The Objective:

To ensure all relevant staff understand when and how to conduct Root Cause Analysis (RCA) for internal non-conformances, in line with retailer expectations and BRCGS Global Standard for Food Safety Issue 9.

What is a Non-Conformance?
A non-conformance is any deviation from expected standards or procedures.

Examples include:

• Production errors
• Hygiene or housekeeping failures
• Deviations identified during internal audits
• Customer complaints
• Out-of-specification product

Why Root Cause Analysis?

“Effective Root Cause Analysis helps organisations understand why problems occur, prevent recurrence and drive continuous improvement. It is also an important expectation within customer, regulatory and certification requirements.”

It’s not just about fixing the symptom — it’s about identifying and addressing the underlying problem.

When Is RCA Required?

RCA should be conducted when a non-conformance is:

• Repeated
• High-risk
• Linked to product safety, legality or quality
• Identified during audits or through complaints

Note: Minor, one-off issues may not require a full RCA, but they must still be appropriately addressed.

How to Conduct Root Cause Analysis

1. The 5 Whys

Keep asking “Why?” until the underlying cause is identified.

Example:

Non-conformance: Wrong label applied
Why? The operator used the wrong roll.
Why? The rolls weren’t clearly labelled.
Why? There was no visual checking process in place.
Why? The SOP did not cover label-roll verification.
Why? Training had not been updated to reflect the revised procedure.

Continue until the root cause is identified. Then ensure appropriate correction and corrective action are implemented and communicated.

2. Fishbone Diagram (Ishikawa)

Explore potential causes systematically using categories such as:

• People
• Procedures
• Equipment
• Materials
• Environment
• Management

What Should Be Recorded?

Document:

• Non-conformance description
• Immediate correction or containment
• Root cause
• Corrective action
• Preventive action, where appropriate
• Responsibility and deadline
• Verification of effectiveness

Key Takeaway

Effective Root Cause Analysis helps prevent recurrence and supports continuous improvement.