Measuring Food Safety Culture in Food Manufacturing-59-173

MEASURING FOOD SAFETY CULTURE IN FOOD MANUFACTURING
Chapter 3 Food Safety Maturity Model
Introduction
Maturity models and social cognitive models were identified in the literature review as a
possible way of measuring food safety culture and both of these methods were explored to seek
answers to the overall research questions posed by this work. Approval was given from the
Research Ethics Board at the University of Guelph to collect data involving humans.
Theories and perspectives
Through the literature review, it was evident that to understand what food safety culture
is it is necessary to understand the interlinking of three theoretical perspectives: organizational
culture, food science and social cognitive science. Organizational culture can be considered
different from other cultural definitions (e.g., geographical, national culture) and consists of
generic attributes such as artifacts, espoused values, beliefs, and ways to characterize culture
regardless of the area, function or discipline. The perspective from food science brings food-
specific considerations, such as working environments, and how to measure and evaluate these.
Food science searches for answers to questions related to the definition and quantitation of risks
associated with a given product and process, introducing risk management concepts, such as
HACCP, to evaluate how an organization manages its long term and daily decisions to ensure the
safety of their products. The third perspective from social cognitive science brings methods to
define, measure, and predict human behaviours. Methods from social cognitive science can be
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applied to specifically measure an organization’s intent to perform behaviours specifically within
the scope of its own rules and values. For example, a manufacturer is guided by a set of values,
one may be, for example, dare to be transparent. This value could be translated into a behaviour
such as this: “Today I told a new colleague that he missed sanitizing his hands after washing and
helped him understand why this is important to the safety of our food.”
Cultural dimensions
Five dimensions of culture were chosen as the theoretical framework to organize the
various theoretical perspectives, food safety capability areas, and food safety culture measures.
The cultural dimensions defined by Schein (2009) were used to characterize culture and have
been applied extensively in research and practical culture studies (Table 1-2). It is important to
note that a dimension contains many characteristics. These attributes guided the literature review
in determining where studies have already been completed and where gaps still exist.
Method
Two methods were applied to develop the food safety maturity model and the behaviour-
based scale. An industry panel was engaged to assist in the development of the content of the
model and a social scientist to assist in breaking down the individual components of the model to
pinpoint behaviours.
Capability areas
The capability areas, and the subsequent food safety maturity model, were developed
with a panel of industry experts: Dr. John Butts, Raul Fajardo, Martha Gonzalez, Holly Mockus,
Sara Mortimore, Dr. Payton Pruett, and John Weisgerber. The experience of leaders in food
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manufacturing was critical to capture as no reference was found to an existing food safety
maturity model. The individual expert was chosen based on the person’s demonstrated
knowledge, experience, and leadership as evident in their biographies (Appendix C). A seven-
member panel was struck to meet quarterly during the development phase of the maturity model.
The purpose of a capability area is to translate a generic cultural dimension into areas of specific
importance to food manufacturers. As such, the capability area links a generic cultural attribute,
e.g., training, as part of the cultural dimension reality and truth to food manufacturing specific
language and priorities, such as performance of a manufacturer’s people system, which also
includes training (Table 3-1).
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Table 3-1: Mapping theoretical perspective to cultural dimensions and capability areas
Theoretical perspective Culture dimensions Capability areas
Organizational culture External adaptation Perceived value
Internal integration People systems
Social cognitive science Human nature, activity, and People systems
relationship
Human nature, activity, and Process thinking
relationship
Food science Reality and truth Technology enabled
Reality and truth Tools and infrastructure
The five capability areas represent the core of the food safety culture measurement
system and the capability areas were all defined individually on a scale of maturity in the food
safety maturity model. The Perceived value describes the extent to which food safety is seen as
only a regulatory must (stage 1) or as critical to business performance (stage 5). People systems
describes if an organization is task-based with signs of misinterpreted accountabilities (stage 1)
or responsibilities or if it sets accountability in behaviour-based working groups (stage 5).
Process thinking describes how problems are solved as independent tasks (stage 1) or problem
solving is seen as an iterative process built on critical thinking and data (stage 5). Technology
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enabled describes how the organization turns data into information; manual and independent
(stage 1) compared to automatically and as part of a company-wide information system (stage 5).
Tools and infrastructure can be illustrated by whether an employee needs to walk far to a sink
(stage 1) or sinks are conveniently located (stage 5). These descriptors are similar to those
developed by Greenstreet Berman Ltd. and adopted in the Food Standards Agency Food Safety
Toolbox (Wright & Leach, 2013).
The pinpointed behaviours and the behaviour-based scale
Behaviours were defined based on the descriptors in each maturity stage and capability
area with the guidance of social scientist, Deirdre Conway. The list was discussed with
stakeholders in the participating company to pinpoint and select those behaviours believed to
have the most impact on the descriptor in the maturity model. All pinpointed behaviours were
defined at two stages of maturity; doubt and internalized.
The objective of the scale was to collect data related to the overall group segments (plant,
function, and role). The scale was constructed as a self-assessment tool and each participant was
asked to rate their own behaviour against a series of questions and statements. Answers were
grouped into demographic attributes and the behaviour predicting variables; attitude, perceived
control, social norm and past behaviour and intention for each of the capability areas.
Each question in the scale was structured the same way for each variable and for each
pinpointed behaviour. For example, a question regarding the variable attitude would read “My
behaviour to always design my own tools such as spreadsheets and forms to gather food safety
data is…” and the participant was asked to rate how strongly this reflected the respondents
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attitude on a scale from 1 (beneficial) to 5 (harmful). Every question related to the variable
attitude was structured this way and rated on similar scales (Table 3-2).
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Table 3-2: Question design by variable
Variable Standard start Example pinpointed behaviour
Attitude My behaviour to … …always design my own tools e.g.
spreadsheet to gather food safety
data…
Perceived I am confident that for the …always design my own tools e.g.
Control next three months I will … spreadsheet to gather food safety
data
Social Norm Most people, outside –and …always design my own tools e.g.
at work, whose opinion I spreadsheet to gather food safety
value would approve of … data
Past Behaviour I have in the past three …always design my own tools e.g.
months … spreadsheet to gather food safety
data
Behavioural I intend to … …always design my own tools e.g.
Intent spreadsheet to gather food safety
data
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The responses from survey participants were analyzed in data were imported into Minitab
10 (Minitab Inc. State College, PA) using an anonymised numbering convention. Minitab 10 is a
general-purpose statistical software package designed as a primary tool for analyzing research
data. The examination of the data was conducted using descriptive statistical principles and
statistical tests (e.g., ANOVA) to explore differences between levels, roles, plants, and maturity
stages.
Scale administration.
The data were collected in a Canadian food manufacturing company from February to
April 2014. The company employed approximately 19,000 employees across 48 plants at the
time of data collection and produced meat and meals. The scale (Appendix E) was constructed to
gather data for all capability areas in the food safety maturity model. The scale was administered
through an online survey tool and all responses were anonymous and each respondent was
rewarded with a $5 product voucher for their participation. Employees in supervisory roles and
leadership positions (n=1,030) within the two functions food safety and quality and
manufacturing were given the opportunity to participate. Survey responses were received from
219 employees (21.3% response rate).
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Results
The food Safety maturity model.
The food safety maturity model (Table 3-3) was developed based on learnings from the
literature review and input from the industry expert council. There are five stages of maturity in
the model. Stage 1 is Doubt and is described by questions such as “Who messed up?” and “Food
safety – QA does that?” Stage 2 is React to and described by questions and situations such as
“How much time will it take?” and “We are good at fire-fighting and reward it.” Stage 3 is Know
of and is described by statements such as “I know it is important but I can fix only one problem
at a time.” Stage 4 is Predict and described by statements such as “Here we plan and execute
with knowledge, data and patience.” Stage 5 is Internalize and described by situations such as
“Food safety is integrated into sustaining and growing our business.”
Each intersection of a stage (e.g., doubt) and a capability area (e.g., perceived value) was
defined by completing the sentence “We [STAGE] food safety and our [CAPABILITY AREA]
are described by X.” For example, in the case of doubt the perceived value X would become
“completing tasks because regulations makes us.” Each definition was discussed and the industry
expert panel reached a consensus on the most important one or two definitions and did not
produce a comprehensive list of definitions, as this was thought to be of little value when
defining a measurement system.
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Table 3-3: Food Safety Maturity Model
Stage name Stage 1 Stage 2 Stage 3 Stage 4 Stage 5
Doubt React to Know of Predict Internalize
Capability Area
Tasks are completed Little to no investment in Issues are solved one at a Preventing issues from We consider food safety
because regulatory systems (people or time to the root of the occurring based on past an avenue to continuous
agents tell us to. processes) to prevent food issue because we know it history and leading improvement.
safety firefighting. protects our business. indicators.
Perceived Value
Performance data is not Little understanding of true Strong, data-based
collected and reported food safety performance. understanding of food
regularly to all safety performance.
stakeholders.
Completing tasks by top- Responsibility for problems Evidence of Defining and proving Strategic directions
People System down "tell" without is established as problems understanding the need antecedents for improving across the organization
evidence of individual are discovered and solved for food safety systems. processes through and its functions to
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Capability Area
responsibility and mostly by use of negative knowledge and data. include food safety as a
understanding for why consequences. key business enabler
tasks are important. with clear defined
accountability and
. responsibility for food
safety performance.
People Systems Tasks being completed Antecedents being invented Improvements are made Responsibilities and Pinpointed behaviours
out of fear for negative as problems are solved and one issue at a time with accountabilities are and consequences are
consequences. seldom incorporated in clear responsibility discussed and carefully defined and continuously
systems after the fact. identified and decided upon. reinforced.
communicated.
Top management Consequences are mostly Consequences - positive
approve the accuracy of managed when an error and negative - are defined
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Capability Area
food safety information needs correction and and managed proactively.
seldom through pre-
planned consequences.
Process Thinking Unstructured problem Continuous improvement Structured problem Continuous improvement Risks are identified
solving to remove the with emphasis on solving with a high risk with emphasis on study through horizon scanning
immediate pain. checking/inspecting and of over analyzing not checking or and continuous
expectation of 100% problems and continuous inspecting .It is generally improvement as part of
perfect solutions from the improvement accepted that the food safety system.
start. opportunities. improvements are
iterative.
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Capability Area
Technology Little to no technology Responsibility left to the Standard technology is Data is collected in a Data is used in an
Enabler adopted and few people individual to identify data adopted and provided to consistent and accurate integrated way to
realize this to be an needed and a high degree the individual user in a manner to inform the automate workflows,
issue. of reliance on the standardized way. continuous improvement provide tools to improve
individual to derive activities. food safety and make the
information from the data. enterprise quick to adapt.
Data driven information
is used sporadically to
solve problems and
design preventive actions.
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Capability Area
Tools & Necessary tools are not Need for tools or Investing readily in the Food safety tools and Investment in tools and
Infrastructure available to everybody. infrastructure changes right tools and infrastructures are in place infrastructure is
when problems arise that infrastructure when and continuously evaluated at part with
require immediate solves. solving a problem improved for ease of use other business
requires it. and cost of operation. investments and
objectively invested in.
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MEASURING FOOD SAFETY CULTURE IN FOOD MANUFACTURING.
Pinpointed behaviours.
Each role and function had a minimum of 25 pinpointed behaviours that were used in the
self-assessment scale to determine maturity level (Table 3-4). As such, a Food Safety and
Quality supervisor might associate with the following behaviour “I rarely have time to identify
root cause of problems and mostly find myself firefighting.” This behaviour is the pinpointed
behaviour for the process thinking capability area when the supervisor finds her or himself at the
maturity stage of doubt. If the supervisor found her or himself in the maturity stage of
internalized within the process thinking capability area the behaviour “I collect, analyze and
report food safety data daily to plant staff to bring transparency to emerging challenges” might
resonate more.
Each pinpointed behaviour was designed to include four components: action, target,
context and timing for consistency and specificity in definition of each of the behaviours
(Fishbein & Ajzen, 2009). For example, “I always design my own tools such as spreadsheets and
forms to gather food safety data,” which was a pinpointed behaviour for the Food Safety
supervisors in a maturity stage of doubt and within the capability area technology enabled.
The list of pinpointed behaviours cannot be considered an exhaustive list of behaviours
important to the individual role but were suggested as the most critical behaviours in each
maturity stage and capability area.
It was hypothesized that pinpointed behaviours were different for the two functional
areas: manufacturing and food safety. It was also hypothesised that pinpointed behaviours
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differed between the four roles: supervisor, leader, functional leader and executive. Pinpointed
behaviours were defined for the two end-point maturity stages doubt and internalized (Tables 3-4
and 3-5). The complete set of pinpointed behaviours by function, role, and maturity stage can be
found in Appendix D.
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Table 3-4: Sample pinpointed behaviours by function (food safety and quality), role and competency
areas in the maturity stages of doubt.
Capability Supervisor Leader Functional Leader Executive (Vision)
area (Execute) (Tactic) (Strategy)
People System I immediately remove I provide my direct I always have to I make sure
food safety issues by reports with direction manage negative somebody is

