1
The objective of this presentation is to provide guidance in performing root 

cause analysis investigations. 

Consistent production and testing of veterinary biological product requires quality 

management procedures to ensure the uniformity and consistency of the 

processes. 

It is the intent of this presentation to explain the difference between “Correction” 

and “Corrective Action”, to define the steps used to identify the root cause of a 

problem and address or eliminate it, and to describe how to determine if 

corrective action was effective

2
Corrections can stop the bleeding but do necessarily address the reason for a 

wound. 

Corrective actions are put in place to address the reason for the bleeding and 

prevent additional wounds from the occurring from the same cause.

3
Two pages stuck together may simply mean that next time you need to pay more 

attention – it may not require the need to implement corrective action. 

However deviations may require corrective action. 

If the pages continue to stick together or misfiling continues - you should try to 

determine why it is repeating. 

If it continues something else is wrong which is causing it.

4
If the decision is made that a non-conformance is not just an isolated innocent, 

the non-conformance should undergo a thorough root cause analysis. 

When the true root cause is addressed and corrected, the problem will not come 

back. 

Root Cause Analysis is a documented approach to get to the true root cause of 

a process problem.

5
As an example, on the day after the crash of Asiana Airlines Flight 214, while the 

wreckage was still on the ground, representatives of the airline stated the 

available evidence suggested the crew was at fault.

Representatives said the pilot in control of the Boeing 777, had little experience 

flying that kind of plane. Although he had nearly 10,000 hours flying other 

planes, he only had 43 hours on the 777 aircraft. 

Despite this, the NTSB Chair Deborah Hersman said her agency was a long way 

— perhaps months — from reaching a conclusion on what caused the crash. 

While human error may be the root cause; a thorough investigation should first 

eliminate all other possibilities. 

6
The causal chain should be evaluated to the initiating root cause. The outcome 

is not likely the root cause. 

An underlying factor or root cause can be determined by multilayered “why” 

questions or some other predefined method.

In our program of regulation of veterinary biologics, the CVB expects 

manufacturers of veterinary biologics to perform a systematic approach when 

dealing with non-compliance to requirements. 

All non-compliance must undergo a root cause analysis along with a 

corrective/preventive action. 

7
Determining the root cause can be like chasing dominoes. You need to identify 

what knocked down the first domino, not just the domino that knocked down this 

domino. 

Failure to accurately determine the true root cause is like saying that equipment 

was destroyed because sprinklers did not activate during a fire. 

The sprinklers may have contributed to the damage, but was it the true root 

cause? What started the fire? 

8
Lack of actual root cause “analysis” - It is common that the immediate cause of 

final outcome is described as the root cause. 

Simply restating what happened does not address the action.

Condensed or inaccurate problem description - The conclusion of the 

investigation should be substantiated with data, credible functional analysis, and 

impact. All aspects of the non-conformance need to be addressed. Do you 

know if other areas were affected or could be affected?

Actions only correct the nonconformance and do not define corrective actions -

Often the actions described are corrections, not corrective actions. They 

address the immediate occurrence but do not address the root cause. A 

proactive evaluation may be necessary to address all aspects and finalize the 

risk assessment to determine if the actions taken will prevent a re-occurrence.

9
10
Don’t just put a bandage on the issue – symptoms can be covered or repaired 

by corrections – they are not the root cause. 

Perhaps errors are not always a result of worker carelessness. Is it possible that 

“Errors are the result of defects in the system and that people are only part of 

the process.”

Rather than simply training or retraining, should we find out why the issue 

continues to occur?

Rather than choosing not to take the time to investigate, wouldn’t it be better to 

fix the item for good so it does not come back?

11
The hardest part of the process can be determining what the problem is. 

But you need to get to root before you can take meaningful corrective action. 

The approach may be a fishbone type evaluation, “why” evaluation, causal tree, 

or other means. 

Don’t be satisfied with the first answer that comes to mind, don’t take the easy 

way out.

12
Don’t start “squatching” - If you’ve ever watched Animal Planets “Finding Bigfoot” 

you’ve seen an examples of investigations when the investigators have already 

determined the cause of the occurrence. To them any footprints found are the 

result of bigfoot. 

During one episode a researcher said “Sasquatches can disguise their voices to 

sound like other animals. so if you hear a coyote, it could be a sasquatch...”

If you’ve already decided what the root cause is before you begin, you may 

inadvertently distort the data to support your hypothesis.

Begin with an open mind. Don’t start looking for bigfoot.

