationships tables User data table Department table Department Department Group table Group Group FK1,11 FK2,11 FK3,11 FK4,11 User Password Group Name Department Rank Birthday Sex Address Telephone Mobile phone Rank table Rank code Rank Sex table Sex code Sex Figure 16: User data relationships tables Data dictionaries are used to collect, define, describes and organize specific facts about the KM system, including the contents of data flows, data stores (entities or tables), and processes. Part of the data dictionary that defines and describes combinations of data elements taken into tables including a user table, the ISO document table, CMMI document table, and a knowledge file table are illustrated as Table 4. Table Name tbuser tbisodoc tbcmmidoc tbkfile Table 4: Partial data dictionary of the KM system Data Element User Password Group User Dept Title Birthday Sex Address Telephone Cellphone ISODoc ISODoc Level AuthorDept Author CosignDept KeepDept Issue IssueDate Version WfStatus CMMIDoc CMMIDoc Std LifeCycle TailorCriteria MeasurementRepository Doc KFile KFile Category Project AuthorDept Author CosignDept IssueDate Version WfStatus

10 Y. H. Yao and H. K. Lee: Applying ISO 9001 and CMMI in Quality-Orientated System Implementation The KM system development environment is a web-based three-tier system, as illustrated in Figure 17. The first tier is the client tier used for the presentation of data, receiving user events and controlling the user interface. The second tier is the application server tier. The third tier, namely database server tier is responsible for data storage. The architecture of the KM system is illustrated in Figure 18. The function tree of the KM system is depicted as a system structure chart is illustrated as Figure 19. The main functions or modules of the implemented system includes: content module: ISO 9000 document, CMMI document and knowledge file. Community communication module: Partner calendar sharing, new message, opinion exchange, online communication etc. Statistical analysis module: includes knowledge sharing list, service records statistics. Resource sharing module: includes sharing of product, department, tool, customer, resource reservation etc. Online learning module. Security module. User/Administrator Web server/system module Database Workflow system User Database Web server DBMS ISO document database Web Web CMMI document database ISO document system CMMI document system file system file database 1 st tier 2 nd tier 3 rd tier Figure 17: Web-based three-tier system architecture System front-end Browser (KM portal) Firework (Security ) KM Community Intelligence Statical Analysis Online Learning ISO documents CMMI documents documents s Calendar sharing Newest discussion group improvement proposal Collaboration Expert system Decision support Technology service Technology KM Sharing list Quality hecking statistics services statistics On-line course Skill evaluation KM tools learning retrieve System rear-end Document driver Data driver Document index C Data index Database Workflow groupware Internet (infrastructure) Figure 18: The KM system architecture

11 150 International Journal of Electronic Business, Vol. 2,. 2 (2004) system My homepage content Communication community Business intelligence Statistical analysis Information sharing Online learing Security Account ISO document Calendar sharing Expent system KM Sharing list Product On-line course Account data Favorite knowledge CMMI document Company calender Decision support Quality hecking statistics Department Skill evaluation Groups data Awaiting work lists file Colleage calender Technology service services statistics Tool KM tools learning Newest Technology Facilities Calendar Opinion sharing Books & magannizes Factory Mailing list Collaboration Technology maganizes Working memos Software tools Life Information Viedo conference Resource Reservation On-line communication Figure 19: System structure chart 5. CONCLUSION There are several possible ways for software organizations to transit from older quality models to newer ones, that is, from ISO 9001:1994 to ISO 9001:2000, and from CMM to CMMI. Software organizations should also look at the synergy between ISO 9001 and CMMI model. Most software organizations can start with ISO 9001 then add CMMI, some might start with CMMI then ISO So, it is better to determine the process improvement status of the organization based on either ISO 9001 or CMMI, and then develop a transition plan. ISO 9001 identifies only minimal requirements for a QMS. When a software organization aims to achieve software process improvement, it is necessary to address more aspects, likes CMMI. This paper applies and integrates ISO9001/CMMI in a quality-orientated KMS and provides the guidelines for transformation from ISO 9001 to CMMI in order to enhance the quality-orientated knowledge of software process improvement. A prototyping quality-orientated KM system is implemented to show the benefits and synergies of the knowledge in the context of ISO 9000 and the CMMI model. This system demonstrates that combinations of ISO 9000/CMMI models requirements can facilitate software organizations to manage and share quality-related documents/knowledge effectively. The research results demonstrate the feasibility and benefits of combining ISO 9001 and CMMI based quality systems for software process improvement. REFERENCES 1. CMU/SEI, CMU/SEI-2002-TR-012, 2002, Capability Model Integration (CMMI-SE/SW/IPPD/SS), Staged Representation, V1.1, Carnegie Mellon University/Software Engineering Institute, MA. 2. CMU/SEI, CMU/SEI-96-HB-001, 1996, IDEAL-A User s Guide for Software Improvement, V1.1, Carnegie Mellon University/Software Engineering Institute, MA. 3. Eppler, M. J., 2004, Managing