(DOUBT)
myself to avoid to remove food safety consequences when a managing negative
negative consequences problems immediately food safety problem consequences every
for myself and my to avoid negative occurs. time a food safety
team. consequences. problem occurs.
I check if my teams
I always have to learn I plan improvements have the needed food I seldom get involved
how to solve food of my own or my safety knowledge, in discussions
safety problems as team’s knowledge, skills or ability on an regarding food safety
they happen. skills or ability in ad-hoc basis. knowledge, skills or
food safety as needs ability needs.
I always ask others arise. I direct leaders to
before taking action to always ask somebody

I hold leaders
solve a food safety before solving a food
I always direct my accountable for
problem. safety problem.
team(s) not to take consulting wiht FSQ
action to solve a food experts before taking
safety problems action on food safety.
without asking
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others .
Table 3-5: Pinpointed behaviours by function (food safety and quality), role and competency areas in
the maturity stages of internalized.
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Capability area Supervisor Leader Functional Leader Executive (Vision)
(Execute) (Tactic) (Strategy)
People System I take action daily to I take action daily to I take action daily to I minimum monthly
let anybody know provide positive complement my check in with

(INTERNALIZED)
when they go over feedback when peers in other functional - and
and beyond for food others take action to functions of their business leaders to
safety. remove perceived demonstrated food ensure food safety is
food safety risks. safety ownership. built into their
I only act as coach business plans.
whenever the plant I take daily action to

I minimum weekly
teams solve food congratulate plant I systemically and
openly congratulates
safety issues. teams when they openly celebrate
a plant manager on
solve food safety individual leaders
his/her good business
I always correct food problems with for their food safety
decision(s) made for
safety behaviours minimal competency and
food safety.
immediately when I involvement from leadership.
see an opportunity. FSQ.

I check in with teams
I systemically, once
or peers minimum
I minimum weekly a quarter, review
weekly to ensure
check in with my summary of
they have the
supervisor(s) or behaviours requiring
authority to make
others to ensure they celebration or
business decision for
have the necessary correction.
food safety.
authority to make
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business decisions
for food safety.
Overall company behaviour-based maturity.
The overall company behaviour-based maturity is in maturity stages react to and know of.
The capability areas perceived value and tools & infrastructure scored the highest average scores
of 3.1 in both areas. The capability areas people systems and process thinking scored within the
maturity stage of react to just ahead of the capability area technology enabler also within the
maturity stage of react to. Mean maturity score for each capability area and range (minimum and
maximum average by plant) were plotted on the maturity model (Table 3-6).
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Table 3-6: Overall company behaviour-based maturity

