Root Cause Analysis: The 5 Whys Problem-Solving Technique

Introduction to Root Cause Analysis

Root cause analysis is a popular problem-solving technique that seeks to identify and respond to the deeper causes of a problem, rather than only those visible on the surface (Okes, 2009). It allows one to look deeper into a problem in order to determine its underlying causes and address them before the problem escalates further (Okes, 2009). In doing so, one deals with the problem once and for all. Once the root causes are addressed, the chances of recurrence are very slim.

The 5 Whys (Questioning to the Void) Technique

The questioning-to-the-void technique, commonly referred to as the 5 Whys technique, is one of the three main approaches of root cause analysis. It essentially involves asking the question "why" five times in order to understand the exact nature of a problem (Anderson, 2009). It is believed that by repeating "why" several times, one is able to peel away the surface causes of a problem and ultimately identify the root cause. Once the root cause has been identified, an appropriate countermeasure that effectively addresses it can be determined.

Illustration: Printing Shop Case Study

Consider the case of a printing shop that was supposed to have a client's leaflets printed and delivered but failed to do so in time; as a result, the client refuses to pay for the order.

The Problem: The client has refused to pay for the leaflets delivered.

i. Why? The leaflets were delivered late and were therefore not used for their intended purpose.

ii. Why? The printing job took longer than the staff had anticipated.

iii. Why? Printer ink ran out in the course of printing.

iv. Why? A large amount of ink had been used on a big order executed immediately before the order in question.

v. Why? There was not enough ink in stock, and the staff could not reorder it quickly enough.

Root Cause: Delayed delivery of ink, leading to slowed or stalled processes and making it difficult to complete orders on time.

Countermeasure: Find an ink supplier who can make deliveries on very short notice.

Advantages of the 5 Whys Technique

Based on this illustration, several advantages of the questioning-to-the-void technique — and by extension, root cause analysis — can be identified. First, it is easy to use and apply, especially when the assessor has a general sense of what the causes of the problem are likely to be (Okes, 2009). Moreover, it is highly flexible and readily fits into a number of common business processes. For instance, the 5 Whys technique is used: (i) for quality improvement in the analysis stage of the Six Sigma process; and (ii) for the identification and elimination of wasteful practices in lean manufacturing. Additionally, the technique helps ensure that problems are resolved once and for all, so that no further costs are incurred addressing the same problem in the future (Dew, 2002).

Conclusion

The root cause approach, though relatively simple to apply and helpful in addressing the very root cause of a problem, may not be very effective in evaluating problems in this age of globalization — particularly because organizations have increasingly complex structures and cultures, and the problems that result are often too complex to be attributed to a single sufficient cause. Root cause analysis should therefore be used only as a supplementary method for evaluating simple or moderately complex problems, rather than as a primary tool for addressing critical organizational challenges.

References

Anderson, S. (2009). Root cause analysis: Addressing some limitations of the 5 why's. Quality Digest.

Dew, J. R. (2002). Using root cause analysis to make the patient care system safe. The University of Alabama.

Okes, D. (2009). Root-cause analysis: The core of problem-solving and corrective action. Milwaukee, WI: ASQ Press.