Root Cause Analysis

During mediation, we tend to see only what’s obvious: the specific arguments regarding custody arrangements, property line disputes, business differences, etc. In my experience, I have learned that there is much more to the story than what you see on the surface. It’s just like an iceberg. The majority of the conflict is hidden beneath the surface. Using root cause analysis as an inspiration, a technique used in other areas of medicine and engineering, I try to examine and address the real, underlying reasons for the conflict at hand.

Beneath The Surface

I have found that most of the time when people are in conflict with each other, they are masking deeper issues. For example, a divorcing couple may argue intensely about who will own the family vehicle. The real issue was about maintaining independence and not the financial gain a car might represent. Root cause analysis is a great way to help the parties move away from the “ask” to the core needs, values and/or fears.

The 5 Whys Method

One of the most beneficial tools to use is the “Five Whys” method. I also call this the “Toddler Technique” because it mimics how toddlers will keep asking “why?” when you explain something to them. Obviously, it’s important to do this in a manner that doesn’t sound patronizing. (Sometimes, and only if the mood in the room is appropriate, I can make this into a riddle-like game.)

By asking the “whys”, I help the parties work through layers of their problem. I once mediated a neighborhood dispute over the height of a fence that blocked sunlight going into the next yard. The resident whose garden was being affected wasn’t interested in just the fence but rather the fact that his deceased spouse had been the one who established the garden. This led to an exploration of grief, remembrance and respect, and elicited empathy from the fence owner ultimately resulting in a mutually acceptable work around.

Identifying Patterns and Systems

Root cause analysis also reveals how conflicts can emerge from broader issues and not isolated incidents. For example, many family business disputes could be traced to communication issues between generations, unclear succession plans and childhood rivalries between siblings. By mapping those broader issues, both parties are able to see that the conflict is not only about the surface disagreement, but also about larger, relational dynamics that need attention.

Distinguishing Positions from Interests

The approach of separating interests from positions connects with one of my main beliefs in mediation. Through root-cause analysis, I am able to help the parties identify their interests instead of merely assuming entrenched positions. When parties are focused on specifics, using this method provides the means by which to ask conversation-provoking questions to help the parties identify the reasons behind the desired outcome (e.g., security, fairness, respect, discretion or preservation of the relationship).

If I can do this successfully, then I am able to create a more meaningful experience and, importantly, it allows the parties to create longer-lasting agreements based a deeper, mutual understanding.

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