13
So then how do you get to the answer?

14
Don’t stop at the first reason 

As I mentioned earlier, following the crash of Asiana Airlines Flight 214, when it 

was determined that the pilot had only 43 hours of experience on that type of 

aircraft, the NTSB Chairman said the agency was a long way from reaching a 

conclusion on what caused the crash. 

She chose to continue asking rather than stopping at the first answer.

15
As children we continue to ask why. And ask, and ask, and ask....... 

As adults we lose that quality. 

Albert Einstein once said - “I have no special talents. I am only passionately 

curious.” (Albert Einstein --- To Carl Seelig – March 11,1952.)

Don’t stop asking why at just because you hit a target

Keep asking until you’ve hit the bulls-eye. 

16
Here are examples of 5 conclusions and actions the CVB would probably not 

consider as adequate

The employee is the root cause, management cannot be held responsible for the actions of employees.

The root cause as an unclear procedure, a minor change was made to the standard operating procedure.

An employee failed to follow a procedure, the procedure was changed to require another person to verify that they did it right.

Only the QA or QC Department were involved in the investigation.

Human error was identified and more training was required.

17
“5-Why” analysis is more than just a simple question asking activity. It requires 

the right people in the room discussing all of the possible root causes of a nonconformance.

The most effective analysis begins with gathering the right people. 

A disciplined “5-why” approach will push individuals to think outside the box and 

reach a root cause where the team can take action to prevent the problem, 

instead of just treating symptoms.

Its important to discuss the issue with subject matter experts who can answer 

the “what if’s” 

It is also important to include people who do not have a vested interest in what 

the root cause may be - The manufacturers and maintenance crew of a plane 

wouldn’t mind if the root cause of a crash was pilot error. Similarly a production 

site may believe low potency is the result of a QC testing issue, while QC may 

believe it’s a production issue. All sides must be considered.

18
Using the analysis of asking why isn't new .... Ben Franklin published one in 

Poor Richard’s almanac 

Each domino knocked down another domino – until the kingdom was lost

Why ? - all for the want of a nail -

Sometimes you need to ask why more than 5 times, but you get the idea.

19
Variations in processes must be addressed by competent personnel who are 

knowledgeable about the product’s structure, function, performance, life 

expectation and the manufacturing process. 

Deviations from accepted scientific approaches must be justified in a manner 

considered generally acceptable by experts in that field. 

The investigation and risk assessment must be documented and detailed so that 

an external source can adequately evaluate the appropriateness and conclusion 

of the investigation.

If its not documented, it didn’t happen...

20
Deviations from accepted scientific approaches must be justified in a manner 

considered generally acceptable by experts in that field.

Proper documentation must include a clear statement of the reason for the 

investigation. 

Do you know what happened?

Have you determined why?

How did you come up with the answer?

Has it happened before?

Has it happened somewhere else?

Is it possible it will it happen again?

What did you do to prevent it?

How do you know what you did will work? Can you prove it?

21
22
The flowchart shown outlines the CVB’s expectations regarding

the actions taken and the assessment of an incident when

manufacturing is not performed in accordance with the Outline of

Production or the regulations

When a non-conformance to the Outline of Production or regulations is discovered, the firm should determine the status of the serial or serials effected. 

If submission of the APHIS Form 2008 and/or samples to CVB has occurred, the firm must follow VS Memorandum 800.57 regarding notification of the event to CVB. 

Serials which have been released by CVB are subject to Stop Distribution and Sale until an investigation or risk assessment has performed. If the firm chooses not to Voluntarily Stop Distribution and Sale and the CVB determines and adequate assessment has not been performed, the CVB may Mandate Stop Distribution 

and Sale. 

Remember, since the purity, safety, potency, and efficacy of the product are based on the procedures approved in the Outline of Production , contrary to the judicial system where individuals are considered innocent until proven guilty, serials produced outside of the approved Outline of Production are considered to be 

worthless until proven otherwise. 

Once the status of serial has been resolved, and the immediate fire of product effect on the public has been evaluated, the firm can perform a thorough, detailed investigation to evaluate continuation of production, and disposition of product produced. 

23
It is CVB’s expectation that the Licensee or Permittee should have a documented systematic approach

to dealing with deviations to the Outline of Production, Special Outline or the

regulations.

Any deviation, regardless of presumptive minor risk, must undergo the same detailed

and documented product marketing risk evaluation.  

Deviations discovered following release of products are subject to Stop Distribution and

Sale of Product unless/until a risk evaluation has been performed.

All incidents where manufacturing was not performed in accordance with the Outline

of Production or regulations must undergo a root cause analysis along with a

corrective/preventive action.  

The investigation and final quality risk assessment must be documented and detailed so

that appropriateness of the conclusion of the investigation can be adequately

evaluated.

24
25