Root Cause Analysis: Step-by-Step
Food safety breaches have been on the rise in the last few years, highlighting major breakdowns in food safety protocols likely brought about by the pandemic conditions. To prevent them from happening in the future, food and beverage manufacturers must develop an understanding of what’s behind these breaches.
Root cause analysis (RCA) procedures are an essential framework for identifying the underlying issues behind food safety breaches, enabling stakeholders to implement effective corrective actions. RCA reveals weak points in your food safety program so you can make changes that eliminate food safety issues at the source.
What is root cause analysis?
A root cause analysis is a systematic approach to identifying the underlying issues that cause or allow food safety breaches to occur in an operation.
It provides an investigatory framework that enables stakeholders to look beyond the immediate cause of an incident and understand deeper issues ingrained in processes, systems, or management practices. When food and beverage manufacturers use the root cause analysis framework effectively, they not only solve immediate problems, but also prevent recurrence by addressing the larger issues. This prevents future food safety recalls and their resulting costs, maintains brand reputation and consumer trust, and lays the foundation for a food safety culture of continuous improvement.
How to Conduct a Root Cause Analysis
Regardless of whether you’re investigating the cause of a recall or an issue that doesn’t even involve at-risk products, the root cause analysis always follows the same structure. Here are the steps to follow:
1. Choose the right RCA tool
Root cause analysis is an overarching framework for identifying issues, fixing them, and preventing them from happening again. However, depending on the complexity of the problem stakeholders are trying to solve, it may require sub-frameworks to help organize the investigation, also known as root cause analysis tools.
Stakeholders should study popular RCA tools like the Fishbone Diagram, 5 Whys, Pareto charts, and Failure Mode and Effects Analysis (FMEA) to find the framework most relevant to their problem.
2. Assemble the root cause analysis team
With RCA scope and objectives in mind, stakeholders should assemble an investigative team with the expertise needed to achieve goals. Core team members for a major investigation typically include an RCA leader, liaison, and technical experts, to name a few. As turnover in the workplace continues to increase, it can be difficult to form effective RCA investigation teams, making this step extra important to consider deeply before moving on.
3. Gather all facts relevant to the problem
The investigative team should gather all critical data and information related to the food safety breach, including:
- When and where the problem occurred
- The scope of the problem
- The impact of the problem on both the operation and the public, if applicable
- Contributing factors related to processes, equipment, and more
It’s important to collect data from every source available, including relevant documentation, video footage, and employee interviews. Conducting this step helps ensure that the RCA is based on accurate and comprehensive information so stakeholders can accurately identify the root cause.
4. Assess facts with an open mind
The investigative team should avoid assuming they know the cause of a problem before the analysis starts. Stakeholders should remain open-minded as they go into analysis. The RCA is more effective when team members are respectful and trust in each other's insight and expertise.
5. Work the problem carefully with the chosen RCA tool
Follow the steps of your chosen tool to conduct the root cause analysis investigation. For example, if using the Fishbone Diagram tool, brainstorm the different categories of causes to the problem and identify all the potential causes within each category. The investigative team should work on the problem until there are no further avenues to explore, ensuring they consider all possible root causes.
6. Gather RCA team consensus
Next, investigators must come to an agreement about the root cause and propose corrective actions to resolve it. Each team member brings unique insights and perspectives based on their knowledge and experience, increasing the chance of accurately identifying the root cause. Engaging all team members effectively also increases buy-in for implementing corrective actions.
7. Document the process
Throughout the root cause analysis process, stakeholders should document the steps and activities involved. This is crucial for addressing similar problems in the future, as well as more quickly finding workable solutions if the initial analysis was incorrect.
Leveling Up Root Cause Analysis With Expert Support
Root cause analysis is the primary framework for identifying and rectifying the causes of food safety breaches. Food and beverage manufacturers need to regularly train employees to learn the expertise required for RCA or leverage third-party experts to help with investigations. Learn more about AIB International’s root cause analysis training services today.
