Relationship between PDP maturity and ISO certification in the food industry

Franzosi, Lígia de Oliveira; Estorilio, Carla Cristina Amodio

doi:10.1590/0104-530X3929-19

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Original Article • Gest. Prod. 26 (4) • 2019 • https://doi.org/10.1590/0104-530X3929-19 copy

Relationship between PDP maturity and ISO certification in the food industry

Relação entre a maturidade das indústrias de alimentos e suas certificações da qualidade

Authorship SCIMAGO INSTITUTIONS RANKINGS

Abstract

Food companies have been seeking certification of their Product Development Processes (PDP) as a symbol of quality, however, few are prepared to obtain it. One of the hypotheses is that some companies are not mature enough to obtain this certification and maintain it in the long term. To guarantee the product quality, it is important that all the activities responsible for the PDP are aligned, integrated, measured and controlled, thus characterizing the PDP maturity. Therefore, the aim of this work is to analyze the PDP maturity level of the food industry to identify the compatibility with the situation of their Quality Certifications. For this, an adapted method of the Capability Maturity Model Integration (CMMI) is used to measure the company’s maturity, seeking also to identify the status of their certifications. Information was collected from five companies in the food industry, which presented consistency between their certifications and maturity levels; four are level 1 and have no certification and one is level 2 and is certified by the International Organization for Standardization (ISO)

Keywords:
Quality certification; Food industry; CMMI

Maturity Level	Process area (PAs)	Definition
2	Project Planning	It establishes and maintains the plans that define the project activities.
	Project Control and Monitoring	It provides an understanding of the process used in a project, in such a way that corrective actions can be taken when its performance deviates from the established plan.
	Suppliers Contract Management	It manages the product purchasing from suppliers, including a formal contract.
	Requirements Management	It manages the project requirements and identifies the inconsistencies between the initial requirements and those implemented throughout the process.
	Configuration Management	It establishes and maintains the integrity of the results of the work performed using identification, control, status and auditing of the configuration throughout the life cycle of the project/product.
	Quality Assurance of Product and Process	It guarantees the delivery of high-quality products and services by assessing the quality of the development process.
	Measurement and Analysis	It develops and provides measurements to support the management of the required information.
3	Focus on Organizational Process	It plans and implements improvements in the organizational process through the understanding of the positive and negative aspects of the company's processes.
	Definition of Organizational Process	It establishes and maintains a set of organizational process items that can be used across the organization. These items include the process description, the process tasks and activities, the description of life cycle models, the process execution guide, as well as data, and process documentation.
	Organizational Training	It operates with the employees’ development of the skills and knowledge in such a way that they can carry out their work effectively and efficiently.
	Integrated Project Management	It establishes and manages the design and commitment of relevant stakeholders (individuals or groups involved with the project — suppliers, customers, users and others), according to a defined and integrated process based on the company's standard processes.
	Risks Management	It identifies the potential problems before they occur, through the planning and execution of specific activities in risk situations, in order to mitigate the adverse impacts that may influence the achievement of the objectives.
	Development of Requirements	It produces and analyzes the customer’s requirements, as well as the requirements of the product and the product components, in such a way that they meet the needs of the people involved in the project.
	Technical solution	It designs, develops and implements the solutions to meet the requirements, in order to cover products, components and by-products of the process life cycle, either individually or in combination.
	Integration of Product	It brings together all the product components and ensures that, when integrated, the product works well.
	Verification	It ensures that the work products meet the specified requirements
	Validation	It demonstrates that the product or its components meet their intended use when kept in a specific environment.
	Resolution and Analysis of Decision	It analyzes decisions using a formal process that assesses the possible alternatives and establishes criteria.
4	Performance of Organizational Process	It establishes and maintains a quantitative understanding of the ability of standard processes in supporting the quality and performance objectives in order to collect the data necessary for the quantitative management of the company's projects.
4	Quantitative Management of Project	It manages the process defined for the project in a quantitative way, aiming at achieving the quality and performance objectives established for the project.
5	Organizational Development and Innovation	It allows the selection and orderly distribution of improvements (either incremental or innovative) to increase the company's ability to achieve its quality and process performance objectives.
5	Resolution and Analysis of the Causes	It analyzes the causes of defects and other problems and takes action in order to avoid them in the future.

