Hi Sjoynesfoodsafety,
For me the need for root cause would depend on the NC, for example critical and major NC’s normally require full investigation, root cause analysis, appropriate corrective action and possibly preventive action. Minor NCs may only require correction.
I do use the 5 whys technique but I wouldn’t get hung up on getting to 5 as my view is if you feel like you have resolved a NC and taken the corrective action then that is fine. If for some reason the corrective actions taken haven't completely resolved the issue, then this should be picked up on future internal audits (these should include checking previous NC's) and management/KPI review.
Some guidance from SQF in addition to the SQF code requirements:
SQF Corrective & Preventative Action Edition 9 Guidance Document
There are typically three types of actions that should be considered in your problem-solving process:
1. Corrections are considered short term fixes, i.e., a quick action taken to remediate a specific problem or adjustments made to regain immediate control.
2. Corrective actions are long term fixes designed to eliminate the root cause of the problem and to minimize the risk that the situation will occur again.
3. Preventative actions are designed to prevent the same deviation or event from occurring on similar product(s) or process(es).
SQF Root Cause Analysis Edition 9 Guidance Document
When non-compliance with critical food safety limits or a deviation from food safety requirements happen, there may be a tendency to assume the cause. Root cause analysis seeks to move past assumptions to uncover the true cause. This is often accomplished using an investigative tool. Uncovering the root cause allows the site to identify where the process failed so that a corrective action and potentially a preventative action to be implemented. This ultimately improves the sites’ management of food safety and quality.
The process of conducting a root cause analysis typically involves six steps, a pre-step and post process follow up. The steps are:
Pre-step – identify the investigation team.
1. Describe the problem, non-conformance, or deviation event in detail.
2. Gather data associated with the problem, non-conformance, or deviation event.
3. Determine the causes and identify the root cause. In this step an analysis tool such as a fishbone diagram, flowchart, 5 Whys, TRIZ, Is/Is Not can be used.
4. Identify corrections, corrective actions and explore preventative actions.
5. Define and implement the identified solution.
6. Verify the effectiveness of the solution.
Post process – Collect and maintain records associated with the development and use of the process, including reasons for the investigative tool used, any corrections made, corrective actions implemented, and the verification records.
Kind regards,
Tony
