Food Protection Trends - November/December 2024 - 542

GENERAL INTEREST PAPER
Supplementing Hazard Analysis and Critical
Control Point with Root Cause Analysis
Oscar Rodriguez Gonzalez
RodGonza Services, Condominio Mediterraneo #34B, Boulevard La Sultana, Antiguo Cuscatlán, El Salvador
SUMMARY
Root cause analysis (RCA) pertains to causal inference
science. Simplified methods aid in uncovering root causes
and solving issues. This review was conducted to explore core
RCA methods, identify components beneficial to hazard
analysis and critical control point (HACCP) systems, and
assess publications proposing supplementing HACCP with
failure mode and effects analysis (FMEA). RCA methods
differ in their approaches to defining factors and uncovering
causal chains. A general RCA model was used to illustrate
commonalities. An understanding of causal mechanisms aids
in identifying root causes. Root causes also can be found
at failures in detection and system performance. Ishikawa
categories of causes were used to organize information,
potentially aiding in managing prerequisite programs and
corrective actions. Criticality analysis, a key FMEA element,
enhances hazard analysis. Ishikawa categories such as work
elements can help identify causes and establish more effective
controls. Aligning contributing factors from environmental
assessment with work elements further enhances HACCP,
simplifying epidemiological data integration. Utilizing
principles of FMEA and special causes of variation can
potentially improve the management of critical control
points.
INTRODUCTION
Scientifically, cause and effect analysis is based on the
analysis of causal relationships, which serve as the foundation
for determining causal inference (30, 33, 50). These
relationships are established during the investigation of
events and causal factors (39) and the study of causal loop
systems (29). Causal thinking and the logical structures
that result from it can be refined using well-known rules,
such as those of Boolean logic utilized in fault trees (17),
the categories of legitimate reservation used in the theory
of constraints (38), or sets of causation criteria used in
epidemiology or the social sciences (20, 32).
Causal thinking can be complemented with other types
of thinking. Systems thinking facilitates the analysis of
system complexity, identification of intervention points,
542 Food Protection Trends November/December
and evaluation of systems (40). Structured thinking aids in
problem breakdown and analysis (53, 74), and statistical
thinking assists in identifying sources of variation and
enhancing the predictability of process outcomes (23).
Principles of systems thinking have been valuable for
conducting environmental assessments (EAs) because they
aid in understanding the factors influencing the system,
the set points or outputs, and the system's complexity and
stability (31, 59).
Root cause analysis (RCA) is a problem-solving technique
applied to determine the causes of a problem. In food safety
management, RCA is used to address compliance issues,
manage processes, and investigate outbreaks (21, 43, 57, 66).
RCA can be applied reactively to identify the causes of past
problems or proactively to address issues during planning
(17).
The hazard analysis and critical control points (HACCP)
system forms the basis of most food safety management
systems, serving as a framework for managing food safety
knowledge (10, 69). However, difficulties have been noted
with certain components of this system, particularly hazard
analysis (HA) (36, 54, 73). Observed deficiencies include the
accurate assessment of risk, limited food safety knowledge
among users, and errors in analysis execution (36, 73). Some
authors have proposed supplementing HACCP with failure
mode and effects analysis (FMEA) (43, 54, 71).
The objective of this literature review was to explore
the fundamentals of existing RCA methods to determine
universal principles and identify components that can
enhance the HACCP method. Published studies in which
RCA methods were applied to improve HACCP were
analyzed to identify appropriate applications of RCA tools
with HACCP.
MATERIALS AND METHODS
Most types of publications (books, theses, scientific
articles, and periodicals) were researched to identify the most
advanced methods for conducting RCA. RCA methods were
considered advanced when they offered a unique approach to
uncovering root causes.
*Author for correspondence: Phone: +503 7042.2480; Email: learn@rodriguez-gonzalez.net

https://www.foodprotection.org/files/food-protection-trends/nov-dec-24-Gonzalez.pdf

Food Protection Trends - November/December 2024

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