Core cause, unlocking the depths: Unveiling the underlying cause beyond root cause analysis
Introduction
Root cause analysis (RCA) has long been a valuable tool for problem-solving and decision-making in various domains, ranging from aviation and healthcare to business and management. It helps identify the immediate cause of a problem or failure, allowing organisations to address the symptoms. However, in complex systems and intricate situations, merely stopping at the root cause may not be sufficient to prevent the recurrence of similar issues. This is where exploring the underlying cause beyond root cause analysis becomes imperative, as when organisations embrace the pursuit of the underlying cause, they position themselves to address problems at their core and create sustainable solutions.
This article will delve into the concept of the underlying cause, explaining its significance and how it differs from the root cause. It then outlines a systematic approach to uncovering the underlying cause, highlighting techniques and strategies to aid this pursuit. By understanding and addressing the underlying cause, the “core cause”, organisations can enhance problem-solving, optimise processes, and cultivate a culture of continuous improvement.
Understanding the Difference between Root Cause and Underlying Cause
We must distinguish between the two concepts before establishing the underlying cause beyond root cause analysis. The root cause represents the immediate factor that directly leads to a problem or failure. It is the primary cause that, when addressed, resolves the issue at hand. However, the underlying cause refers to the fundamental or systemic factors that contribute to the emergence of the root cause. It encompasses a broader perspective, capturing the interdependencies and complexities within a system, or indeed as the case may be, the human.
By solely focusing on the root cause, organisations often fail to recognise the intricate web of contributing factors that enable the problem to persist. Uncovering the underlying cause allows for a more comprehensive understanding of the issue, enabling organisations to implement adequate corrective measures and foster sustainable solutions.
How to establish the root cause
As finding the root cause may be seen as the “traditional” way of addressing an issue, let us first establish how the root cause of a problem can be found using one of many practical and commonly used techniques available, the “5 why’s” method, as an example. This technique, developed by Toyota as part of their problem-solving approach, involves repeatedly asking “why” to uncover deeper layers of causality. Before defining the process, it is essential to note that the number of “why” questions needed may vary depending on the complexity of the problem. Sometimes, fewer or more than five questions may be required to reach a meaningful root cause.
Here is how to apply the “5 Why’s” technique:
1. Clearly articulate the problem or issue you are trying to address, as this provides a focused context for the “5 Whys” analysis and lays a vital foundation.
2. Ask why the problem occurred to identify the immediate cause or factor that directly led to the problem.
3. For each answer obtained in step 2, ask “why?” again, probing deeper into the underlying causes. Each subsequent “why” question should be based on the previous answer. Repeat this process five times or until you reach a point where the answer is no longer meaningful or insightful.
4. Examine the responses to each “why” question and look for patterns, relationships, and connections. Identify common themes or factors that appear consistently throughout the questioning process. These factors are likely to be contributing causes or the root cause itself.
5. Once you have identified a potential root cause, evaluate it against the available evidence, data, and expertise. Next, consider whether the identified cause aligns with the information gathered and if it adequately explains the problem. A straightforward way of achieving this is by going through the above process in reverse, and instead of asking “why”, make the statement “therefore”. This technique should result in a continuous link between the last “why?” answer and the initially defined problem.
6. Once the root cause is established and validated, develop and implement appropriate corrective actions.
7. Monitor and evaluate the effectiveness of the implemented corrective actions by continuously assessing the situation to ensure the root cause has been adequately addressed and that no new issues arise. The importance of this step can not be overstated, as this is the only way to gauge whether the problem has been resolved
Now, while the “5 Why’s” technique is a valuable tool for establishing the root cause of a problem, it is not without its limitations. For example, one common issue with the “5 Why’s” technique is that it can lead to a superficial or oversimplified understanding of the problem. So, let us look at a few potential challenges associated with the technique:
Shallow analysis: The “5 Why’s” technique focuses on drilling into the root cause by asking repetitive “why” questions. However, this linear approach may not capture the complexity of certain problems and can result in a narrow view that overlooks contributing factors or interdependencies between different causes.
Overreliance on a single cause: The technique assumes a single root cause for a problem. While this may be true in some cases, many problems have multiple interconnected causes, which is, of course, the main focus of this article. By focusing solely on a single cause, the technique may fail to identify other important factors contributing to the problem and, as an expected result, fall short of identifying the underlying cause.
Inadequate data exploration: The “5 Whys” technique heavily relies on personal insights, experiences, and interpretations. This subjective nature can limit the exploration of diverse data sources and prevent a comprehensive analysis.