(Identifier) Doubt React to Know of Predict Internalize
Capability Area 0 .1 0 .2 0 .3 0 .4 0 .5 0 .6 0 .7 0 .8 0 .9 0 .1 0 .2 0 .3 0 .4 0 .5 0 .6 0 .7 0 .8 0 .9 0 .1 0 .2 0 .3 0 .4 0 .5 0 .6 0 .7 0 .8 0 .9 0 .1 0 .2 0 .3 0 .4 0 .5 0 .6 0 .7 0 .8 0 .9 0 .1 0 .2 0 .3 0 .4 0 .5 0 .6 0 .7 0 .8 0 .9
(Identifier)
Perceived Value l
l
People System l
l l
Process Thinking l
l l
Technology
Enabler
l l l
Tools &
Infrastructure
l l
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The results would indicate that the organization’s mean maturity lies in the stages react to
and know of. Overall, no significant difference (p = 0.003) was found between maturity of the
food safety and quality function (N=306) and the manufacturing function (N=724). A difference
was found for one of the five capability areas namely technology enabled with the manufacturing
function being more mature than the food safety and quality function. The data collected by role,
supervisory (N = 890), leader (N = 223), and functional leader (N = 98), showed a significant (p
= 0.000) difference in overall maturity; ranking leaders highest on the maturity scale (mean =
2.096), followed by functional leader (mean = 2.080), and lastly supervisors (mean = 1.983).
Plant behaviour-based maturity.
A maturity model was developed for each of the eight plants (Appendix E) and the
difference between the plant’s overall maturity rating was evaluated using a one-way ANOVA
analysis. It was determined that there was a statistically significant difference between one or
more of the plants (n = 6,735, p value = 0.000).
The mean maturity score was calculated for each capability area and the overall maturity
of the plant. Percentage of maximum score (5) for each plant’s overall maturity was calculated as
a measure of the individual plant’s food safety culture strength (Table 3-7).
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Table 3-7: Mean maturity score by plant, capability area and total
Capability Area
Plant Perceived People Process Technology Tools Mean
value systems thinking enabler and score (%
infra- of total)
structure
1 2.9 3.0 2.8 2.7 3.1 2.9 (58%)
2 2.9 2.4 2.6 2.4 3.3 2.7 (54%)
3 2.6 2.6 2.9 2.3 3.0 2.7 (53%)
4 3.0 2.6 2.4 2.6 3.0 2.7 (54%)
5 2.9 2.1 2.5 1.8 2.7 2.4 (48%)
6 3.3 2.7 3.0 2.5 3.2 2.9 (58%)
7 3.3 2.7 3.0 2.9 3.2 3.0 (60%)
8 2.9 2.8 2.8 2.4 2.5 2.7 (53%)
Table legend: Food safety culture score by plant for each capability area. Each capability
area could average scores between 1 and 5 depending on the participants responds to each
capability area question. Maximum maturity level equals a score of 5 indicating a internalized
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state of maturity and minimum score of 1 indicating a doubt state of maturity. Average for each
plant was calculated and a percentage achieved calculated to quantify strength of each plants
food safety culture.
The results would indicate that the average maturity of all plants are in the stages react to
and know of. Three plants (1, 6, and 7) had the strongest food safety culture with scores between
58% and 60% and ranging from 2.9 - 3.0 in average maturity score. Extrapolating from these
scores and the food safety maturity model, the culture in these plants can be described as one
where food safety issues are solved one at a time and a solid understanding of food safety
performance through data acquisition and analysis exists. There is a clear understanding of
responsibility and consequences are mostly managed when a problem occurs. These plants make
good use of data but can over analyze them. Technology has been adopted to help manage food
safety systems but it is unlikely that these plants uses their data to prevent problems from
occurring. Investments in tools and infrastructure are made when required to solve a problem.
The plant with the lowest score (Plant #5) scored 48% and its maturity scored placed it
in the react to stage. The culture in this plant can be described as one where there is little to no
investment in food safety and the perceived value of such an investment is not clear.
Responsibility for problems is assigned as they occur and antecedents (e.g., training, job
descriptions, performance measures) are developed in reaction to food safety problems.
Problems are solved as they arise and there is little evidence of systematic continuous
improvement. In this plant the responsibility to decide what data to collect is placed on the
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individual and not the collective group and needs for investment in tools and infrastructure
changes as new problems arise.
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Discussion
The purpose of this research is to investigate existing literature for measures of food
safety culture and meet two objectives. The primary objective of the current study was to define
characteristics to assess food safety culture in food manufacturing. A second objective was to
translate these characteristics into capabilities relevant to food manufacturers as measures to
assess and improve food safety culture. The result was, in this context, successful and it was
shown that a maturity model approach incorporated with a behaviour-based scale could be used
to characterize food safety culture and describe a roadmap for any given plant for maturing its
food safety culture. A detailed measurement tool was developed to assess overall food safety
culture in a Canadian food manufacturing company.
The overall food safety culture was measured on a scale based on the reasoned action
model and food safety specific maturity stages. As a result, the food safety culture in plants of
this specific company ranges between maturity stage 2 react to and maturity stage 3 know of.
The organization finds itself in a stage of maturity where food safety is accepted as an important
part of business, decisions are increasingly made based on science and data, training is
increasingly standardized, and investment in infrastructure and tools are readily available as
needs arise. However, in certain plants, there is also a tendency to not invest in systems
(protocols or technology), that responsibilities for problems are assigned as problems arise, and
on occasions, the company reacts to problems more than prevents them.
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When ranking the eight plants by maturity score and strength of their food safety culture
these all fell into the same maturity stages as the overall company and the strongest food safety
culture was measured at 60% (Plant 7) with the weakest at 48% (Plant 5). When the ability of
plants to meet food safety performance standards was assessed, Plant 7 was in the top half and
Plant 5 in the bottom half, which suggests that the two measures are related. There is no
correlation between the two strength measures (R-squared = 0.040) which is likely due to the
degree of clustering of the data around the 49% to 61% scores (Figure 3-1).
100%
90%
80%
70%
60%
Strength
50%
40%
30%
20%
Maturity strength
10% Performance standard strength
0%
1 2 3 4 5 6 7 8
Plant
Figure 3-1: Maturity and Performance standard strength by plant
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Figure legend: Food safety culture measures by plant. Strength of each measure;
performance standards and maturity was calculated by plant as percentage achieved of total
available score; performance standard max score was 53 (100%) and maturity max score 50
(100%).
Table 3-8: Plant ranking by performance standard score and maturity score
Performance
Maturity score
standard
Plant Plant
Mean score
Total score
(% of total)
(% of total)
1 36 (62%) 7 3.0 (60%)
3 36 (62%) 1 2.9 (58%)
4 36 (62%) 6 2.9 (58%)
7 34 (59%) 2 2.7 (54%)
2 30 (52%) 4 2.7 (54%)
5 30 (52%) 3 2.7 (53%)
8 30 (52%) 8 2.7 (53%)
6 28 (48%) 5 2.4 (48%)
Table legend: Food safety culture measures by plant. Strength of each measure;
performance standards and maturity was calculated by plant as percentage achieved of total
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available score; performance standard max score was 53 (100%) and maturity max score 50
(100%).
The overall company measures were segmented by function (food safety and quality and
Manufacturing) and role (Functional leader, Leader, and Supervisor). The role segmentation is
similar to that proposed by Griffith et al. (Griffith, Livesey, & Clayton, 2010a). The purpose was
to measure maturity for each function and test for differences. This can help a company target
interventions with function-specific messages and senders should there be a difference.
In this specific case there was no difference in maturity between functions – food safety
and quality compared to manufacturing - and it would not be valuable for this company to
differentiate interventions as both functions are at the same food safety maturity level.
The purpose of the role segmentation was to measure maturity across the different formal
working groups and test if any group was more or less mature in their food safety sub-culture
than others. In this specific case a difference was detected. Both functional leaders and leaders
rated the level of food safety maturity significantly higher than the ratings provided by
supervisors. This is very useful as the company can use this to re-evaluate its current food safety
interventions and decide if they are adequate for enhancing the rated maturity across the
supervisory group. This difference could infer that supervisors are less mature or actually
assessing the situation as it truly is. This should be explored in future research as an important
measure of a particular group’s food safety culture.
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The difference between roles is not surprising given the many references from
researchers of organizational culture and food safety culture to the importance of the group (Ball,
Wilcock, & Aung, 2009; Hinsz, Nickell, & Park, 2007). As such, the analysis would indicate that
the focus of this particular company on functional leaders and leaders is different to supervisors
and this represents a significant opportunity for improving food safety culture within each of the
eight plants. Each role is represented in all of the plants e.g., plant manager, quality supervisor,
and maintenance lead hand and by closing the gaps between roles a plant could improve its
overall food safety culture by bringing behaviours of different roles closer and potentially make
the strength of the plants food safety culture stronger and more sustainable.
The limitation with this research resides in the behaviour-based scale. The questionnaire
was long (96 questions) and it is believed to have influenced the final response rate. Measuring
food safety culture is a complicated matter and further research is suggested to modify the survey
questions based on the findings of this research. The expert panel was not selected at random but
built on knowledge and experience in the individual’s resume. This too could be perceived as a
limitation of the research.
This research suggests that combining a food safety maturity model with a self-
assessment, behaviour-based scale does provide factual answers for one meat processing
company, which can be applied to other food manufacturing facilities to characterize and
measure food safety culture. It brings a method to a question asked by many “what is food safety
culture?” and how to measure food safety culture that can influence a food manufacturing
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company’s intervention effort and priorities on its chosen maturity path. Is is suggested that
further data analysis is completed of questions to determine the basic questions for measuring
foods safety culture through a responds surface methodology with a multivariate responds.
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Chapter 4 Discussion and Conclusions
The purpose of this research was to search for ways to characterize and measure food
safety culture. The results suggest that some generic characteristic found in organization culture
theory can be applied to food safety. Two methods were identified to measure food safety
culture; a performance standard scoring system and a behaviour-based food safety maturity
model.
The food safety maturity model was built on the experience from food safety industry
expert panel and learnings from working maturity models in other disciplines (e.g., quality and
occupational health and safety). The overall food safety culture was measured using a behaviour-
based scale derived from the reasoned action model and food safety specific maturity stages. As
a result, the food safety culture for plants in one manufacturing company ranges between
maturity stage 2 react to and maturity stage 3 know of. The food safety maturity model describes
each maturity stage and qualitative descriptions of the manufacturing company can be drawn. As
such, the organization finds itself in a stage of maturity where food safety is accepted as an
important part of business, decisions are increasingly made based on science and data, training is
increasingly standardized, and investment in infrastructure and tools are readily available as
needs arise. There is also a tendency to not invest in systems (protocols or technology), that
responsibilities for problems are assigned as problems arise, and on occasions, the company
reacts to problems more than prevents them. Knowing its position the company can now make
informed decisions on where means (financial and resources) all allocated.
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The performance standards were identified as a potential part of a measurement system in
the literature review but it was also clearly stated that such a system would not cover all culture
characteristics. Although a difference was detected between the eight plants, no plant was found
with a maximum potential score and the strength of any plant’s food safety culture, measured as
percentage of maximum score, ranged between 48% to 62%. The scoring system is found
valuable as an input to a food safety culture measurement system but limited by coverage of
organizational culture dimensions in the three performance standard documents to stand alone as
a complete measurement system.
In comparing the plant scores for each measurement system there does appear to be some
correlation between the performance standard and maturity scores. As such, six of eight plants
had less than 8%-points difference in the two scores and the other two had higher than 9%-points
difference. This suggests that in this specific context a relationship does exist and that the two
scores can be used to guide the individual plant food safety team on where to priorities efforts for
improvement.
The measurement system is unique in that it combines food safety performance standard
scoring with behaviour-based maturity. Performance scoring systems such as the Baldridge
award follow a similar model but in contrast to this research the Baldridge model does not take
specific food safety requirements or situations into account. Behaviour-based studies have
proved the applicability of social cognitive models to assess food safety (Ball, Wilcock, & Aung,
2009; Nickell & Hinsz, 2011b) and these studies clearly indicate the opportunity for the use of
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generic models in food safety. Maturity models are widely used in organizations to improve
processes and cultures (Crosby, 1972; Goonan, Muzikowski, & Stoltz, 2009), however, no model
has been developed specifically for food safety. The measurement system developed in this
research combines all of these learnings into one food safety culture measurement system. This
adds to our current knowledge of food safety culture by providing a quantifiable method for
evaluating a food manufacturer’s food safety culture.
Given the lack of a control group or other validation activities it cannot be precluded that
the performance scoring and self-assessment score covers all characteristics of food safety
culture. The research could be strengthened through validation activities such as focus group
interviews at a participating plant. The research was conducted within one food manufacturing
organization and without the opportunity to compare with other organizations. It is difficult to
say if the measurement system is robust enough to detect differences caused by the individual
organization, their geographical location, and the role they play in the global food chain (e.g.,
grower versus manufacturer versus retailer). It is recommended that research be carried out to
validate the measurement system in other organizations across the food chain and test the
model’s applicability to assess food safety culture across multiple organizations in the food chain.
The measurement system developed in this research can be used as a practical tool for
manufacturers to gain visibility as to the strength of their food safety culture and allocate
resources in those areas that need it the most in this changing environment.
85
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Appendix
Appendix A: Analysis of quantity, methods and sectors.
Quantity.
Thirty-two publications were published in the period 2002 to 2014 (YTD) with 69% of
literature published after 2008 (from total 10 publications until and including 2008 to 22 from
2009 to 2014 YTD) (figure 1).
Figure A1: Food safety culture publications by year
Applied methods.
Of all studies under review, 53% used quantitative research methods such as
questionnaires and surveys. Some findings, 22%, was not classified as research and no method
92
was assigned followed by 19% making use of empirical methods such as case studies and
literature reviews. Surprisingly only two studies applied a qualitative method and this was
interesting in a field that historically have been referred to as hard measure. Quantitative
measurement methods are the once most often used. (figure 2).
18
16
14
Count of References
12
10
8
6
4
2
0
Emperical Literature n/a Qualitative Quantitative
Review
Figure A2: Food safety culture publications by research method
Sector analysis.
Majority of the publications are related to food service (42%) followed by literature in the
category of general (22%). General publications are content related to the broader food industry
and not sector specific. Fewer publications were specific to food manufactures (19%) and the
remaining was found to target the retail sector and consumers (figure 3). Majority of the
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publications were found in peer reviewed journals (75%) and the remaining in books and
magazines.
Figure A3: Food safety culture publications by sector
94
Appendix B: Plant Data
Table B-1: Plant scoring by performance standard documentation
Document Sub-measure Plant Plant Plant Plant Plant Plant Plant Plant
1 2 3 4 5 6 7 8
Audit reports BRC audit non- 5 5 5 1 3 5 3 3
conformances
Audit reports Internal audit non- 5 5 5 5 5 5 5 1
conformances
Food safety HACCP 5 5 5 5 5 5 5 5
scorecard Performance
Food safety Sanitation 1 5 1 1 1 1 1 1
scorecard performance (ATP)
Food safety Sanitation 1 1 1 1 1 1 1 1
scorecard performance
(Visual inspection)
Food safety EMP 1 1 1 1 1 1 1 1
scorecard
Food safety Training 5 1 5 5 5 1 5 5
95
Document Sub-measure Plant Plant Plant Plant Plant Plant Plant Plant
1 2 3 4 5 6 7 8
scorecard
Food safety Closed on time 3 3 1 3 1 1 5 1
scorecard
Performance Actions defined 5 1 5 5 1 3 3 5
minutes
Performance Plant manager 3 1 5 5 5 3 3 5
minutes engagement
Performance Internal audit team 1 1 1 3 1 1 1 1
minutes
Performance HACCP team 1 1 1 1 1 1 1 1
minutes
Total 36 30 36 36 30 28 34 30
Average 3.00 2.50 3.00 3.00 2.50 2.33 2.83 2.50
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Appendix C: Biographies of Industry expert panelists
Dr. John Butts, Ph.D. Food Safety By Design LLC and Vice President – Research,
Land O’ Frost, Inc.
Land O’ Frost is a privately held company and is the 3rd largest sliced lunchmeat brand
in the US. Dr. Butts has been in the primary technical role for 40 years and continues full time
employment with Land O’ Frost. As part of his succession plan Food Safety By Design LLC
was founded and consulting services outside of LOF are ongoing with the full consent and
support of LOF.
In 2010 FoodSafetyByDesign, LLC. was founded to help producers of high risk products
learn how to prevent and manage food safety risks. Risk identification and management by
FoodSafetyByDesign incorporates root cause identification and development of preventative
methodology. Dr. Butts’ specialty is the incorporation of Food Safety Practices into company
culture. Preventative Controls have proven to be the most successful method to manage the risk
of environmental pathogens. Root cause identification using the Seek and Destroy Strategy
enables visualization of need. Interventions to manage high risk areas eliminate firefighting and
the solving of the same problem over and over again. The company culture next moves into the
preventative state and companies learn how to use data collected in their own facility to predict
and prevent product contamination.
In the early eighties LOF entered the shelf stable meal business with retort pouches. Dr.
Butts’ activities included:

97
 Responsible for Product Development, Process Improvement, and Quality
Assurance.
 Serving as a host and liaison for a technical exchange with a Japanese food
manufacturing company
 Process control for the packaging of an enteric feeding solution
 Commercialization of a retortable, peelable and microwavable entrée tray
 Development of a proprietary sealing method to eliminate flange
contamination as a critical factor for a hermetically sealed tray
Dr. Butts also provided technical and management support to Frigorifico Canelones, the
largest beef processing plant in Uruguay, from 1991-2001. LOF owned and managed this
business during this period. Key achievements:
 Implemented a HACCP program to qualify for export to the US, EU, and Japan
 Implemented a USDA compliant pathogen intervention and control program
 The further processing portion of the facility was designed and built to
operate in a Foot and Mouth infected area. Successfully obtained APHIS
approval for export to the US.
Trade Association Activities:

