By their very nature, complex HR cases feel like they’re designed to frustrate any effort to improve consistency, and the speed with which new cases pile up tends to thwartany ambition to cut resolution times.
If you can excuse the mixed metaphors, most of us are so busy fighting fires that we never manage to take a step back and look at the bigger picture.
But this isn’t a recipe for long-term success. As McKinsey point out in their article Organisational health: a fast track to performance improvement, you can only deliver long-term improvement if you can identify and address the systemic issues that are impacting efficiency – or flooding your system with a deluge of near-identical grievances.
The question, then, is how are you supposed to identify those issues and start working towards an effective resolution?
That’s where root cause analysis comes in. We’ll delve into the proper definition below, but for now, it’s enough to know that root cause analysis is all about drilling into - and analysing - your data so that you can identify the triggers for (or root causes of) the systemic issues that are inflating your caseload or complicating service delivery.
It’s the secret weapon that enables successful HR teams to stop chasing their tails, work out why things have gone sideways, and implement robust solutions that help them deliver a better level of service, and while it sounds highly technical, the process of conducting a thorough root cause analysis is actually fairly straightforward.
Here, we’ll provide a step-by-step methodology for performing an effective root cause analysis, talk about common pitfalls, and provide some top tips on implementing your findings.
Root Cause Analysis (RCA) is the process of using analytical techniques to uncover the root cause of a problem and implement a practical solution. There are various ways of performing a root cause analysis - using techniques or methodologies like Pareto analysis, fishbone analysis or the five whys - but at its core, root cause analysis is about digging below the surface to uncover and resolve the problems .
More specifically, root cause analysis is about fixing systemic problems, rather than surface-level issues. It helps you to fix things like repeat instances of the same grievance and frequent missed deadlines by understanding that these could be the symptoms of a larger issue. RCA helps you figure out what’s causing these problems from the start.
It’s not just about fixing the problem temporarily. It’s about solving the thing that keeps tripping you up, again and again. Whether it’s outdated case management software, unclear procedures, or lack of communication, RCA shows you where the breakdowns are happening.
Think of it like finding out why your car keeps stalling. You could keep jump-starting it every morning, but sooner or later, you’ll want to know why it’s happening.
It’s easy to dismiss root cause analysis (RCA) - and systems thinking more generally - as busy-work designed to make managers feel more useful, but applied properly, root cause analysis can be transformative; allowing you to uncover hidden problems and build a significantly more efficient case management process based on your organisation’s needs and capabilities.
Take the grievance process as an example: Around 30% of HR teams have seen employee grievances rise over the past 2 years. If we tread water, and refuse to continually refine and optimise our systems, we will be swamped by a rapidly-growing case load irrespective of how hard front-line team members are willing to work.
But if we use RCA to drive real improvements to the underlying system, we can eliminate the problems with poor tracking, inadequate reporting or miscommunication that often gum up the wheels and slow our day-to-day processes to a crawl.
The same is true of compliance issues too. According to a Bloomberg Law report, there has been a 400% increase in lawsuits related to employment within the last 20 years. Pinpointing and addressing places where your process puts you on the wrong side of the law will be pivotal going forward, and RCA provides the toolkit required to drive these deep changes to fundamental processes.
Maybe your documentation isn’t as airtight as it should be. Or there’s a gap in how cases are escalated. Identifying these issues early means fewer risks, less exposure, and less expenditure.
It’s also worth noting that employees want to feel respected. 74% of employees say that they are more effective at their jobs if they feel empowered and heard. When issues aren’t resolved quickly, it can damage trust with employees. Over time, these delays can accumulate and employees slowly become more and more disgruntled. RCA helps you figure out why things are taking longer than they should.
At the end of the day, root cause analysis is all about solving the underlying cause(s) of inefficiency – and improving your processes so that you and your department can deliver more effectively.
Proper root cause analysis takes time, but generally yields the following outcomes:
• Improved Case Handling. Fix the root causes of delays and mismanagement to ensure things run more efficiently.
• Higher Employee Satisfaction Rates. Employees who feel their issues are being handled properly are more engaged and less likely to leave.
• Cost Savings. By identifying inefficiencies and addressing them, RCA helps your department save both time and money.