12 Y. H. Yao and H. K. Lee: Applying ISO 9001 and CMMI in Quality-Orientated 151 Content Quality Lessons from IT Analysts, 4. Florac, W. A. and Carleton, A. D., 1999, Measuring the Software : Statistical Control for Software Improvement, Addison-Wesley, MA. 5. ISO 10013, 1995, Guidelines for Developing Quality Manuals, Geneva, Switzerland: International Organization for Standardization. 6. ISO 9000, 2000, Quality Systems - Fundamentals and Vocabulary, International Organization for Standardization, Geneva, Switzerland. 7. ISO , 1997, Guidelines for the Implementation for ISO 9001 for the Development of Software, International Standards Organization, Geneva, Switzerland. 8. ISO 9001, 2000, Quality Systems - Requirements, International Organization for Standardization, Geneva, Switzerland. 9. ISO 9004, 2000, Quality Systems - Guidelines for Performance Improvements, International Organization for Standardization, Geneva, Switzerland. 10. Jovanovic, V. and Shoemaker, D., 1997, ISO 9001 standard and software quality improvement, Benchmarking for Quality & Technology, Vol. 4,. 2, pp Olson, T., Humphrey, W. and Kitson, D., 1989, CMU/SEI-89-TR-7, Conducting SEI-Assisted Software Assessments, Pennsylvania. 12. Paulk, M., 1993, CMU/SEI-93-TR-024, Capability, Model for Software (SW-CMM), V1.1, Pennsylvania. 13. Paulk, M., 1993, CMU/SEI-93-TR-025, Key Practices of Capability Model, V1.1, Pennsylvania. 14. Peach, R. W., 1997, The ISO 9000 Handbook, 3rd edition, New York: McGraw-Hill Companies, Inc. 15. Stelzer, D., Mellis, W. and Herzwurm, G. 1996, Software process improvement via ISO 9000? results of two surveys among software houses, Proceedings of the 29th Annual Hawaii Internal Conference on System Sciences, Hawaii, pp Stelzer, D. and Mellis, W., 1999, Success factors of organizational change in software process improvement, Software Improvement and Practice, Vol. 4,. 4, pp Tingey, M. O., 1997, Comparing ISO 9000, Malcolm Baldrige, and the SEI CMM for Software, Prentice-Hall, New Jersey. ABOUT THE AUTHORS Yin-Ho Yao received his doctoral degree in industrial engineering and engineering at National Tsing Hua University. He is currently an associate professor and head of the IEM department at the Ta Hwa Institute of Technology and Commerce. He has participated in several NSC projects and CSD projects. His research areas are in the electronic document, system analysis and design, business process reengineering and e-commerce. Hsin-Kuo Lee received his master degree from the department of industrial engineering and engineering at National Tsing Hua University. His research interest including electronic document, ISO 9000 quality system and CMMI. (Received July 2004, revised September 2004, accepted October 2004)