98
 Founding member of Special Poultry Research Committee to obtain approval
of nitrite in poultry during the President Carter - Carol Tucker-Foreman
administration.
 American Meat Institute (AMI)
 Active member of the Scientific Affairs Committee (SAC) for over thirty five
years
 Past Chairperson of the SAC
 Meat Inspection Committee
 Facility Design Task Force
 AMI Listeria Intervention and Control Workshop team member, presentation
co-author and instructor.
 AMI Board Member – Pork and Processed Meats Committee
Board Membership’s,
 Member of the AMI Board of Directors
 Editorial Advisory Board of Food Safety Magazine
 Food Safety Advisory Committee Miniat Foods South Holland Ill
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Dr. Butts is actively involved in pathogen reduction and control of pathogenic organisms
in cooked processed meat products, seafood, leafy greens and other RTE products .
From 1998-2000 he worked to develop practices and procedures to minimize and control
construction risk at an LOF plant undergoing multiple major high-risk construction projects
within the RTE area.
A focus has been on development of investigative tools enabling plants to identify and
control growth niches. The use of hurdle technology to minimize transfer to and within high risk
areas. These are now a part of the AMI Workshop.
Current work includes the application of scientific principles and quality management
technology to develop Sanitation Process Control Methods and Procedures. This includes
identification and control of critical factors coupled with the deployment of a real-time
monitoring and visual training program delivered by a ruggedized tablet computer during the
sanitation process.
Other related activities:
Developing and teaching environmental pathogen control technology, facility and
equipment design principles to allied trade groups, equipment manufactures and customers in the
industrial, food service and retail trade
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Equipment design and pathogen control presentations given to our equipment suppliers
both domestically and in Germany to top management as well as the design engineers
responsible for the sanitary design of equipment used in the United States.
Worked with Ireland Sea Fisheries Board and Australian (NSW Food Authority & Food
Standards Australia New Zealand (FSANZ)) to develop an Industry wide process for Listeria
control in further processed seafood and meat plants.
Awards:
Outstanding Food Science Award, Inaugural class recipient, Purdue University,
2005 Food Safety Leadership Award , NSF International presented at NRA national
convention
2006 Food Safety Magazine Distinguished Service Award recipient presented at Food
Safety World Conference
2008 Meat Processing Award from the American Meat Science Association. Presented at
the annual Reciprocal Meats Conference.
2009 Scientific Achievement Award American Meat Institute Foundation
2013 Certificate of Distinction, the highest award given by the Ag Alumni of Purdue
University
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Publications:
 “AMIF Listeria Control Manual”
 Contributor to publication MMT December 2003
 Butts, Ph.D., John. “Seek & Destroy: Identifying and Controlling Listeria
monocytogenes Growth Niches.” Food Safety Magazine April/May 2003, Vol.
9, No. 2:24
 Cover Story National Provisioner Apr 2010“Science + Culture = Safety”
 Employee Hygiene “Success in Simplicity” National Provisioner Jan 2011.
 “The Journey to a State of Control” Food Safety Magazine Mar 2011
 A Team Approach for Management of the Elements of a Listeria Intervention
and Control Program, Food and Analytical Bacteriology Vol. 2, Issue 1, 2012
 “Building Trust via food-safety management” National Provisioner Apr 2013.
Interviews:
“From Lab to Plant Floor,” Meat Processing Magazine January 2004.
“Machines on the Move,” Meat Processing Magazine December 2003.
“Breaking Ground in Sanitary Facility Design” Food Safety Magazine June 2005
Panels:
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 Rapid Detection Technologies, Measurement of Pathogens in Food and Water,
Washington, DC – University of Maryland. (2004)
 Food Safety Summit 2005 Facility Design
Presentations:
 “The Development and Production of Shelf Stable Entrees” a People-to-
People Meat Processing Technical Exchange and Trade Mission to Germany,
Hungary, Russia, Czechoslovakia, and Yugoslavia. - 1989
 “Methods to Control Listeria in RTE Environments” ,Armour-Swift-Eckrich
Pathogen Control Workshop–1999
 “Construction Process Control “,Conagra Pathogen Control Workshops - 2000
& 2003
 “Microbiological Data Collection and Analysis”,Silliker Pathogen Control
Workshop San Antonio – 2001
 “Data Collection and Trend Monitoring in Problem Prevention”,IFT Annual
Meeting – Chicago - 2003,
 “Identifying and Controlling Listeria monocytogenes Growth Niches”,Food
Safety Summit, Washington DC - 2003
 “Preventative Food Safety Designs & Practices”, Food Safety Summit,
Washington DC - 2004
103
 “Sanitary Equipment Design & Maintenance”, Ecolab Maintenance and
Engineering Sanitary Practices Workshop. St. Paul, Minnesota – 2004, 2005,
2006
 “Sanitation Process Control”, Kraft-Oscar Mayer Plant Managers Food Safety
Annual Meeting, Davenport, Iowa - 2004
 “The Prevention and Control of Environmental Pathogens in Food Processing
Environments”
 Refrigerated Foods Association - RFA Technical Web Conference – July 2004
 “The Use of Predictive Sampling as a Tool for Sanitation Process Control:”
Kraft-Oscar Mayer Food Safety Annual Meeting 2005, Glenview IL
 “Facility Design Case Study”
 Food Safety Summit 2005, Washington, DC
 Food Equipment Manufactures Association 2005, Oakbrook, IL
 Pack Expo 2005, Las Vegas, NV
 Food Safety World Conference and Expo – 2006, Washington, DC
 “FSIS Food Safety Assessment – Risk Verification Testing”, Kraft-Oscar Mayer
Food Safety Annual Meeting 2006, Glenview IL
 “Lessons Learned” from Years of Meat Plant Environmental Pathogen Control
Efforts
104
 FMI Food Safety Workgroup, Joint AMI-FMI Meeting March 2006,
Washington, DC
 “A Case Study on Time and Temperature Controls”, Food Safety World
Conference and Expo – 2006, Washington, DC
 “Listeria Intervention and Control”, 3M Sales Meeting – 12/05, San Diego, CA
 “Case Study on Condensation Control”, World Wide Food Exposition - AMI –
Oct 2005, Chicago, IL
 “Critical Factors for Process Control in Ready-to-Eat Manufacturing”
Reciprocal Meats Conference American Meat Science Association Annual
Meeting. Univ Illinois June 2006.
 “Application of Principles to Facility Design” World Wide Food Exposition -
AMI –Oct 2007 Chicago, IL
 Numerous presentations on Sanitary Control Procedures in Retail Deli
Operations – Affiliated Foods 2006 & 2007
 “Strategies for Controlling Listeria” Twenty-Seventh University of Wisconsin
- River Falls Food Microbiology Symposium and Workshop October 21-24,
2007
 Keynote Speaker “Control of Listeria monocytogenes in a Seafood Processing
Environment” Bord Iascaigh Mhara, Irish Sea Fisheries Board. Nov. 2007,
Dublin Ireland
105
 “Lessons Learned in the Meat Industry:Control of Listeria in RTE Meat and
Poultry Products” Canadian Meat Council, Toronto, Canada September 9,
2008
 “The Integration of Sanitation and Sanitary Design”. Weber National Sales
Meeting Jan 2009
 AMI Board Members - Pork and Processes Meats Committee
 Listeria Control Self Assessment - Fall 2008
 Listeria Benchmarking – Spring 2009
 AMI Details Industry Advancements in Listeria Control at FSIS Public Hearing
on Retail Risk Assessment. Washington DC June 2009
 “Improving Sanitary Design” IAFP Workshop July 2009
 Food Industry Microbiology Round Table “A Process Control System for
Listeria in RTE Meat Plants” Glenview IL Oct 2009
 Canadian Meat Council “Sanitary Design” October 2009, Toronto, Canada
 IAFP Webinar “Challenges with Wet Cleaning” May 2010
 University of Wisc. “Developing A Food Safety System” FRI and UW Meat
Science Food Safety and Meat Microbiology School. Madison Wisc Aug 2010.
 NSW Food Authority Auditors “Data Analysis, Investigation and Corrective
Action” Sydney Australia July 2010
106
 Keynote Speaker NSW Food Authority Conference “Listeria Intervention and
Control” Sydney Australia July 2010
 IAFP. “Seek and Destroy Team Approach to Listeria Intervention and Control”
Arkansas Chapter Sept 2010, Nebraska Chapter Oct 2010,
 “Food Safety War Stories - A Perspective on Continuous Improvement and
the Development of a Proactive Food Safety Culture”. Maple Leaf Foods Food
Safety Symposium. Toronto Canada May 2011.
 “Investigation Intervention & Control”, Saputo Foods Annual Food Safety
Workshop Green Bay WI June 2011
 “Data Driven Construction and Sanitation Process Control” Refrigerated
Foods Association Annual Convention Palm Springs Ca Mar 2012
 Principles of Hygienic Design and Application, Midwest Food Processors
Association, MWFPA Sanitary Design Seminar, La Crosse, WI – Apr. 2012
 The Evolution of Foreign Material Control and Prevention. Webinar for
Maple Leaf Foods FSQ Leader Summit Feb 2013.
Developed and presents four ongoing presentations for the AMI Listeria Intervention &
Control Workshops: Construction Process Control, Data Analysis, Investigation and Corrective
Action, and Sanitary Equipment & Facility Design
These presentations have been given at:

