Root Causes: time to retire the Five Whys

It's strange how things evolve. I started consulting 12 years ago after a corporate career and thought I had found a niche working with clients in risk assurance, especially with internal audit teams. The aim then was to work with leaders in the field to deliver audit activities that were valuable but without waste and excessive bureaucracy. This work resulted in the publication of "Lean Auditing" in 2015.

Since then, alongside work on lean, I have been increasingly involved in root cause analysis (RCA) and, with my clients, have examined how different techniques can be used to get to the heart of issues and, as a result, identify ways to solve problems for the long-run - and even eliminate issues arising in the first place.

At first, I was very much an advocate of the Five Whys RCA technique, but over a number of years, I have concluded that the Five Whys, needs to be retired for the twenty-first century. This is why my new book "Beyond the Five Whys" has its title; viz. i) to acknowledge the useful legacy it has left us (i.e., to be curious, and the importance of diagnosing concerns before considering solutions), but equally ii) to highlight, amongst other things, the fundamental flaw with the idea that there can be just one root cause for problems (which is explained in the book).

In the book I look at other root cause techniques, highlighting their pros and cons, but also 'lean in' to the power of systems thinking as well, so we can get a more holistic perspective on things not working to plan. This perspective is especially useful when we speak about some of the organisational and cultural challenges organisations face (e.g., around ESG and EDI (or D&I)).

I also say a lot about the Fishbone technique for RCA and - based on time spent with my clients - you will find an 'up-graded' approach to the Fishbone technique, using improved category descriptions for causes that explain why, rather than who or what.

The eight causal categories I discuss in the book, include best practice insights from aviation, High Reliability Organisations and Health and Safety etc. and include i) clear roles and responsibilities, ii) having an appropriate design and iii) understanding and accommodating human factors.

The book is written to be easy to understand to those new to the field, but with additional material that will be of interest to those who are more experienced (contained in three Appendices covering risk and compliance, management and quality and auditors). I also make a number of links between root cause analysis and systems thinking and the world of inquiries into disasters. I take the Titanic tragedy as an area to examine in some detail and I believe my analysis (supported by some experts in the field) will offer a new perspective to most readers about why this tragedy occurred. It also offers some striking parallels to modern day crises (the 2007-8 financial crisis and CV19, for example)

I've also been lucky enough to interview former CEOs, board members, VPs, a doctor (MD), the former captain of a commercial aircraft, a fire chief and several Corporate Psychologists. They share candidly, often for the first time, insights why things can go wrong despite best efforts to get things right. Through this, the power of taking a systemic approach will become even more self-evident, alongside the problem of assuming just one cause for problems.

I want to record my thanks to all who have trusted me to work with them on this important topic and to all those who have shared their wisdom for the book.

The book has been five years in the germination, but I think it's been worth taking the time to work through a sensible structure so that what might otherwise seem a very complicated topic is - I think - relatively accessible!

I'm hoping some of you out there will be curious to learn more, in which case note the book is on both Amazon and the Wiley websites. Wiley discount code: BTFW3