5-Whys Technique for Root Cause Analysis

What is Root Cause Analysis?

Root cause analysis aims to identify the origin of a problem. It seeks to answer the question of why the problem occurred in the first place. Root causes in organisations usually fall under three key categories:

1.           Physical causes – Tangible, material items failed in some way

2.           Human causes – People did something wrong, or did not do something that was needed. Human causes typically lead to physical causes

3.           Organizational causes – A system, process, or policy that people use to make decisions or do their work is faulty

There are five steps required when undertaking a root cause analysis. The steps are outlined as follows:

1.           Identify the problem

2.           Collect the facts on the problem and the impact on the customer and organisation 

3.           Analyse the problem and possible causal factors

4.           Identify the root causes of why the problem existed

5.           Propose and implement a remedial plan

5-Whys Technique

There are a number of techniques you can apply to undertake a proper root cause analysis. Step 4 requires you to select the most appropriate technique for your analysis. Popular techniques used include the 5 -whys and using cause and effect diagrams to derive at your underlying causes(s).

This point is best illustrated using a medical condition as analogous to how we can incorrectly treat the problems in our organisation. A patient with sweating is displaying a visual sign of an underlying problem. The sweating is a direct result that the patient has a high fever. If we focus our energy on reducing the fever by placing the patient in a cold bath it will provide the patient with immediate relief. But have we fixed the underlying cause to the fever? The answer is, no. Left incorrectly treated the patient is likely to have the fever and could deteriorate further after the cold bath. A good doctor would conduct further tests to identify the underlying cause to the fever and the visible symptom which is the sweating. After a blood sample is taken the doctor identifies a bacterial infection in the bloodstream is causing the fever. The correct diagnosis of the underlying cause to the problem leads the doctor to prescribe the right type and dose of antibiotics to clear up the problem for the patient.

In the example we can outline how the 5 whys technique would lead to the underlying cause to the problem. To illustrate how we may reach the root cause to the visible symptom of sweating we may ask the following “why” question at least 5 times before we arrive at a root cause. Each question will receive an answer and then the answer is questioned and so on. This can be illustrated below:

1.           Why is the patient sweating? Answer: He has a fever

2.           Why does he have a fever? Answer: He has a bacterial infection

3.           Why does he have a bacterial infection? Answer: He received a cut whilst working in the garden?

4.           Why did the cut lead to the bacterial infection? Answer: he did not immediately clean the cut from dirt

5.           Why did his cut have dirt in the first place? Answer: he was not wearing gloves.

In the example above it’s important to know that the solution to the problem is twofold. Firstly, we need to eradicate the bacterial infection causing the fever which in turn is creating the sweating. A prescription of antibiotics is the first remedial action taken. If we are going to do our job properly and ensure the patient does not have a recurring problem we will need to do the proper root cause analysis and then work out the best way to ensure the patient wears gloves next time he is in the garden working with soil. The doctor may decide that it’s not enough to simply request he wears gloves next time. Instead the doctor decides to take a more decisive cause of action by showing the patient extreme examples of what could happen to him if another similar infection was to be contracted the same way as before. The doctor essentially chooses to remedy the patient’s carelessness by shocking him with pictures of extreme versions of his infection. Without the effective education as to why it’s important to wear gloves whilst handling soil in the garden the doctor would have only partially addressed the root cause. The education provided by the doctor ensures the patient is highly unlikely to repeat the same carelessness again. This two prong approach to addressing the immediate and ultimate underlying cause of the problem is the only way of ensuring its long-term eradication.