107
Workshops (Nov 2000 – present)have been presented to industry at 25+ different
locations/events throughout the US, to FSIS staff at the Omaha Technical Center and
Washington, D.C., NAMP National Conference Chicago, 2007, Lm workshop and case studies
FDA Policy Group Univ Maryland – Mar 2009, and Lm workshop and case studies FSIS Policy
Group Washington DC – July 2009.
Martha Gonzarlez, Director Global Quality Systems, McCain Foods Limited
Food Engineer; Quality and Food Safety professional, with a proven record of
accomplishment in leadership, coaching and service in the food industry; driven continuous
improvement in the entire supply chain through effective corporate deployment of a quality
assurance and food safety strategic plan.
Introduction
USA resident, Citizen from Bogota- Colombia (South America), where has received a
professional degree as Food Engineer; attended a post grad program in International Business
Management, and executive programs such as project management, business administration, and
integral management. Even though the preferred area has been associated with strategic
leadership, has evolved within the functional process of Total Quality, and Quality Assurance for
the Food industry (ISO 9000, GMP’s, Prerequisites for Food Safety, HACCP).
Core Competencies
108
With experience at Country, Regional, and Corporate level: Mentoring and Coaching *
Interpersonal Skills * Strategic Management based on Total Quality approach * Multicultural
Leadership * Personnel Management * Crisis Management * Project Management * Negotiation
* Budget Management * Quality Assurance and Quality Control * Customer technical support *
Supplier Quality Management * International Regulatory Compliance.
Professional Experience
Director Global Quality Systems Oct 2010 - Current
McCain Foods Limited – Global Quality Office, Lisle- IL USA
This is a corporate (global) role. Accountable for planning, and directing the
implementation of the quality and food safety policy, corporate programs and initiatives
regarding quality assurance and food safety management system (FSQMS). Oversees all aspects
of the organization’s FSQMS improvement efforts, develop; promoting education, cultural
change, its implementation, and verification. Coordinate global work streams to establish and
execute strategic plans, policies, and procedures at all levels so the quality system meets
regulatory, internal and external customers’ needs and expectations.
Experience and knowledge in regards to following standards: GFSI benchmarked
schemes- BRC, SQF2000, and FSSC22000- ; GMP's - AIB International; Customer audits.
Others: Global Quality Metrics. Support to the Americas for the interpretation of
LATAM regulations.
109
Member of:
- AIB International, Food Safety Advisory Committee;
- ASQ, ASSOCIATE Member.
- GMA Latin America Working Group;
- Center of Excellence Kestrel Management.
Holly Mockus, Product Manager, Alchemy Systems
With more than 30 years of experience in the food industry, Holly Mockus has had the
privilege of working with many exceptional professionals and organizations throughout her
career and is thrilled to a Product Manager with Alchemy Systems. Her industry experience
includes food safety, quality, food defense, pest control, sanitation and plant regulatory affairs
with a variety of food products — from flavors to meat and poultry to snack and bakery items to
frozen meals. She is actively involved in industry activities including GFSI working groups and
NSF Certificate Program Advisory Committee, and very much enjoys working with people.
After all, teamwork makes it all happen! Holly graduated from Southern Illinois University
with a bachelor’s degree in microbiology.
110
111
Dr. W. Payton Pruett, Jr., Vice President of Corporate Food Technology aand
Regulatory Compliance, The Kroger Co.
Dr. W. Payton Pruett is Vice President of Corporate Food Technology and Regulatory
Compliance for The Kroger Co. Payton joined Kroger in 2005 from ConAgra Foods in Omaha
where he served as Senior Director of Food Safety and Laboratory Services. During his career,
Payton also managed food safety, quality, and laboratory services at ConAgra Refrigerated
Foods and Silliker Laboratories.
Payton earned his M.S. and Ph.D. degrees in Food Science and Technology from
Virginia Tech. He received his B.S. in Microbiology and minor in Chemistry from East
Tennessee State University.
Payton has written and presented extensively on the microbiological safety and quality of
foods. He has served on a number of scientific committees and has been a member of several
professional organizations including the International Association for Food Protection, the
Institute of Food Technologists, and the American Society of Microbiology. From 1997-2002,
Payton was certified as a Specialist Microbiologist through the National Registry of
Microbiology and was an editor for the Journal of Food Protection from 2004-2009. Payton is
currently a food science adjunct professor at Purdue University, a member of the Global Food
Safety Initiative (GFSI) Foundation board of directors, and serves on the Virginia Tech food
science department advisory board. He is a Certified Professional - Food Safety (CP-FS)
through the National Environmental Health Association (NEHA).
112
Sara Mortimore, VP, Product Safety, Quality & Regulatory Affairs, Land O’Lakes,
Inc.
Sara Mortimore, Msc, FRSPH, MIFST, is a Food Scientist with around 30 years of
practical experience. She started her career with Glaxo SmithKline, working as a Research
Technologist and then moved to a division of Croda International where she again worked in
R&D before transitioning into Quality Assurance. In 1989 she joined Grand Metropolitan Foods
which later became Pillsbury and subsequently was incorporated by General Mills Inc. She
stayed there for close on 19 years moving through a series of global assignments all in Food
Safety and Quality. Sara joined Land O’Lakes in 2008 and is currently Vice President of Product
Safety, Quality and Regulatory Affairs with enterprise wide responsibility.
Publications include,
 "HACCP: A Practical Approach", Sara Mortimore and Carol Wallace, (3rd
Edition 2013), Springer (New York)),
 “Food Safety for the 21st Century”, C. A. Wallace, W.H. Sperber, S.E. Mortimore
(2011), Wiley-Blackwell (Oxford, UK).
 "Food Industry Briefing Series: HACCP", Sara Mortimore and Carol Wallace,
(2001), Blackwell Science Ltd. (Oxford, UK) (2nd edition scheduled 2014)
113
 “Making the Most of HACCP”, Mayes, A. and Mortimore, S.E. (2001),
Woodhead Publishing, (Cambridge, UK)
John Weisgerber, VP Quality and Food Safety, Ed Miniat, LLC
John Weisgerber graduated from Purdue University in 1970 with a B.S. in Biology. He
spent over 33 years working in various aspects of quality, food safety and regulatory systems
management with Oscar Mayer/Kraft Foods. During his career he worked at five Oscar Mayer/
Louis Rich manufacturing facilities across the US. In addition, John continues to be an instructor
for the AMIF Listeria Intervention & Control Workshop, has co-authored an AMIF White Paper
on Airborne Listeria, has volunteered through the United Nations to provide food processing
expertise to the government of Lesotho and was a contributor to the AMIF Listeria Control
Manual published in December 2003.
John retired from Kraft in May 2004 as Director of Quality for the Oscar Mayer, Louis
Rich and Kraft Pizza brands. Since then, he has formed Weisgerber Consulting, LLC to provide
quality and food safety system support to the food processing industry. He has presented Process
Control and Quality System seminars at the Alkar Processing Validation Seminar in May 2005
and the Food Safety World Conference and Expo in March 2006. Additionally he has published
an article in the April/ May 2006 issue of Food Safety Magazine titled “Automating Process
Controls with a Supply Chain View” and has been a speaker in the Listeria Control workshop at
the 2009 IAFP annual meeting as well as the keynote speaker at the 2009 Canadian Meat
Council Advanced Listeria Control Symposium. He is also a member of the Maple Leaf Foods
114
Co. Food Safety Advisory Council and is the leader of the Ed Miniat, LLC Food Safety Advisory
Council.
In May 2011 John put his consulting business on hold and accepted the position of VP
Quality and Food Safety working for Ed Miniat, LLC, a processed meat manufacturer in South
Holland, IL. In 2013 he was promoted to the position of VP Quality and Food Safety
115
Appendix D: Pinpointed behaviours
Table D-1: Pinpointed behaviours by function (food safety and quality), role and competency areas in the maturity stages of doubt.
Capability area Supervisor (Execute) Leader (Tactic) Functional Leader (Strategy) Executive (Vision)
People System I immediately remove food safety I provide my direct reports with I always have to manage I make sure somebody is
issues by myself to avoid negative direction to remove food safety negative consequences when a managing negative
consequences for myself and my problems immediately to avoid food safety problem occur consequences every time a food
team (MOTIVATION) negative consequences (MOVTIVATION) safety problem occur
(MOTIVATION) (MOTIVATION)
I always have to learn how to I check if my teams have the
solve food safety problems as they I plan improvements of my needed food safety knowledge, I seldom get involved in
happen (COMPETENCE) own or my teams knowledge, skills or ability on an ad-hoc discussions regarding food
skills or ability in food safety as basis (COMPETENCE) safety knowledge, skills or
I always ask others before taking needs arise (COMPETENCE) ability needs (COMPETENCE)
action to solve a food safety I direct leaders to always ask I hold leaders accountable for
116
problem (OPPORTUNITY) I always direct my team(s) not somebody before solving a food consulting wiht FSQ experts
to take action to solve a food safety problem before taking action on food
safety problems without asking (OPPERTUNITY) safety (OPPERTUNITY)
others (OPPERTUNITY)
Perceived I take action on food safety only I only take action on food safety I only engage in food safety I do not engage in food safety
Value when regulatory or customer if regulatory or customer issues if regulatory or customer issues unless regulatory or
compliance is at risk compliance is at risk compliance is at risk customer compliance is at risk
(DIRECTION) (DIRECTION) (DIRECTION) (DIRECTION)
I collect minimum weekly food I more often base my food safety I more often base my food safety
I do not review food safety data
safety data for filing purpose only decisions on discussions than decisions on discussion than
outside the monthly action
plant data data
meeting
117
Process I rarely have time to identify root I often have to solve many food I minimum weekly ask for new I circle back with responsible
Thinking cause of problems and mostly find safety problems at the same issues to be solved by a plant leaders to ensure specific
myself fire fighting time team corrective actions have been
implemented effectively when I
I support my team and others in have time

I circle back after corrective
identifying root causes for food
actions have been implemented
safety problems very rarely due
to learn about the root-cause(s)
to figherfighting
when I can find the time
Technology I always design my own tools e.g. I rarely discuss or set direction I always look to IS to set I do not get involved in what
Enablement spreadsheets and forms to gather for the tools used by my team to direction for tools used to gather systems are used to gather food
(Technology = food safety data gather food safety data food safety data safety data
IS tools)
Tools and I often have to improvise because I always reward improvisation I personally review every plants I encourage and reward direct
Infrastructure I or my team do not have the right for solving a task if the right food safety spend minimum reports on-going for minimizing
tools to perform a food safety task tools are not available monthly food safety spend
118
Table D-2: Pinpointed behaviours by function (food safety and quality), role and competency areas in the maturity stages of internalized
Capability Supervisor (Execute) Leader (Tactic) Functional Leader Executive (Vision)
Area (Strategy)
People System I take action daily to let I take action daily to I take action daily to I minimum monthly check
anybody know when they provide positive feedback complement my peers in in with functional - and
go over and beyond for when others take action to other functions of their business leaders to ensure
food safety remove perceive food demonstrated food safety food safety is built into
(MOVTIVATION) safety risks ownership their business plans
(MOTIVATION) (MOTIVATION) (MOTIVATION)
I only act as coach
whenever the plant teams I take daily action to I systemically and openly
I minimum weekly openly
solve food safety issues congratulate plant teams celebrate individual leaders
congratulates a plant
(COMPETENCE) when they solve food for their food safety
manager on his/her good
119
Area (Strategy)
safety problems with business decision(s) made competency and leadership
I always correct food minimal involvement for food safety (COMPETENCE)
safety behaviours from FSQ (COMPETENCE)
immediately when I see an (COMPETENCE) I systemically, once a
opportunity I check in with teams or quarter, review summary of
(OPPERTUNITY) I minimum weekly check peers minimum weekly to behaviours requiring
in with my supervisor(s) ensure they have the celebration or correction
or others to ensure they authority to make business (OPPERTUNITY)
have the necessary decision for food safety
authority to make business (OPPERTUNITY)
decisions for food safety
120
Area (Strategy)
(OPPERTUNITY)
121
Area (Strategy)
Perceived I work daily to improve I minimum weekly direct I take action weekly to I systemically take action
Value food safety processes e.g. plant teams to improve reward food safety to review and comment on
take out unnecessary steps, food safety processes continuous improvement continuous improvement
reduce lead-time, reduce (DIRECTION) results at plants, BU or HO results across the plant
resource needs (DIRECTION) network (DIRECTION)
(DIRECTION) I answer ad-hoc questions
from manufacturing I discuss and action longer

