The Power of Root Cause Analysis in Change Management

Even the most well-planned organizational projects can encounter problems. But here's a question: Are you addressing the symptoms or tackling the root cause? Without digging deeper, many organizations fall into the trap of implementing temporary fixes that don’t last.

This is where root cause analysis (RCA) comes in. By systematically investigating problems, you can uncover the underlying issues, fix them, and prevent them from reoccurring. This systematic approach addresses resistance and systemic challenges, enabling smoother change transitions.

Though RCA is primarily used for technical or operational challenges, it plays a pivotal role in change management. It can help solve core issues that hinder the implementation of new initiatives and allow organizations to meet their change objectives.

This article explains root cause analysis, when to use it, and popular RCA methods. Then, we explore how RCA is used in change management and the process of conducting an analysis for a change project.

What Is Root Cause Analysis?

Root cause analysis is a process designed to identify the underlying cause of a problem or incident. RCA aims to uncover the fundamental issue that, when resolved, prevents the problem from recurring.

Organizations use a structured process to conduct a root cause analysis. They assess all factors related to a problem to define and fix the real source. Multiple root causes can exist for a single problem, and RCA digs into all contributing factors.

The goal is to implement solutions that prevent future occurrences, not just mitigate current impacts.

RCA plays a critical role in change management by ensuring that changes are implemented smoothly and sustainably. It helps organizations fix the fundamental problems of a change initiative to avoid recurring mistakes, reduce the risk of unintended consequences, and build resilience.

For example, practitioners can use a change framework like the Prosci ADKAR® Model as a tool for RCA and identify barriers to change before implementation. They can create strategies to proactively address these barriers and prevent employee resistance.

Not all problems require an in-depth RCA. But sometimes the size and scope of the problem make RCA techniques indispensable.

When to Use Root Cause Analysis

A root cause analysis is a valuable tool to solve problems or prevent them in several scenarios: 

• Recurring problems – If the same issue happens repeatedly, RCA helps uncover why it keeps returning and how to eliminate the actual root cause.
• Major incidents or failures – After critical system outages, server crashes or major process failures, root cause analysis helps find long-term solutions instead of quick fixes.
• High-impact issues – When an issue significantly affects operations, customers or revenue, RCA identifies the fundamental problem to prevent costly disruptions.
• Quality defects – Effective root cause analysis helps address quality issues that affect performance or customer satisfaction in manufacturing, IT or product development.
• Compliance or safety incidents – RCA ensures compliance and strengthens safety measures to prevent regulatory breaches, workplace accidents or security incidents.
• Customer complaints – A root cause analysis can examine patterns in customer feedback to identify and resolve systemic issues affecting the customer experience.
• Near misses – If an incident almost caused damage but was narrowly avoided, RCA helps address potential vulnerabilities before they escalate.

By applying RCA in these scenarios, organizations can address core issues that hinder change initiatives. There are many ways to conduct an RCA. Popular root cause analysis methods include the 5 Whys Technique, the Fishbone Diagram, and Causal Factor Analysis. Let’s take a closer look.

Root Cause Analysis Methods

How do you identify the root cause of a problem? The method you choose depends on the situation. Let’s explore a few proven techniques:

1. 5 Whys technique

Have you ever found yourself repeatedly asking "Why?" when an issue occurs? That’s the essence of this method. The 5 Whys root cause analysis technique is a simple, iterative approach that asks "Why?" repeatedly to find the root cause of a problem. It’s effective for straightforward issues where the underlying cause is not immediately evident.

For example, why did a project deadline slip? Because a key resource was unavailable. Why was the resource unavailable? Because scheduling conflicts weren’t addressed. Why were they not addressed? Keep asking until you hit the core issue.

2. Fishbone diagram

The Fishbone Diagram, or the Ishikawa Diagram, visually maps out potential causes of a problem. It resembles a fish skeleton, where the problem is depicted as the central spine of the fish. The variable causes for the problem are mapped out in the rest of the bones and categorized into groups like people, processes, technology and environment.

This method is useful for analyzing complex problems with multiple contributing, interrelated factors and identifying specific root causes.

3. Change analysis

When a system or process performance changes drastically, you can use change analysis to examine the differences between normal operations and the circumstances in which the problem occurred. The goal is to define which change triggered the issue.

The first step is defining the “normal state” or baseline. Then, the organization or team maps out changes and analyzes how they contributed to the issue.

You can also use this type of analysis before implementing a change to understand its potential impact.

4. Causal factor analysis

Causal factor analysis (CFA) or causal factor tree analysis records and visually displays the specific actions, omissions or conditions contributing to an undesired outcome.

The "tree" starts with the problem at the top, and the sequence of events leading to the issue is mapped out under it. Then, you identify the events or actions that, if removed, would have prevented the problem. These causal factors are further analyzed to identify the root cause.

5. Event analysis

Event analysis focuses on the sequence and timeline of events leading to a major incident or problem, like a server outage. This method is ideal for incidents involving multiple stages or interactions.