Lack of rigour: The technique does not provide a systematic framework for analysis. Without a structured approach, the investigation may lack rigour, consistency, and reliability. It may rely on assumptions or personal biases, leading to inaccurate conclusions.
Insufficient depth: While the technique aims to dig deeper into the causes, it can sometimes stop at surface-level or immediate causes. It may not address the underlying systemic issues or complex interactions contributing to the problem. As highlighted above, this can limit the effectiveness of corrective actions designed to address the identified root cause.
Limited Flexibility: The technique follows a predetermined set of questions, which may not be flexible enough to adapt to different problem scenarios. It may fail to account for unique circumstances or variations in causal factors, resulting in a less nuanced analysis.
It may seem appropriate to mitigate these issues by complementing the “5 Why’s” technique with other root cause analysis methods, such as fishbone diagrams, fault tree analysis, or failure mode and effects analysis, as these additional techniques may provide a more comprehensive and robust analysis, addressing the limitations of the “5 Why’s” approach. Of course, other than perhaps not being as practical in their application as the “5 whys”, they may assist in establishing a valid root cause but may still fall short of establishing the underlying cause.
A systematic approach to unveiling the underlying cause
Uncovering the underlying cause requires a systematic approach beyond the traditional root cause analysis. Here is a suggested step-by-step process to aid in this endeavour:
1. Define the problem clearly:
As with a regular root cause analysis, define the problem or issue concisely. A clear problem statement provides a foundation for the investigation and helps maintain focus throughout the process.
2. Conduct root cause analysis:
Perform a thorough root cause analysis to identify the immediate cause of the problem.
3. Identify contributing factors:
Expand the analysis by identifying contributing factors related to the root cause, as these factors are the building blocks for uncovering the underlying cause. For example, consider organisational, environmental, human, cultural, and systemic factors. As an example, systemic factors include policies, procedures and organisational structures
4. Human Factors Analysis (HFA):
Considering human factors is crucial when exploring the underlying cause. For example, human error (if there is such a thing), communication breakdowns, cognitive biases, and organisational culture play significant roles in problem emergence. Human factors analysis methods like task analysis, ethnographic research, and user-centred design can help identify human-centric contributing factors.
5. Analyse interdependencies:
Evaluate the interdependencies between the contributing factors and the root cause. Then, map out the relationships and explore how they interact to perpetuate the problem. In doing this, systems thinking methodologies like causal loop diagrams can be valuable tools.
6. Seek patterns and trends:
Analyse data and seek patterns or trends that connect the contributing factors. Look for recurring themes or commonalities across different instances of the problem.
7. Engage stakeholders:
Involve relevant stakeholders throughout the process. Seek their insights, perspectives, and expertise to understand the problem holistically. Encourage open communication and collaboration to foster a collective effort in uncovering the underlying cause. For this step to be truly effective, the organisation must have a well-established level of trust.
8. Formulate hypotheses:
Based on the analysis conducted, formulate hypotheses regarding the underlying cause. These hypotheses should encompass the interrelationships, systemic issues, and patterns identified during the investigation.
9. Validate and refine the hypotheses:
Test the formulated hypotheses through further data analysis, simulations, or experiments. Validate or refute each hypothesis and refine them accordingly. The goal is to narrow down and pinpoint the most accurate explanation for the underlying cause.
10. Implement corrective measures:
Once the underlying cause is identified, develop and implement corrective measures that address the systemic issues and contributing factors. This approach aims to create long-term solutions, reducing the likelihood of similar problems in the future.
While the above may seem complicated, it merely suggests that we look beyond the apparent in our search for the trigger that sets off the ever-present latent conditions and consequently leads to an undesirable event, and as such, can be applied quite practically through not accepting the first, immediate cause but striving to look further to find and understand the “core cause”—the root cause of the root cause if you will.
Conclusion
Root cause analysis is a powerful tool for understanding the immediate cause of a problem or failure. However, to truly solve complex issues and prevent their recurrence, organisations must strive to uncover the underlying cause that lies beyond the root cause. Organisations must understand the interdependencies and systemic factors contributing to the problem by adopting a systematic approach, utilising various techniques and strategies, and engaging stakeholders. Only this comprehensive understanding of the undelaying cause enables the implementation of effective corrective measures and fosters a culture of continuous improvement. As organisations embrace the pursuit of the underlying cause, they position themselves to address problems at their core and create sustainable solutions.