I take action to ensuring
I only participate in food regarding food safety and term preventive action
effectivness of preventive
safety problem solving only get involved when planning with
plans through a pre-set
and follow up when asked they ask manufacturing leaders
meeting rhythm with
by manufacturing weekly
functional -and business
122
Area (Strategy)
leaders
Process 6. I collect, analyze 6. I analyze data 6. I analyze data for 6. I review the
Thinking and report food safety data for food safety trends food safety trends monthly plants preventive plans for
daily to plant staff to bring weekly and provide and provide summary for effectiveness and act on
transparency on lurking summary to plant -and BU senior leaders recommendation from
challenges leaders leaders once a quarter
7. I review the plants
123
Area (Strategy)
7. I review plants preventive plans for 7. I provide direction,
preventive plans for effectiveness monthly minimum quarterly, on the
effectiveness weekly criticallity of data integrity
to business performance
Technology I enter and report food I review food safety data I take action monthly to I enforce in regular
Enablement safety performance daily in the company-wide IS ensure everybody on my communication the
(Technology = in one place only system (e.g. SAP) weekly team understands the importance of using the
IS tools) importance of data usage - company-wide IS system
and integrity in the for food safety data
company-wide IS system collection -and reporting
124
Area (Strategy)
Tools and I use tools and technology I soliciting barriers to use I build plan with plants for I encourage leaders to
Infrastructure daily to identify and of tool and technology and their longer term tools and gather tools and technology
reinforce the right food bring these to my technology needs and bring needs on-going to enable
safety behaviours in others functional leader monthly these to approval with development and execution
executives once a quarter of a standardized, longer-
term roadmap
125
Table D-4: Pinpointed behaviours by function (manufacturing), role and competency areas in the maturity stages of doubt
Area (Strategy)
People System I immediately remove food I provide my direct reports I always have to manage I make sure somebody is
safety issues by myself to with direction to remove negative consequences managing negative
avoid negative food safety problems when a food safety consequences every time a
consequences for myself immediately to avoid problem occur food safety problem occur
and my team. negative consequences (MOVTIVATION) (MOTIVATION)
I check if my teams have I seldom get involved in
I always have to take time the needed food safety discussions regarding food
I always have to learn how
figuring out how to handle knowledge, skills or ability safety knowledge, skills or
to solve food safety
a food safety problem after on an ad-hoc basis ability needs
problems as they happen
126
Area (Strategy)
(COMPETENCE) it has happened (COMPETENCE) (COMPETENCE)
(COMPETENCE)
I always ask others before I direct my direct reports I hold leaders accountable
taking action to solve a I always direct my team(s) and others to always ask for consulting wiht FSQ
food safety problem not to take action to solve myself or others before experts before taking
(OPPORTUNITY) a food safety problems solving a food safety action on food safety
without asking others problem (OPPORTUNITY)
(OPPORTUNITY) (OPPORTUNITY)
127
Area (Strategy)
Perceived I take action on food safety I only take action on food I only engage in food I do not engage in food
Value only when regulatory or safety if regulatory or safety issues if regulatory safety issues unless
customer compliance is at customer compliance is at or customer compliance is regulatory or customer
risk (DIRECTION) risk (DIRECTION) at risk (DIRECTION) compliance is at risk
(DIRECTION)
I collect food safety data 5. I do not analyze food I more often base my food
minimum weekly for others safety data outside the safety decisions on I more often base my food
to action monthly action meeting discussions than plant data safety decisions on
discussion than data
128
Area (Strategy)
Process I mostly figherfight when I often have to solve many I minimum weekly ask for I circle back with
Thinking solving food safety food safety problems at new food safety issue(s) to responsible leaders to
problems since there is so the same time be solved by a plant team ensure specific corrective
much to do actions have been
I support my team and I circle back after implemented effectively
others in identifying root corrective actions have when I have time
causes for food safety been implemented to learn
problems very rarely due about the root-cause(s)
to figherfighting when I have time
129
Area (Strategy)
Technology I do not analyze food safety I encourage my team(s) I do not get involved in I do not get involved in
Enablement data FSQ takes care of that and others to get food how food safety data is what systems are used to
(Technology = safety data analyzed by collected and leave that to gather food safety data
IS tools) FSQ my peers in FSQ
Tools and I often have to improvise I always reward I take action daily to I encourage and reward
Infrastructure because I or my team do not improvising when solving minimize food safety spend direct reports on-going for
have the right tools to a food safety task to keep minimizing food safety
perform a food safety task production running spend
Table D-2: Pinpointed behaviours by function (manufacturing), role and competency areas in the maturity stages of internalized
130
Area (Strategy)
People System I take action daily to let I take action daily to I take action weekly to I minimum monthly check
anybody know when they provide positive feedback complement my peers in in with functional - and
go over and beyond for when others take action to other functions for their business leaders to ensure
food safety remove perceive food food safety actions food safety is built into
(MOVTIVATION) safety risks (MOTIVATION) their business plans
2. I always solve for food I minimum weekly
safety problems with my I take action daily to congratulate a plant I systemically and openly
team and only involve congratulate plant teams manager for his/her good celebrate individual leaders
FSQ in a coaching when they solve food business decision(s) in for their food safety
capacity safety problems with support of food safety competency and leadership
131
Area (Strategy)
(COMPETENCE) minimal involvement (COMPETENCE) (COMPETENCE)
from FSQ
I correct food safety (COMPETENCE) I check in with my team I systemically, once a
behaviours on the spot I minimum weekly check and others, minimum quarter, review summary of
every single time I see an in with my supervisor(s) weekly, to ensure they behaviours requiring
opportunity or others to ensure they have the authority to make celebration or correction
(OPPORTUNITY) have the neccessary business decision for food (OPPORTUNITY)
authority to make business safety (OPPORTUNITY)
decisions for food safety
(OPPORTUNITY)
132
Area (Strategy)
Perceived I work daily to improve I minimum weekly direct I take action weekly to I systemically take action
Value food safety processes e.g. plant teams or others to openly reward food safety to review and comment on
take out unnecessary improve food safety continuous improvement continuous improvement
steps, reduce resource processes (DIRECTION) results at plants results across the plant
needs, increase (DIRECTION) network (DIRECTION)
consistency between runs I mostly solve food safety
(DIRECTION) problems within my team I discuss and execute I take action to ensuring
and bring in FSQ for longer term preventive effectiveness of preventive
I rarely involve FSQ in coaching if needed actions with FSQ weekly plans through a pre-set
food safety problems meeting rhythm with
unless I need coaching functional -and business
133
Area (Strategy)
leaders
Process I solve for lurking food I receive weekly summary I discuss food safety I review the plants
Thinking safety challenges of food safety trends from trends, derived from preventive plans for
immediately based on data FSQ and take action aggregated plant data, effectiveness and act on
collected during prodution immediately within my monthly with my FSQ recommendation from
team peers leaders once a quarter
134
Area (Strategy)
I review food safety I review food safety I provide direction,
preventive plans for my preventive plans for minimum quarterly, on the
area weekly to make sure effectiveness monthly criticality of data integrity
they work and look for to business performance
improvement
opportunities
Technology I enter and report food I discuss food safety I take action monthly to I enforce in regular
Enablement safety performance daily information, pulled only ensure everybody on my communication the
(Technology = through the company-wide from the company-wide IS team understands the importance of using the
IS tools) IS system only and system, weekly with plant importance of data usage - company-wide IS system
nowhere else teams and integrity in the for food safety data
135
Area (Strategy)
company-wide IS system collection -and reporting
Tools and I use tools and technology I reinforce use of food I gather longer term tools I encourage leaders to
Infrastructure daily to identify and safety tools and and technology needs from gather tools and technology
reinforce the right food technology, solicit barriers plants and bring these to needs on-going to enable
safety behaviours in others to their use and bring approval with executives development and execution
these to my functional once a quarter of a standardized, longer-
leader weekly term roadmap
136
137
Appendix E: Behaviour-based Maturity Scale
Scale questions.
Table E-1: Scale questions and rating
Question/Statement Rating
1 Extremely beneficial
2 Slightly beneficial
3 Neither
My behaviour to only participate in food safety problem solving 4 Slightly harmful
and follow up when asked by manufacturing is … 5 Extremely harmful
1 Strongly Agree
2 Agree
People whose opinion I value, at work and outside of it, approve of 3 Undecided
me always correcting food safety behaviours immediately when I 4 Disagree
see an opportunity 5 Strongly Disagree
1. Always
2 Usually
3 About Half the Time
In the past three months I always corrected food safety behaviours 4 Seldom
immediately when I saw an opportunity 5 Never
1 Very likely
2 Likely
3 Certain
I am certain that for the next three months I will always correct 4 Unlikely
food safety behaviours immediately when I see an opportunity 5 Very unlikely
1 Very likely
2 Likely
I am certain that for the next three months I will collect, analyze 3 Certain
and report food safety data daily to plant staff to bring 4 Unlikely
transparency on emerging issues 5 Very unlikely
3 Neither
My behaviour to collect, analyze and report food safety data daily 4 Slightly harmful
to plant staff to bring transparency on emerging issues is … 5 Extremely harmful
138
1 Strongly Agree
2 Agree
me taking action on food safety only when regulatory or customer 4 Disagree
compliance is at risk 5 Strongly Disagree
1 Very Important
2 Important
3 Neither Important or
Unimportant
When it comes to matters of food safety how much do you want to 4 Unimportant
be like your manager? 5 Very Unimportant
3 Neither
My behaviour to always having to learn how to solve food safety 4 Slightly harmful
issues as they happen is … 5 Extremely harmful
1 Strongly Agree
2 Agree
me rarely having time to identify root cause of problems and 4 Disagree
mostly find myself fire fighting 5 Strongly Disagree
1 Strongly Agree
2 Agree
3 Undecided
I intend to often have to improvise because I or my team do not 4 Disagree
have the right tools to perform a food safety task 5 Strongly Disagree
1 Strongly Agree
2 Agree
3 Undecided
I intend to immediately remove food safety issues to avoid 4 Disagree
negative consequences for myself and my team 5 Strongly Disagree
1 Strongly Agree
2 Agree
me using tools and technology daily to identify and reinforce the 4 Disagree
right food safety behaviours 5 Strongly Disagree
139
1 Strongly Agree
2 Agree
3 Undecided
I intend to take action daily to let anybody know when they go 4 Disagree
above and beyond for food safety 5 Strongly Disagree
1. Always
2 Usually
In the past three months I always had to learn how to solve food 4 Seldom
safety issues as they happened 5 Never
1 Strongly Agree
2 Agree
3 Undecided
I intend to rarely have time to identify root cause of problems and 4 Disagree
mostly find myself fire fighting 5 Strongly Disagree
1. Always
2 Usually
In the past three months I always designed my own tools e.g. 4 Seldom
spreadsheets and forms, to gather food safety data 5 Never
1. Always
2 Usually
In the past three months I collected minimum weekly food safety 4 Seldom
data for filing purpose only 5 Never
1 Strongly Agree
2 Agree
3 Undecided
I intend to always ask others before taking action to solve a food 4 Disagree
safety problem 5 Strongly Disagree
1 Strongly Agree
2 Agree
3 Undecided
I intend to always have to learn how to solve food safety issues as 4 Disagree
they happen 5 Strongly Disagree
1 Very likely
2 Likely
I am certain that for the next three months I will often have to 3 Certain
improvise because I or my team do not have the right tools to 4 Unlikely
perform a food safety task 5 Very unlikely
140
1. Always
2 Usually
In the past three months I took action daily to let anybody know 4 Seldom
when they went above and beyond for food safety 5 Never
1 Strongly Agree
2 Agree
me only participating in food safety problem solving and follow up 4 Disagree
when asked by manufacturing 5 Strongly Disagree
1 Strongly Agree
2 Agree
me entering and reporting food safety performance daily in one 4 Disagree
place only 5 Strongly Disagree
1. Always
2 Usually
In the past three months I only acted as coach whenever the plant 4 Seldom
teams solved food safety issues 5 Never
1 Strongly Agree
2 Agree
3 Undecided
I intend to use tools and technology daily to identify and reinforce 4 Disagree
the right food safety behaviours 5 Strongly Disagree
1 Very likely
2 Likely
I am certain that for the next three months I will take action daily 3 Certain
to let anybody know when they go above and beyond for food 4 Unlikely
safety 5 Very unlikely
1 Strongly Agree
2 Agree
me always having to learn how to solve food safety issues as they 4 Disagree
happen 5 Strongly Disagree
1 Very likely
2 Likely
3 Certain
I am certain that for the next three months I will take action on 4 Unlikely
food safety only when regulatory or customer compliance is at risk 5 Very unlikely
141
What type of feedback is typically provided to teams around food