Issues used to verify compliance with goals and practices in the evaluated process
level 2	1) Are the projects of new products planned, with the participation of stakeholders (including suppliers), and are their developments monitored and controlled, based on their planning? 2) Are the corrective actions established when product development (PD) of the project is not taking place as planned? 3) Are the requests for the project collected, updated and accessible, providing traceability from the customer to the final product? 4) Is the documentation required for the PD maintained, identified, controlled and audited? 5) Do the PD details have their performance assessed according to the initial planning, transferring the information to the project team so that this group can accompany it? 6) Do all the company's projects have their requirements, products and services managed and the processes planned, executed, measured and controlled? Is the situation of products and services visible to management at specific points of control? 7) Are the PDP activities, situation and results reviewed together with the top management?
level 3	8) Is the information related to the PDP planning and execution (metrics and expected results) collected in order to understand the strengths and weaknesses of the used processes, so that the continuous improvements are planned and implemented? 9) Are standard organizational processes established and kept, based on the company's needs and objectives, including the process descriptions and detailing, guidance documents and other documentation? 10) Are the company’s training needs identified, as well as the common tactical needs between projects and support groups, achieving or developing the skills required to execute the company's standard processes? 11) Is there a training program able to ensure that the development staff and managers achieve the knowledge and skills necessary to fulfill the roles assigned to them? 12) Do all those involved in new product development (DNP) have a shared vision of the project, becoming involved in it, identifying, negotiating and monitoring the existing interdependencies, in order to solve the problems that may arise? 13) Are the integration and collaboration among all those involved in the DNP encouraged, recognized and/or rewarded, promoting the individuals and team excellence? 14) Are the development risks associated with cost, as well as the project resources, schedule and technical aspects identified, assessed, documented and possible responses to these situations identified? 15) Are customer’s needs identified? If so, are they translated into design requirements, including those metrics that monitor the expected performance for each requirement? 16) Are such requirements converted into product concepts, and subsequently into the layout and project of product details, using methodologies and assessment methods that consider the product type, performance requirements, costs, and deadlines for development? 17) Is there a procedure to ensure that the developed product of the company meets the delimited requirements, from the initial PDP to the final product testing? 18) Is the customer involved in this verification process, validating it? 19) Are the processes well characterized, understood, and described according to standards, procedures, tools and methods? Are the standard development and maintenance processes, adopted throughout the organization documented, including management standards? Are these processes integrated into a coherent whole?
level 4	20) Are the company’s business objectives broken down into quantitative objectives, in order to plan the quality and performance of the processes, resulting in indicators to assess the process performance? 21) Are such quantitative objectives based on the needs of customers, end users, process implementers and the organization itself? 22) Considering these quantitative objectives, are quantitative and statistical techniques of process and product performance management applied? 23) Can significant variations in the process performance be distinguished from random variations (noise) and identify specific product lines? Is the root cause of these variations identified and, where appropriate, corrected to prevent future occurrences? 24) Are the risks involved in the process of introducing a new product, technology or area of operation/application known and managed
level 5	25) Are the improvement proposals, aimed at getting the organization to achieve the quality and performance objectives, selected based on costs and benefits, as well as the availability for investment, involving a decision-making group, aligned with the company’s values and objectives? 26) Do the company seek to understand the common causes of variation inherent in processes and to achieve ways to remove them from these processes, using this knowledge and lessons learned to continuously improve the company's processes, and disseminating them to other projects as well? 27) Is the entire organization concentrated on the continuous improvement of the process performance, by either incremental (continuous) improvement or technological innovations (including fault prevention)? Are the measurable objectives of process improvement established and continually revised to reflect changes in the business objectives and used as criteria to improve the management process?