Here, your team creates a timeline of key events and analyzes their interactions to identify failures or disruptions. In the example of a server outage, the IT department can review system logs to pinpoint the triggering event.

Other popular root cause analysis tools include the Failure Mode and Effects Analysis (FMEA) and Pareto Analysis. While most RCA methods are tailored to address technical or operational failures, RCA is often used to improve change outcomes. Each method can uncover obstacles and improve the success of change management efforts.

The Link Between Root Cause Analysis and Change Management

Root cause analysis strengthens change management by identifying and resolving barriers to success. Change management is the use of a structured approach to manage the people side of change and achieve a desired outcome. It’s not just about managing change—it’s about empowering individuals to adapt, embrace and thrive in new realities. Organizations use change management to guide technology upgrades, organizational restructuring, process improvements or cultural shifts.

Its structured approach helps your organization transition smoothly, prevents resistance and keeps teams aligned on the path to success. And the stakes are high: organizational projects with effective change management are seven times more likely to meet or exceed their objectives. 

Correlation of Change Management Effectiveness With Meeting Objectives

In organizational change, root cause analysis is a valuable tool for identifying the core issues that negatively impact a change project. Common reasons why change can fail include communication flaws and employee resistance.

To tackle this, you can use proven change management frameworks, like our ADKAR Model, as tools for root cause analysis. While the model is not a formal RCA technique, it helps define the fundamental causes behind resistance and other problems before a change project starts.

Practitioners then create strategies to proactively address and mitigate these issues, leading to better change outcomes.

Let’s take a closer look at exactly how to conduct an RCA during a change initiative.

The Root Cause Analysis Process in Change Management

Change management focuses on managing the individual change that drives successful organizational change. From this perspective, the primary goal of RCA is to identify and address the root causes of resistance from individuals so that the change is successful and sustainable.

Practitioners can use our ADKAR Model to diagnose gaps and prevent or address resistance. But RCA can be used to solve issues in all stages of the change management process.    

While each organization's RCA process varies based on various factors, you can follow these four steps to conduct a root cause analysis as part of your change management process:

Root Cause Analysis Process for Change

1. Diagnose gaps using the ADKAR Model

The Prosci ADKAR Model is a foundational framework in change management. The model has five elements—Awareness, Desire, Knowledge, Ability and Reinforcement—that people must go through for a change to be adopted and used effectively.

Prosci ADKAR Model

Change practitioners must prepare, equip and support people as they go through the ADKAR transitions. To plan for this, they can use the ADKAR Blueprint.

The ADKAR Blueprint helps collect information on how to guide different groups of impacted people. You can use it to set milestones and create change management plans, but from an RCA perspective, it’s used to understand the potential causes of barrier points. This is then used to create change management plans that prevent resistance. If resistance is already happening, you can also use it to try to understand why and create corrective measures.

Identifying gaps sets the stage for pinpointing actionable root causes that impact change success.

2. Determine the root cause

Once you've identified the main problem, go through the elements of the ADKAR Model to pinpoint the true root cause of resistance. The primary question to ask for each ADKAR element is:

• Awareness – Is the need for change clear and communicated effectively?
• Desire – Are people motivated to support the change?
• Knowledge – Do employees have the right information and adequate training?
• Ability – Can employees apply new knowledge or skills at the required level?
• Reinforcement – Are there systems in place to sustain the change?

If your organization's answer to each question is not a resounding yes, then you need to conduct a deeper root cause analysis of each ADKAR stage to determine what the core issue is. You can use any of the RCA techniques described above to do this, or download our basic, structured root cause analysis template below and customize it to match your specific change project.

3. Develop corrective action plans

Once you've identified the root cause of the problem, you can create strategies to address it. According to our research, a lack of awareness is the top reason why employees resist change. However, your root cause can vary, or there can be multiple root causes.

Develop targeted strategies and corrective plans to solve issues in each stage of the ADKAR Model. Here's how:

• If a lack of Awareness is the root cause, you can modify your communications plans to highlight benefits and address the concerns of impacted individuals or groups.
• If the root cause is related to Desire, you can use tactics like discussions to alleviate employee fears and align change incentives and consequences with employee values and motivators.
• If insufficient Knowledge is the root cause, examine and redesign existing training programs and provide additional resources.
• If the root cause is the Ability to implement new skills or behaviors, you can use performance monitoring to identify problem areas. Other strategies include ongoing personal or group coaching, providing hands-on practice and access to troubleshooting resources.
• If the root cause is in the Reinforcement stage, improve your reinforcement tactics or implement new ones. For example, if employee feedback suggests issues with inadequate recognition, you can involve senior-level sponsors in recognizing and rewarding employees.

Combining our ADKAR Model with RCA provides a comprehensive and targeted approach to solving fundamental issues hindering your change project.

4. Enable sponsors to implement the solution

Once you’ve developed a plan to address the root cause of resistance, you must work with sponsors and people managers to implement it.