safety behaviours?
1 Very Important
2 Important
Unimportant
When it comes to food safety I am most influenced by what my 4 Unimportant
manager thinks I should do 5 Very Unimportant
1 Strongly Agree
2 Agree
3 Undecided
I intend to only participate in food safety problem solving and 4 Disagree
follow up when asked by manufacturing 5 Strongly Disagree
1 Very likely
2 Likely
3 Certain
I am certain that for the next three months I will always design my 4 Unlikely
own tools e.g. spreadsheets and forms, to gather food safety data 5 Very unlikely
1 Strongly Agree
2 Agree
3 Undecided
I intend to collect minimum weekly food safety data for filing 4 Disagree
purpose only 5 Strongly Disagree
1. Always
2 Usually
In the past three months I only participated in food safety problem 4 Seldom
solving and follow up when asked by manufacturing 5 Never
1 Very likely
2 Likely
3 Certain
I am certain that for the next three months I will only act as coach 4 Unlikely
whenever the plant teams solve food safety issues 5 Very unlikely
1 Strongly Agree
2 Agree
3 Undecided
I intend to always correct food safety behaviours immediately 4 Disagree
when I see an opportunity 5 Strongly Disagree
142
3 Neither
My behaviour to rarely having time to identify root cause of 4 Slightly harmful
problems and mostly find myself firefighting is … 5 Extremely harmful
3 Neither
My behaviour to immediately remove food safety issues to avoid 4 Slightly harmful
negative consequences for myself and my team is … 5 Extremely harmful
3 Neither
My behaviour to use tools and technology daily to identify and 4 Slightly harmful
reinforce the right food safety behaviours is … 5 Extremely harmful
1 Strongly Agree
2 Agree
me collecting minimum weekly food safety data for filing purpose 4 Disagree
only 5 Strongly Disagree
1 Very Important
2 Important
Unimportant
When it comes to food safety I am most influenced by what I have 4 Unimportant
learn through food safety training 5 Very Unimportant
1 Strongly Agree
2 Agree
me taking action daily to let anybody know when they go above 4 Disagree
and beyond for food safety 5 Strongly Disagree
1 Strongly Agree
2 Agree
3 Undecided
I intend to always design my own tools e.g. spreadsheets and 4 Disagree
forms, to gather food safety data 5 Strongly Disagree
143
1 Very likely
2 Likely
3 Certain
I am certain that for the next three months I will always ask others 4 Unlikely
before taking action to solve a food safety problem 5 Very unlikely
1. Always
2 Usually
In the past three months I collected, analyzed and reported food 3 About Half the Time
safety data daily to plant staff to bring transparency on emerging 4 Seldom
issues 5 Never
1 Very likely
2 Likely
3 Certain
I am certain that for the next three months I will always have to 4 Unlikely
learn how to solve food safety issues as they happen 5 Very unlikely
1 Very Important
2 Important
Unimportant
working peers think I should do 5 Very Unimportant
1. Always
2 Usually
In the past three months I always asked others before taking action 4 Seldom
to solve a food safety problem 5 Never
1. Always
2 Usually
In the past three months I worked daily to improve food safety 3 About Half the Time
processes e.g. took out unnecessary steps, reduced lead-time, 4 Seldom
reduced resource needs 5 Never
1 Very likely
2 Likely
I am certain that for the next three months I will use tools and 3 Certain
technology daily to identify and reinforce the right food safety 4 Unlikely
behaviours 5 Very unlikely
1. Always
2 Usually
In the past three months I entered and reported food safety 4 Seldom
performance daily in one place only 5 Never
144
1 Strongly Agree
2 Agree
me always designing my own tools e.g. spreadsheets and forms, to 4 Disagree
gather food safety data 5 Strongly Disagree
1 Very likely
2 Likely
3 Certain
I am certain that for the next three months I will enter and report 4 Unlikely
food safety performance daily in one place only 5 Very unlikely
1 Very likely
2 Likely
3 Certain
I am certain that for the next three months I will collect minimum 4 Unlikely
weekly food safety data for filing purpose only 5 Very unlikely
1 Strongly Agree
2 Agree
me always asking others before taking action to solve a food safety 4 Disagree
problem 5 Strongly Disagree
1. Always
2 Usually
In the past three months I took action on food safety only when 4 Seldom
regulatory or customer compliance was at risk 5 Never
3 Neither
My behaviour to enter and report food safety performance daily in 4 Slightly harmful
one place only is … 5 Extremely harmful
1. Always
2 Usually
In the past three months I used tools and technology daily to 4 Seldom
identify and reinforce the right food safety behaviours 5 Never
1 Strongly Agree
2 Agree
3 Undecided
I intend to only act as coach whenever the plant teams solve food 4 Disagree
safety issues 5 Strongly Disagree
145
1 Strongly Agree
2 Agree
3 Undecided
I intend to enter and report food safety performance daily in one 4 Disagree
place only 5 Strongly Disagree
1. Always
2 Usually
In the past three months I often had to improvise because I or my 4 Seldom
team did not have the right tools to perform a food safety task 5 Never
3 Neither
My behaviour too often having to improvise because I or my team 4 Slightly harmful
do not have the right tools to perform a food safety task is … 5 Extremely harmful
3 Neither
My behaviour to only act as coach whenever the plant teams solve 4 Slightly harmful
food safety issues is … 5 Extremely harmful
1. Always
2 Usually
In the past three months I immediately removed food safety issues 4 Seldom
to avoid negative consequences for myself and my team 5 Never
1 Strongly Agree
2 Agree
me immediately removing food safety issues to avoid negative 4 Disagree
consequences for myself and my team 5 Strongly Disagree
1 Strongly Agree
2 Agree
3 Undecided
I intend to collect, analyze and report food safety data daily to 4 Disagree
plant staff to bring transparency on emerging issues 5 Strongly Disagree
1 Very likely
2 Likely
I am certain that for the next three months I will work daily to 3 Certain
improve food safety processes e.g. take out unnecessary steps, 4 Unlikely
reduce lead-time, reduce resource needs 5 Very unlikely
146
1 Very likely
2 Likely
I am certain that for the next three months I will rarely have time 3 Certain
to identify root cause of problems and mostly find myself fire 4 Unlikely
fighting 5 Very unlikely
1 Very Important
2 Important
Unimportant
When it comes to matters of food safety how much do you want to 4 Unimportant
be like your working peers? 5 Very Unimportant
1 Strongly Agree
2 Agree
me only acting as coach whenever the plant teams solve food 4 Disagree
safety issues 5 Strongly Disagree
3 Neither
My behaviour to take action daily to let anybody know when they 4 Slightly harmful
go above and beyond for food safety is … 5 Extremely harmful
3 Neither
My behaviour to always correct food safety behaviours 4 Slightly harmful
immediately when I see an opportunity is … 5 Extremely harmful
1 Very likely
2 Likely
I am certain that for the next three months I will only participate in 3 Certain
food safety problem solving and follow up when asked by 4 Unlikely
manufacturing 5 Very unlikely
3 Neither
My behaviour to collect minimum weekly food safety data for filing 4 Slightly harmful
purpose only is … 5 Extremely harmful
3 Neither
My behaviour to take action on food safety only when regulatory 4 Slightly harmful
or customer compliance is at risk is … 5 Extremely harmful
People whose opinion I value, at work and outside of it, approve of 1 Strongly Agree
me collecting, analyzing and reporting food safety data daily to 2 Agree
plant staff to bring transparency on emerging issues 3 Undecided
147
4 Disagree
5 Strongly Disagree
1. Always
2 Usually
In the past three months I rarely had time to identify root cause of 4 Seldom
problems and mostly found myself fire fighting 5 Never
1 Strongly Agree
2 Agree
3 Undecided
I intend to take action on food safety only when regulatory or 4 Disagree
customer compliance is at risk 5 Strongly Disagree
3 Neither
My behaviour to always ask others before taking action to solve a 4 Slightly harmful
food safety problem is … 5 Extremely harmful
1 Strongly Agree
2 Agree
me working daily to improve food safety processes e.g. taking out 4 Disagree
unnecessary steps, reducing lead-time, reducing resource needs 5 Strongly Disagree
1 Very Important
2 Important
Unimportant
family/friends outside work think I should do 5 Very Unimportant
My behaviour to work daily to improve food safety processes e.g. 3 Neither
take out unnecessary steps, reduce lead-time, reduce resource 4 Slightly harmful
needs is … 5 Extremely harmful
1 Strongly Agree
2 Agree
me often having to improvise because I or my team do not having 4 Disagree
the right tools to perform a food safety task 5 Strongly Disagree
148
1 Strongly Agree
2 Agree
3 Undecided
I intend to work daily to improve food safety processes e.g. take 4 Disagree
out unnecessary steps, reduce lead-time, reduce resource needs 5 Strongly Disagree
1 Very likely
2 Likely
I am certain that for the next three months I will immediately 3 Certain
remove food safety issues to avoid negative consequences for 4 Unlikely
myself and my team 5 Very unlikely
3 Neither
My behaviour to always design my own tools e.g. spreadsheets and 4 Slightly harmful
forms, to gather food safety data is … 5 Extremely harmful
149
Appendix F: Plant Maturity Models
Table F-1: Mean maturity score by plant by capability area
Capability Doubt Plant 1 Plant 2 Plant 3 Plant 4 Plant 5 Plant 6 Plant 7 Plant 8
area
Perceived Doubt 3.00 3.20 2.30 3.20 2.80 3.00 3.70 2.30
value
Perceived Internalized 2.80 2.60 2.90 2.80 3.00 3.50 2.80 3.40
value
People Doubt 2.80 2.00 2.50 2.00 1.70 2.60 2.60 2.60
systems
People Internalized 3.20 2.70 2.70 3.10 2.50 2.80 2.70 3.00
systems
Process Doubt 2.50 2.70 2.60 2.40 2.90 3.20 3.30 3.00
thinking
Process Internalized 3.10 2.50 3.20 2.40 2.10 2.70 2.70 2.60
thinking
Technology Doubt 3.00 2.90 2.30 3.50 2.60 2.40 3.50 2.50
150
Capability Doubt Plant 1 Plant 2 Plant 3 Plant 4 Plant 5 Plant 6 Plant 7 Plant 8
area
enabler
Technology Internalized 2.30 1.80 2.20 1.70 1.00 2.50 2.30 2.30
enabler
Tools & Doubt 2.90 3.80 2.80 3.40 2.40 3.00 3.40 2.60
Infrastructure
Tools & Internalized 3.30 2.80 3.10 2.60 3.00 3.40 2.90 2.40
Infrastructure
Average 2.89 2.70 2.66 2.71 2.40 2.91 2.99 2.67
Max 3.30 3.80 3.20 3.50 3.00 3.50 3.70 3.40
Min 2.30 1.80 2.20 1.70 1.00 2.40 2.30 2.30
Plant 1.
151
The food safety maturity at plant 1 was calculated by competency areas (n=290). The
range of the mean scores was calculated based on scores in the maturity stage doubt and maturity
stage internalized. The black dots (l) indicate mean maturity score for each maturity level. The
results are centered on maturity stage 2 react to and maturity stage 3 know of. The highest
maturity score is found in the tools and infrastructure capability area closely followed by people
systems and perceived value. The largest range between the mean scores are seen in the
capability areas process thinking and technology enabler (Table F-2).
Table F-1: Plant 1 Food Safety Model
Stage 1 Stage 2 Stage 3 Stage 4 Stage 5
Capability Area
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
(Identifier)
Perceived Value l l
People System l l
Plant 1
Process Thinking l l
Technology
Enabler l l
Tools &
Infrastructure l l
152
Plant 2.
maturity score is found in tools and infrastructure capability area followed by perceived value.
People systems, process thinking, and technology enabler tie for the lowest scores. The largest
range between the mean scores is seen in the capability areas technology enabler and tools and
infrastructure (Table F-3).
Table F-3: Plant 2 Food Safety Model
Capability Area
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
(Identifier)
Perceived Value l l
People System l l
Plant 2
Technology
Enabler l l
Tools &
Infrastructure l l
153
Plant 3.
maturity score is found in the process thinking capability area closely followed by tools and
infrastructure. Perceived value and people systems follow and the lowest score is found in the
capability area technology enabled. The largest range between the mean scores is seen in the
capability areas perceived value and process thinking (Table F-4).
Table F-4: Plant 3 Food Safety Maturity Model
Capability Area
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
(Identifier)
Perceived Value l l
People System l l
Plant 3
Technology
Enabler l l
Tools &
Infrastructure l l
154
Plant 4.
maturity score is found in the technology enabler area closely followed by tools and
infrastructure. Perceived value and people systems follow and the lowest score is associated with
the capability area process thinking. The largest range between the mean scores was seen in the
capability areas people systems and technology enabler (Table F-5).
Capability Area
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
(Identifier)
Perceived Value l l
People System l l
Plant 4
Process Thinking l
Technology
Enabler l l
Tools &
Infrastructure l l
155
Plant 5.
results are centered on maturity stage 1 doubt, maturity stage 2 react to and maturity stage 3
know of. The highest maturity score is found in the perceived value and tools and infrastructure
areas closely followed by process thinking. Technology enabler and process thinking follow with
the lowest scores. The largest range between the mean scores was seen in the capability area
technology enabler (Table F-6).
Capability Area
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
(Identifier)
Perceived Value l l
People System l l
Plant 5
Technology
Enabler l l
Tools &
Infrastructure l l
156
Plant 6.
maturity score is found in the perceived value capability area closely followed by tools and
infrastructure. Process thinking is next followed by people systems and lastly technology
enabled. The largest range between the mean scores was seen in the capability areas perceived
value and process thinking (Table F-7).
Capability Area
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
(Identifier)
Perceived Value l l
People System l l
Plant 6
Technology
Enabler l l
Tools &
Infrastructure l l
157
Plant 7.
maturity score is found in the perceived value area closely followed by technology enabler.
Tools and infrastructure and process thinking follow and the lowest score was associated with
the capability area people systems. The largest range between the mean scores was seen in the
capability areas perceived value and technology enabler (Table F-8).
Capability Area
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
(Identifier)
Perceived Value l l
People System l
Plant 7
Technology
Enabler l l
Tools &
Infrastructure l l
158
Plant 8.
maturity score is found in the perceived value area closely followed by people systems and
process thinking. Technology enabler and tools and infrastructure follow with the lowest scores.
The largest range between the mean scores was seen in the capability area perceived value
(Table F-9).
Capability Area
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
(Identifier)
Perceived Value l l
People System l l
Plant 8
Technology
Enabler l l
Tools &
Infrastructure l l
159
Appendix G: Glossary
Sector = food service, food manufacturing, retail.
Table 1C: Stages with descriptors
Stage Description
Stage 1: Doubt Who messed up?”, “Food safety – QA does that?”
Stage 2: React to “How much time will it take? I am very busy. We are good at
and reward good fighter fighting”
Stage 3: Know of “I know it is important but I can only fix one problem at a time”
Stage 4: Predict “Here we plan and execute with knowledge, data and patience”
Stage 5: Internalize “Food safety is integrated into sustaining and growing our
business”
Table 2C: Capability areas with descriptors
Capability Area Description
Perceived Value Regulatory must do vs. critical to business performance
People System Task based, lack of responsibility vs. behaviour based working
160
group accountability
Process Thinking Independent task vs. iterative process build on critical thinking
and data
Technology Enabler Turning data into information; manual and independent vs.
automatically and as part of BPM
Tools & Infrastructure Having to walk far to get to a sink vs. conveniently located
sinks
Table 3A: Technical Performance Metrics
Input Definition Calculations
(Units)
HACCP deviation Codex Alimentarius Definition Count of HACCP