GROUPS OF ISSUES THAT DEFINE THE MATURITY LEVELS AND ITS ANSWERS	Medium
It seeks to identify if the PDP is in Level 2 of the CMMI (issues 1 to 7) Answer: No, despite having obtained a median 4 in the group, the respondent indicated that the projects and processes are not measured and controlled, and the results do not have a Management review process (answer level 3, issue 7).	4
It seeks to identify if the PDP is in Level 3 of the CMMI (issues 8 to 19) Answer: No, the issues 8 and 12 demonstrate a low level of maturity (answer level 1). These items are related to the planning and execution of processes for improvement; this data is collected, but not documented. Integration and collaboration among those involved in new product development do not officially have an integration-oriented metrics and the medium is less than 4. Another issue that demonstrated low level is related to customers, whose are not involved in the verification process; only give their feedback after the occurrence (answer level 2, issue 17).	3,5
It seeks to identify if the PDP is in Level 4 of the CMMI (issues 20 to 24) Answer: No. Although the median is equal to 4, process and product performance management techniques, that are quantitative and statistical, are not applied. According to the respondent, the board does an only qualitative analysis. Process variations are not previously identified and are not documented. They solve problems only at the moment they occur, without preventing future recurrences (answer level 2, issue 23).	4
It seeks to identify if the PDP is in Level 5 of the CMMI (issues 25 to 27) Answer: No. Respondent stated that proposals (innovative and incremental improvements) for the organization to achieve process quality and performance objectives are selected on the basis of benefits and costs, not including documentation or controls (answer level 1, issue 25). Moreover, the enterprise presented medium less than 4 in the answers.	2

QUESTIONS RELATED TO CERTIFICATION
QUESTIONS	ANSWERS
Q1: Has the Quality certification?	Among 5 unities in Parana, 2 are certified. The company interviewed do not have certification.
Q2: When was certified and by which company?	Not certified
Q3: Intend to get a Certification? If yes, until when?	The company seeks to certify in short time and already is preparing for it.
Q4: Does enterprise export products? If yes, how much and to which countries?	This unity does not export products due to limitations of transport, warehousing and the variety of products.

GROUPS OF ISSUES THAT DEFINE THE MATURITY LEVELS AND ITS ANSWERS	Median
It seeks to identify if the PDP is in Level 2 of the CMMI (issue 1 to 7) Answer: No, despite the company possess the median equal to 4, demonstrated that the design requirements do not possess traceability and are not maintained, identified, and controlled. Besides, documents required to develop the design are not audited (answer level 3, issue 4).	4
It seeks to identify if the PDP is in Level 3 of the CMMI (issue 8 to 19) Answer: No, despite the group of questions presented the median bigger than 4, the respondent indicated that there are difficulties to identify the clients' necessities. So that, they also do not succeed to convert these necessities in the product requirements, not ensuring that these requirements can be attended (answer level 2, issues 15 and 16; answer level 3, issues 17 and 18).	5
It seeks to identify if the PDP is in Level 4 of the CMMI (issue 20 to 24) Answer: Besides, the group of questions did not present the median bigger than 4, the respondent indicated that the quantitative objectives of the quality are not based on the clients' necessities. Beyond that, the company does not apply management techniques for process performance, that means, the risks involved in the new product introduction, technology or the sector of actuation are not known, nor managed. (answer level 3, issues 21, 22 and 24).	3
It seeks to identify if the PDP is in Level 5 of the CMMI (issue 25 to 27) Answer: No. Besides the median be lower than 4, the company does not search to understand the common causes of variation, inherent to manufacturing processes, and to find the ways to improve or correct (answer level 3, issue 26).	3

QUESTIONS RELATED TO CERTIFICATION
QUESTIONS	ANSWER
Q1: Has the Quality certification?	No
Q2: When was certified and by which company?	Not certified
Q3: Intend to get a Certification? If yes, until when?	Not for a while
Q4: Does enterprise export products? If yes, how much and to which countries?	Some products as flour and refreshment. Export to Africa and Japan.

