Our Root Cause Analysis
Framework & Process

Root cause analysis is the process of identifying the deepest drivers of your organisational problems and developing solutions to deal with the causes at the root level to prevent them from recurring. It fosters a performance and mature risk culture by:

  • Identifying and addressing the underlying causes of problems rather than just the symptoms.

  • Encouraging a learning and improvement mindset, rather than a blame culture.

  • Promoting a proactive and preventive approach to issues rather than a reactive one.

  • Providing assurance to stakeholders on how issues are being managed and mitigated for the long term.

Our Cause-X RCA Framework

A great root cause analysis starts at the core, considering operational elements before delving into the cultural & behavioural drivers. Operational causes are more proximate causes of an issue. Identifying and dealing with them first, allows an organisation to triage the symptoms and “stop the bleeding”.

However merely dealing with operational causes will not necessarily prevent similar issues from recurring in the future. Accordingly, an organisation needs to also identify and remediate the more elusive cultural & behavioural root causes too.

Our Cause-X RCA Process sets out a complete approach to root cause analysis and remediation. It includes our approach to:

  • Applying the Cause-X RCA Framework

  • Preliminary scoping

  • Avoiding conflicts of interest

  • Conducting investigations

  • Creating cause and effect diagrams

  • Validating causes

  • Verifying the depth and sufficiency of analysis

  • Ensuring remediation is actionable and sustainable

  • Reporting and communications

Why is your root cause analysis approach limited in practice ?

No Comprehensive Framework

Root cause analysis is often an incremental extension of incident and breach management processes. Incident and breach management is focused on finding the immediate cause, treating the symptoms, tracking rectification, and reporting to stakeholders and regulators. The immediate cause identified however is typically a symptom of deeper root causes.

Where root cause analysis is undertaken, it is often ad hoc, with no guidance beyond applying the “Five Why’s” technique. On its own Five Whys provides mixed results because it is not repeatable and not multi-faceted. Each iteration of questions is only as good as the preceding cause identified, leaving the potential for gaps, dependant on the path the analysis takes.

Time Consuming

Root cause analysis is often undertaken by capacity constrained employees who are focused on treating the symptoms, rather than undertaking deep corporate introspection.

In the short run, getting on with it to “stop the bleeding” is tactically correct. In the longer run, strategically the aim is to also prevent recurrence of similar issues which is what proper root cause analysis affords.

Conflicts of Interest

Root cause analysis is often undertaken by employees from within the same business unit implicated in the problem or issue. Whilst root cause analysis is not about blame, it is incredibly difficult to be introspective and delve into cultural and behavioural drivers without fear of retribution from peers and managers. Safer to blame the tools, systems, processes, etc.

In essence, there are often latent and patent conflicts of interest. Even consulting firms have biases especially when analysis impacts existing or potential consulting mandates.

Limited Experience

Root cause analysis requires experience and maturity. Too often employees conducting root cause analysis are junior, have a narrow field of expertise and/or have not been trained in in it. Analysts require training, gravitas, maturity, and experience to constructively challenge and uncover the root causes of a problem or issue, particularly the cultural and behavioural causes.