• Reduced Compliance Issues. RCA helps you spot risks before they become bigger problems, keeping your team compliant and out of legal trouble.
• Implementing Root Cause Analysis: A Step-by-Step Guide For HR Managers
Conducting a thorough root cause analysis is like embarking on a good detective story. You’ve got a problem and there’s something behind it. Now we just need to work out what that something is. To help you avoid common pitfalls, here’s a step-by-step guide to performing a thorough root cause analysis using your case management data.
You can't fix what you can't identify. Before you start digging, it’s important to work out what you’re trying to remedy so that you can focus your energy effectively. Is it a systemic problem with the close rate of grievance problems? A trend for long-running or unresolved performance issues? A persistent issue with case loads or a noticeable bottleneck associated with a single team member?
Be specific. “Things aren’t going well” won’t cut it and there is a very real need to clearly articulate an issue so that you can start investigating in detail.
You’ll drive the root cause analysis, but it’s not a solo project. You need the right team on board. And by the right team, we don’t just mean the people who deal with the problem daily. Bring in people from different parts of the organisation – front line staff, departmental managers, and maybe even employees who’ve dealt with the issue in the past. Different perspectives will give you the whole picture.
Collect as much data as possible—logs, reports, feedback and whatever else you can find. The more data you’ve got, the better.
Obviously departments equipped with good HR case management software will find it much easier to pull out reports, case histories by type and any other information needed to really drill down and start uncovering the root cause of your problem.
But if you’re reliant on spreadsheets or more mundane solutions, our best advice is to be systematic. The success or failure of the RCA process depends on the integrity and quality of your systems data so try to ensure that you have access to accurate records, and team members capable of helping you graph or otherwise visualise the data therein.
A cautionary note here: Don’t make guesses. For instance, if grievance cases are piling up, don’t just assume it’s because team members are swamped. Look at the case history. Who’s handling them? Has the complexity of the average case changed significantly over the last 12 months? Where are the delays and are there any common factors that could point to an underlying problem? This will help you see the patterns that’ll reveal the true cause.
This is the heart of RCA. The method most commonly used to uncover root causes is the “5 Whys” technique. Here’s how it works:
Ask the first ‘Why’ – Why is the grievance case taking too long?
Answer: Because it isn’t being processed on time.
Ask the second ‘Why’ – Why isn’t it processed on time?
Answer: Because there’s no clear timeline for resolving cases.
Ask the third ‘Why’ – Why isn’t there a clear timeline?
Answer: Because the process steps haven’t been documented properly.
Ask the fourth ‘Why’ – Why aren’t the process steps documented?
Answer: Because there’s been no formal training for HR staff on the grievance procedure.
Ask the fifth ‘Why’ – Why hasn’t formal training been implemented?
Answer: Because HR doesn’t have a structured training program in place.
By asking “Why” repeatedly, you uncover the deeper issues causing the problem. This process helps prevent a superficial fix and addresses the real cause, which in this case is a lack of formal training and documented procedures.
Still seeing conflicting signals? Sometimes, problems don’t come from one specific thing. They come from a multitude of variables that feed into the way things are set up. That’s where process mapping comes in.
By mapping out the grievance process on whiteboard software, a physical board or a large piece of paper, we can start to visualise bottlenecks and hone in on problem areas. When do cases get stuck? Who’s responsible for what? If the problem is multifactorial, you’ll start to see evidence of underlying problems emerging from your diagram
Now that you’ve got a map of the problem, it’s time to use some tools to dig even deeper. Techniques such as using a Fishbone Diagram or Pareto Analysis help pinpoint the main causes of problems, and often suggest solutions by virtue of providing much-needed clarity.
A fishbone diagram or Ishikawa diagram breaks down issues into categories—people, processes, tools—and shows you where things are breaking down. It’s a highly visual tool that’s often used to refine and improve flawed systems, and it’s the tool of choice for groups like NHS Improvement; a non-departmental body charged with improving patient care across all NHS groups.
In fact, NHS improvement has a very useful and simpleresource on using fishbone diagrams to drive continuous improvement here. You’ll also find some useful guidance on using fishbone diagrams for root cause analysis on the Tulip website here.