GROUPS OF ISSUES THAT DEFINE THE MATURITY LEVELS AND ITS ANSWERS	Median
It seeks to identify if the PDP is in Level 2 of the CMMI (issue 1 to 7) Answer: Yes, because the respondent indicated the existence of such characteristics in the PDP of the organization.	4
It seeks to identify if the PDP is in Level 3 of the CMMI (issue 8 to 19) Answer: No, despite the group of questions presented the median bigger than 4, the respondent indicated that are not collected information related to the PDP planning and execution (answer level 3, issue 8). Also, the people involved in the new products development does not have the shared vision of the design (answer level 2, issue 12) and there is no integration and collaboration among the people involved (answer level 2, issue 13).	4
It seeks to identify if the PDP is in Level 4 of the CMMI (issue 20 to 24) Answer: Besides the group of questions does not present the median bigger than 4, the respondent indicated that the quantitative objectives of the quality are not based on the clients' necessities. Beyond that, the company does not apply management techniques for process performance, that means, the risks involved in the new product introduction, technology or the actuation sector are not known, nor managed (answer level 3, issues 21, 22 and 24).	4
It seeks to identify if the PDP is in Level 5 of the CMMI (issue 25 to 27) Answer: No. Besides the median be lower than 4, the company does not search to understand the common causes of variation, inherent to manufacturing processes, and do not identify the ways to remove (level 3, issue 26).	4

QUESTIONS RELATED TO CERTIFICATION
QUESTIONS	ANSWERS
Q1: Has the Quality certification?	Yes. ISO 9001:2000/ APPCC (Analysis of Dangers and Critical Points of Control) / GMPB 2 (good manufacturing practices/ Bran (APPCC international for animal products - export)
Q2: When was certified and by which company?	2003. BRTUV
Q3: Intend to get a Certification? If yes, until when?	The enterprise has certification
Q4: Does enterprise export products? If yes, how much and to which countries?	Yes. 90% of products: soybean oil, lecithin and soybean bran. Europe.

GROUPS OF ISSUES THAT DEFINE THE MATURITY LEVELS AND ITS ANSWERS	Median
It seeks to identify if the PDP is in Level 2 of the CMMI (issue 1 to 7) Answer: No. Despite the median presented the value bigger than 4, the respondent indicated that the designs of new products are planned with the involvement of interested part but are not measured and controlled (answer level 3, issue 1). Products and services are not managed, and the processes executed are not measured or controlled (answer level 3, issue 6). However, in further questions of this group (2, 3, 4, 5 and 7) the company presents a status of continuous improvement (level 5), with characteristics such as: establishing corrective actions when the activities do not follow the plan; designs information necessary to the development of product are maintained, identified, and controlled and all company activities are accompanied by the top manager.	5
It seeks to identify if the PDP is in Level 3 of the CMMI (issue 8 to 19) Answer: No. Despite the group of questions presented the median equal to 4, the respondent indicated that there are difficulties to guarantee that persons involved in the design have knowledge and abilities to accomplish their roles. The company also has no stimulus to the new products development team and there is no integration among collaborators (answer level 1, issues 11 and 13). The company does not utilize methodologies or methods to convert the client's needs in the design technical requirements (answer level 3, issue 16).	4
It seeks to identify if the PDP is in Level 4 of the CMMI (issue 20 to 24) Answer: No. The group of questions presented the median bigger than 4, but the company does not have management techniques for processes and products performance (answer level 3, issue 22).	5
It seeks to identify if the PDP is in Level 5 of the CMMI (issue 25 to 27) Answer: No. Although with the median bigger than 4, the company is not entirely focused on the continuous improvement of process performance (answer level 3, issue 27).	5

QUESTIONS RELATED TO CERTIFICATION
QUESTIONS	ANSWERS
Q1: Has the Quality certification?	No
Q2: When was certified and by which company?	Not certified
Q3: Intend to get a Certification? If yes, until when?	Yes, however without time limit
Q4: Does enterprise export products? If yes, how much and to which countries?	Yes, to Paraguai – covering and granulated