Sponsors are leaders in charge of the change initiative. They authorize, participate in and support change activities to achieve positive outcomes.

People managers are mid-level managers or direct supervisors of the impacted individuals. They account for 70% of the variance in team employee engagement. Their attitudes and behaviors directly affect how employees view and participate in the change.

Practitioners must provide RCA information to managers and sponsors and support them in implementing corrective activities.

These four steps are a basic roadmap for identifying and solving core issues during change. To simplify and speed up the problem-solving process, use our basic, structured Root Cause Analysis template and customize it to match your specific change project.

The Benefits of Integrating Root Cause Analysis and Change Management

While we’ve covered the main use of root cause analysis during change, there are nine general benefits that organizations can achieve by integrating RCA and change management:

1. Look past surface-level problems

Change initiatives often fail because they focus on surface-level problems without addressing the fundamental factors driving them. Combining RCA with change management enables you to address the root cause of issues rather than treating the symptoms.

For example, a company might believe that new software will fix low productivity. However, an RCA might reveal that the real root cause is inadequate employee training. To solve this, they can implement change management techniques like tailored training programs, leading to lasting improvements. Alternatively, a company may assume that hiring additional staff will alleviate delays in project delivery. However, an RCA might uncover that the actual issue lies in unclear processes and lack of standard operating procedures. To address this, they can apply change management strategies such as process mapping and documentation initiatives, which will streamline workflows and enhance overall efficiency.

2. Enhance risk mitigation

RCA helps identify potential risks early by analyzing past failures or near-miss incidents, allowing organizations to build preventative measures into the change management process.

For example, a root cause analysis during a large-scale digital transformation can reveal that the previous ERP system upgrade failed due to poor stakeholder engagement. Change management teams can use this insight to engage people early, reducing the likelihood of failure.

3. Drive sustainable change

A holistic approach guarantees changes lead to long-term improvements rather than short-term patches that result in repeated problems. Sustaining change is more cost-effective than having to start from scratch with new initiatives, increases the likelihood of project success, and helps ensure the project fully realizes its intended benefits.

4. Improve stakeholder confidence

Stakeholders, from executives to front-line employees, are more likely to support a change based on analysis and data-driven insights.

RCA provides the evidence to justify the change, while change management ensures that stakeholders are engaged and informed throughout the process. This combination fosters greater trust, transparency and collaboration within the organization.

5. Increase efficiency and cost savings

Addressing the wrong problem can waste time, effort and financial resources. By preventing unnecessary or misdirected change initiatives, companies can save significant costs and boost operational efficiency.

For example, the root cause analysis identifies that frequent IT outages are caused by misconfigured servers, not the aging hardware as initially suspected. Good change management facilitates proper reconfiguration, avoiding unnecessary hardware investments.

6. Provide continuous improvement and learning

Integrating root cause analysis and change management builds a culture of continuous improvement by encouraging organizations to learn from past failures and refine processes. Change management embeds the lessons from RCA into everyday operations.

Over time, this approach leads to organizational maturity, resilience and adaptability in the face of evolving challenges.

7. Strengthen alignment with organizational goals

RCA helps organizations identify how operational issues align with broader business objectives, ensuring that change management initiatives support strategic goals. This alignment maximizes the impact of changes and drives measurable outcomes.

By focusing on the root cause, organizations can prioritize changes that drive competitive advantage and growth.

For example, the RCA reveals that inefficient supply chain processes are causing delayed product launches. The organization then applies supply chain change management to implement business process automation, aligning with the company's goal of faster time-to-market.

8. Improve employee engagement and morale

Only 23% of the global workforce is engaged, and maintaining employee engagement during change is challenging. To engage with and help employees embrace change, you can use RCA to get insights into employee pain points and implement changes that address their problems. This improves job satisfaction and reduces turnover, contributing to a healthier workplace culture.

9. Enhance scalability and flexibility

By applying RCA tools and resources, like our ADKAR Model, organizations can identify systemic issues and use change management methodologies to implement scalable solutions. The Prosci 10 aspects of change impact is another useful framework that can significantly assist with root cause analysis during change initiatives. It provides a structured way to assess the various dimensions of how individuals and groups are affected by the change. 

This leads to a flexible and resilient organization that can effectively adapt to growth, market shifts and technological advancements. Scalable RCA solutions enable organizations to address systemic challenges and adapt to growth.

Prosci Helps You Solve Problems During Change

Root cause analysis and change management work hand-in-hand to drive sustainable success. Prosci supports organizations in balancing RCA with effective change strategies.

Conducting a root cause analysis is a crucial piece of the puzzle for driving successful change in your organization. However, we understand that balancing this analysis with the planning, implementation, and sustainment of your change initiatives can be daunting, especially if you're navigating this terrain with limited change management expertise and resources.

That's where Prosci can help. Our team of expert advisors is here to empower you with the knowledge and tools you need to streamline your change management efforts. Together, we can simplify the complexities of your projects, ensuring that your root cause analysis not only gets done but also delivers valuable insights that propel your organization forward.