A microbiology result rarely tells the entire story.

Whether the issue involves:

Listeria monocytogenes

Salmonella spp.

Escherichia coli (E. coli)

Bacillus cereus

Clostridium perfringens

Elevated Aerobic Plate Count (APC)

Yeast & Mold

Shelf-life failures

The most important question is often:

Why did this happen?

Root cause investigations help food manufacturers move beyond the test result itself and identify the underlying factors contributing to contamination, spoilage, or quality issues.

The objective is not assigning blame.

The objective is preventing recurrence.

PBR Laboratories helps food manufacturers understand testing results and support decision-making through microbiological testing, environmental monitoring, and food quality investigations throughout Alberta, Western Canada, and Canada.

WHAT IS A ROOT CAUSE INVESTIGATION?

A root cause investigation is a structured process used to identify the underlying reason an issue occurred.

Rather than focusing only on the immediate result, the investigation evaluates:

People

Processes

Equipment

Ingredients

Environment

Storage Conditions

Manufacturing Controls

The goal is identifying the true source of the issue rather than treating symptoms.

WHEN SHOULD A ROOT CAUSE INVESTIGATION BE PERFORMED?

Root cause investigations are commonly initiated after:

Positive Pathogen Results

Examples: Listeria monocytogenes, Salmonella spp., Escherichia coli (E. coli) O157:H7

Elevated Indicator Organism Results

Examples: Aerobic Plate Count (APC), Total Coliforms, Enterobacteriaceae, Escherichia coli (E. coli)

Environmental Monitoring Positives

Examples: Listeria spp., Salmonella spp., Recurring environmental findings

Shelf-Life Failures

Examples: Mold growth, elevated yeast counts, product deterioration, packaging failures

Customer Complaints

Examples: Off odors, off flavors, visible spoilage, product defects

THE BIGGEST MISTAKE IN FOOD INVESTIGATIONS

Many investigations stop at:

"What Was Found?"

Instead of asking:

"Why Was It Found?"

Finding contamination is only the beginning.

Preventing recurrence requires understanding the cause.

COMMON ROOT CAUSE CATEGORIES

PEOPLE

Examples:
• Inconsistent procedures
• Training gaps
• Employee traffic patterns
• Hygiene practices

EQUIPMENT

Examples:
• Difficult-to-clean surfaces
• Equipment damage
• Harborage sites
• Maintenance issues

PROCESS

Examples:
• Cooling deviations
• Time and temperature issues
• Production scheduling
• Process variability

INGREDIENTS

Examples:
• Supplier issues
• Incoming contamination
• Ingredient changes
• Storage concerns

ENVIRONMENT

Examples:
• Condensation
• Drain contamination
• Airflow issues
• Traffic patterns

PACKAGING

Examples:
• Seal failures
• Moisture ingress
• Oxygen ingress
• Packaging damage

EXAMPLE: POSITIVE LISTERIA RESULT

A facility receives a positive environmental result.

A poor investigation concludes:

"Listeria Was Found In The Drain."

A better investigation asks:

Why was it found?

Has it been found there before?

Is moisture accumulating?

Is sanitation reaching the area?

Are nearby surfaces affected?

The second approach provides actionable information.

EXAMPLE: HIGH AEROBIC PLATE COUNT (APC)

A product receives elevated APC results.

A poor investigation concludes:

"The APC Was High."

A better investigation asks:

Were ingredient sources changed?

Were temperatures controlled?

Is the trend increasing?

Did shelf-life change?

Were sanitation procedures modified?

The objective is identifying contributing factors.

EXAMPLE: SHELF-LIFE FAILURE

A product develops mold before its intended shelf life.

Questions may include:

Did water activity change?

Was packaging effective?

Were storage conditions controlled?

Did ingredients change?

Were environmental counts elevated?

Multiple contributing factors are often involved.

USING TEST DATA DURING INVESTIGATIONS

Laboratory testing often provides critical information during investigations. Common testing includes:

Aerobic Plate Count (APC)

Evaluate overall microbial populations.

Yeast & Mold

Evaluate spoilage trends.

Total Coliforms

Assess hygiene conditions.

Enterobacteriaceae

Assess sanitation and process controls.

Food Pathogen Testing

Evaluate contamination risks.

Environmental Monitoring

Identify contamination sources.

Water Activity (aw)

Assess microbial growth potential.

Moisture Content

Evaluate product consistency and stability.

HOW TO CONDUCT A ROOT CAUSE INVESTIGATION

1
Step 1 – Define The Problem

Clearly identify: What happened? Where? When? How often?

2
Step 2 – Gather Data

Review: Laboratory results, production records, environmental monitoring results, sanitation records, maintenance records.

3
Step 3 – Identify Contributing Factors

Evaluate: People, processes, equipment, ingredients, environment.

4
Step 4 – Verify Findings

Ensure conclusions are supported by evidence. Avoid assumptions.

5
Step 5 – Implement Corrective Actions

Address the underlying cause, not just the symptom.

6
Step 6 – Verify Effectiveness

Use follow-up testing and monitoring to confirm improvement.

COMMON INVESTIGATION MISTAKES

Jumping To Conclusions

Assumptions often lead to ineffective corrective actions.

Blaming Individuals Immediately

Most food safety issues involve multiple contributing factors.

Ignoring Historical Trends

Trend analysis often reveals recurring problems.

Failing To Expand Sampling

Additional testing may be necessary.

Closing Investigations Too Quickly

Long-term verification is often required.

WHAT DECISIONS DO ROOT CAUSE INVESTIGATIONS SUPPORT?

Corrective Actions
Preventive Actions
Food Safety Program Improvements
Environmental Monitoring Enhancements
Process Validation
Shelf-Life Improvements
Supplier Evaluations

WHY ROOT CAUSE INVESTIGATIONS MATTER

The purpose of testing is not simply identifying problems. The purpose is understanding:

Why the issue occurred

What contributed to it

How to prevent recurrence

Strong root cause investigations transform laboratory results into actionable improvements.

This aligns directly with PBR's approach:

The lab that helps clients understand results and take action—not just receive data.

FAQ

A structured process used to identify the underlying cause of a food safety, quality, or process issue.

Following pathogen detections, environmental monitoring positives, shelf-life failures, elevated indicator organism results, or recurring quality concerns.

Laboratory results, production records, environmental monitoring data, sanitation records, maintenance records, and process information.

No. Additional investigation is often required.

Recurring issues often reveal underlying causes that individual results do not.

Testing provides objective data that helps identify contamination sources, process issues, and product stability concerns.

Need Help Understanding Food Testing Results?

PBR Laboratories provides food microbiology testing, food pathogen testing, environmental monitoring, shelf-life studies, food quality testing, and contamination investigation support throughout Alberta, Western Canada, and Canada.

Contact PBR to discuss microbiological results, contamination investigations, environmental monitoring programs, shelf-life challenges, and food safety objectives.

Contact PBR Laboratories

Choose PBR – Because Precision Matters, Defining Excellence in Laboratory Services Since 1984.