GROUPS OF ISSUES THAT DEFINE THE MATURITY LEVELS AND ITS ANSWERS	Median
It seeks to identify if the PDP is in Level 2 of the CMMI (issue 1 to 7) Answer: No, the median be bigger than 4, the requirements for design have no traceability and the documents required to develop products are not controlled (answer level 2, issue 3; and level 3, issue 4).	5
It seeks to identify if the PDP is in Level 3 of the CMMI (issue 8 to 19) Answer: No, besides the group presented the median lower than 4, the standards processes are not established nor maintained. The integration and collaboration among persons involved in the new products development process are not stimulated. Customer needs are not identified, so there is also no translation into technical design requirements (answer level 1, issues 9, 13, 15, 16 and 18).	3
It seeks to identify if the PDP is in Level 4 of the CMMI (issue 20 to 24) Answer: No. Besides, the group did not present median bigger than 4, the company does not have guidelines to plan the processes quality and performance, that means, are not applied management techniques of process performance. The guidelines of quantitative quality are also not based on the clients' requirements (answer level 1, issues 20, 21 and 22).	1
It seeks to identify if the PDP is in Level 5 of the CMMI (issue 25 to 27) Answer: No. In spite of the median be 4 and the questions obtained are bigger or equal to 4, does not correspond to the level 5, because do not attend some previous questions.	4

QUESTION RELATED TO CERTIFICATION
QUESTIONS	ANSWERS
Q1: Has the Quality certification?	No
Q2: When was certified and by which company?	Not certified
Q3: Intend to get a Certification? If yes, until when?	Yes, within 5 years
Q4: Does enterprise export products? If yes, how much and to which countries?	No

Companies of the food Sector	Level of Maturity	Actual Certification	Perspective of Certification	Export of Products / Countries
A	1	NO	YES	NO
B	1	NO	NO	YES / Africa and Japan
C	2	YES (ISO 9001:2000/ APPCC / GMPB 2) since 2003	Has certification	YES / Europe
D	1	NO	YES	YES / Paraguay
E	1	NO	YES	NO

Company and level	Main failures in the PDP	Main Strong points in the PDP
Company A Level 1	• The company does not present metrics, measurements or assessment of planning and execution performance of the new products development process; • There is a lack of shared vision of the involved in the projects for an accompaniment of the interdependences existing in the process.	• To plan for product integrated development; • To develop required documents, such as information of projects and specifications; • To execute corrective actions when occurring process variations; • To apply methodologies to convert the clients' requirements into concepts of products.
Company B Level 1	• There is a gap in the informational design phase, related to the identification of the clients' requirements; • There is a lack of methodologies to convert the clients' requirements into product specifications.	• To have a PDP well delimited, controlled and with focus on the continuous improvement; • To utilize the Stage-Gate structure (Systematic process for the assessment at the end of each phase of the PDP); • To utilize their own design methodology, although fails on some specific points.
Company C Level 2	• There is a lack of the team integration related to the PDP; • Problems with integration activities.	• To have characterized processes, comprised, maintained, and controlled. • A well-defined and controlled PDP, with a focus on continuous improvement; • PDP processes feedback with stakeholders; • Corrective actions performed when the process variations are identified.
Company D Level 1	• There is a lack of integration among the PDP members; • There is a training lack for required abilities for the project; • There is an identification lack of roles for the PDP members.	• To work close to clients, identifying its real necessities.
Company E Level 1	• There is a lack of integration among the PDP members; • There is a lack of methodologies to convert the clients' requirements into product specifications.	• To plan for new products, with measurement and performance assessment; • To take corrective actions when required and count with the Top Management participation.

Universidade Federal de São Carlos Departamento de Engenharia de Produção , Caixa Postal 676 , 13.565-905 São Carlos SP Brazil, Tel.: +55 16 3351 8471 - São Carlos - SP - Brazil
E-mail: gp@dep.ufscar.br

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