Pareto Analysis is a different beast altogether. Based on Pareto’s principle of unequal distribution, this technique is designed to help you identify and focus on the 20% of issues (or defects) that are causing 80% of the problems.
It’s most useful when you have a large list of problems but don’t really know how to prioritise them, or understand which issue is causing the most damage. In simple terms, you take a long list of problems, organise them in a Pareto chart, and then score them according to predefined criteria so that you can quickly identify the worst offenders.
There’s an in-depth guide to implementing a pareto analysis on the Investopedia site here, and more applied guidance on using them for root cause analysis on the AlisQI site here.
Selecting the right method, and implementing it properly is key to honing in on the principle problem(s) and fixing them in good time.
Now it’s time to decide which problems need fixing first. Some issues may be small and easy to fix, others might be big, complicated problems. Focus on the big ones—the ones that are causing the most headaches or could lead to bigger issues down the road. Don’t try to fix everything at once. You’ll end up drowning in your to-do list.
Once you’ve identified the root causes, it’s time to get creative. Sit down with your team and brainstorm solutions. Think practically about what will work best for the team and the company. Maybe you need better training, clearer communication, or even a new system to track cases. The goal here is to get specific, actionable ideas, not just wishful thinking.
Time to put those ideas into action. If you decide that employees need better training on grievance resolution, then make it happen. If a new tracking system is needed, start the implementation process. Whatever the solution, make sure everyone involved knows the new process and has the tools they need to succeed.
RCA is an ongoing process. Once you’ve implemented the changes, don’t just sit back and relax. Keep an eye on how things are working. Are grievances being resolved faster? Are employees happier with the new process? Measure the impact. If things aren’t improving as expected, tweak the process again. RCA isn’t a one-time fix—it’s a cycle of continuous improvement.
You now know how to implement an RCA, but throughout our years of experience often people fall short of RCA making a real difference. Here are our top 5 tips to help you succeed.
HR isn’t a one-man band. Involve people from different parts of the organisation to get a well-rounded view of the issue. When different perspectives come together, you get a better picture of what’s really going wrong.
It can be overwhelming dealing with all the regulatory issues you have to jump through in HR these days. That’s why getting software that aids you through each case is a huge benefit. HR case management software will automate the grievance process completely, taking a huge load off your back and eliminating the possibility of errors.
Gut feelings work well, but you need data to back it up. Use the data you’ve got in your HR software. Whether it’s case logs, employee surveys, or performance metrics, look at the numbers. The story is in the details.
RCA isn’t a “one and done” deal. Once you fix one issue, keep going. The world’s changing, and so should your processes. Review and adapt as you go to make sure everything stays on track.
Route cause analysis requires knowledge, experience and skill. It’s not just something you throw at your HR team without preparation. Offer training so everyone knows how to apply it properly and spot problems before they become big issues.
You won’t find an easy path when implementing RCA. It’s a great tool, but it comes with a few bumps along the way.
Another problem is the fact of change. We all know how people can be. If they’ve been doing something one way for years, they’re not going to be thrilled about switching it up. Implementing RCA means changing how things are done, and some people might push back. That’s something you’ll have to deal with.
Finally, HR teams are busy. So, finding time to do RCA can feel like an added burden. But look at it as an investment. If you tackle the root causes now, you’ll save time in the future. You’ll be getting ahead of the problem rather than playing catch-up.
At the end of the day, root cause analysis is simply an organised (or systemic) process that helps you to identify and fix fundamental problems with your HR case management process.
At first glance, it looks like an overly-technical and fairly daunting way of complicating a fairly routine activity but if you follow the steps outlined here, and take the time required to see the RCA process through to its conclusion, you will find that you have more clarity on the root cause of whatever issue(s) you’re trying to remedy, and a relatively straightforward play book for driving the improvements required to deliver on your KPIs.
That’s not to say route cause analysis is a once-and-done process though. If anything, it should be a playbook staple, conducted routinely to ensure that you’re always improving the overall efficiency of your case management process.
As Andy Grove, former CEO of Intel Corporation, said - “A common rule we should always try to heed is to detect and fix any problem at the lowest-value stage possible.” So, keep asking questions, keep improving, and you’ll make a real difference.