deviations
“Deviation: Failure to meet a critical limit.”
Where monitoring detects loss of control of a
CCP then corrective actions should be taken.
In other words, a HACCP deviation in its
strictest sense can only originate from a CCP.
161
Input Definition Calculations
(Units)
Food Safety Enhancement Program
(FSEP) Definition
"Deviation - A failure to meet required
critical limits for a critical control point, or a
failure to meet a standard identified in a
prerequisite program or a process control.”
(FSEP Manual, July 2010 version)
A HACCP deviation cannot result
from a customer complaint, CFIA actions, or
third party auditing. A HACCP deviation can
only result from internal findings.
Sanitation Performance
Table 3C: Sanitation performance definitions
Input (Units) Definition Calculations
162
Total Number and Verification inspection is done after sanitation ((Total –
Number of clean down has taken place in order to Unacceptable)/Total) x
Unacceptable approve the area or equipment sanitized as 100 = Per-cent
Visual Pre-Op suitable for hand back to production. This Acceptable Visual Pre-
Inspections visual inspection and approval was recorded Op Inspections
on a check sheet to confirm that it had been
done. This is a measure of the acceptability
of those inspections.
Total Number and Includes only total plate count (TPC) tests ((Total –
Number of performed at plant level after sanitation and Unacceptable)/Total) x
Unacceptable Pre- before operations to verify that the equipment 100 = Per-cent
Op Micro Tests or area has been cleaned to an acceptable Acceptable Pre-Op Micro
standard. Tests
Total Number and This measure is applicable only to plants that ((Total –
Number of currently use ATP (Adenosine Triphosphate) Unacceptable)/Total) x
Unacceptable ATP swabs. It is performed at plant level after 100 = Per-cent
Tests sanitation and before operations to verify the Acceptable ATP Tests
equipment has been cleaned to an acceptable
standard.
163
Audit Performance
Table 3C: Audit definitions and calculations
Third Party Audit Audit conducted by a third-party auditor to Count of NCs
Non- the British Retail Consortium (BRC)
Conformances standard.
(NCs)
Internal Audit A systematic, independent* and documented Count of NCs
NCs process conducted by, or on behalf of, the
organization itself for management review
and other internal purposes for obtaining audit
evidence and evaluating it objectively to
determine the extent to which the audit
criteria are fulfilled. Only NCs arising from
this type of audit should be logged as internal
audit NCs.
*Note: “Independent” means someone
within their own area of accountability
164
cannot complete the audit or own work.
Training Performance
Table 5A: Training performance definition
Training events Each SISTEM module delivered to an hourly (Number of training

events/number of
employee counts as a “training event”. The SISTEM licenses*) x 100
= per-cent SISTEM
standard is one training event per hourly utilization.
employee per period, tracked as a 12-month
rolling average.
165
166

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MEASURING FOOD SAFETY CULTURE IN FOOD MANUFACTURING

Chapter 3 Food Safety Maturity Model

Theories and perspectives

is it is necessary to understand the interlinking of three theoretical perspectives: organizational

applied to specifically measure an organization’s intent to perform behaviours specifically within

includes training (Table 3-1).

Theoretical perspective Culture dimensions Capability areas

Organizational culture External adaptation Perceived value

Internal integration People systems

Social cognitive science Human nature, activity, and People systems

Human nature, activity, and Process thinking

Food science Reality and truth Technology enabled

Reality and truth Tools and infrastructure

describes if an organization is task-based with signs of misinterpreted accountabilities (stage 1)

or responsibilities or if it sets accountability in behaviour-based working groups (stage 5).

Toolbox (Wright & Leach, 2013).

The pinpointed behaviours and the behaviour-based scale

defined at two stages of maturity; doubt and internalized.

Table 3-2: Question design by variable

Variable Standard start Example pinpointed behaviour

Attitude My behaviour to … …always design my own tools e.g.

spreadsheet to gather food safety

Control next three months I will … spreadsheet to gather food safety

at work, whose opinion I spreadsheet to gather food safety

value would approve of … data

months … spreadsheet to gather food safety

Behavioural I intend to … …always design my own tools e.g.

Intent spreadsheet to gather food safety

219 employees (21.3% response rate).

The food Safety maturity model.

“Food safety is integrated into sustaining and growing our business.”

defining a measurement system.

Table 3-3: Food Safety Maturity Model

Stage name Stage 1 Stage 2 Stage 3 Stage 4 Stage 5

Doubt React to Know of Predict Internalize

safety firefighting. protects our business. indicators.

collected and reported food safety performance. understanding of food

regularly to all safety performance.

Stage name Stage 1 Stage 2 Stage 3 Stage 4 Stage 5

Doubt React to Know of Predict Internalize

understanding for why consequences. key business enabler

tasks are important. with clear defined

. responsibility for food

systems after the fact. identified and decided upon. reinforced.

Top management Consequences are mostly Consequences - positive

Stage name Stage 1 Stage 2 Stage 3 Stage 4 Stage 5

Doubt React to Know of Predict Internalize

food safety information needs correction and and managed proactively.

seldom through pre-

start. opportunities. improvements are

Stage name Stage 1 Stage 2 Stage 3 Stage 4 Stage 5

Doubt React to Know of Predict Internalize

individual to derive activities. food safety and make the

information from the data. enterprise quick to adapt.

Data driven information

solve problems and

design preventive actions.

Stage name Stage 1 Stage 2 Stage 3 Stage 4 Stage 5