Root cause analysis: Understanding the 5 Whys
The 5 Whys analysis is a simple but powerful problem-solving method that identifies one or multiple root causes for the same problem by asking “Why?” repeatedly, usually five times. Each answer leads to the formulation of the next question until the real root cause is revealed and a solution is found. This methodology focuses on deeper issues behind symptoms and small recurrent problems.
The 5 Whys were originally developed by Sakichi Toyoda, founder of Toyota Industries, in the 1930s. Described as “the basis of Toyota's scientific approach”, they have been widely adopted and popularized by Toyota Motor Corporation as part of the TPS (Toyota Production System). This manufacturing model is rooted in many modern quality management and continuous improvement practices, such as Lean Manufacturing.
When should you use the 5 Whys?
Many effective problem-solving techniques exist, such as the Ishikawa diagram, the 5 Ws and H, the PDCA cycle, etc.
The 5 Whys are particularly relevant in the following situations:
- For simple to moderately complex problems that don't require in-depth analysis or where the causes are not immediately apparent.
- For quick resolution when time is critical, the 5 Whys technique enables root cause analysis without requiring significant resources or time.
- In organizations seeking to establish a culture of continuous improvement, the simplicity of this methodology makes it an accessible tool for all hierarchical levels.
The 5 Whys can also be a first step before opting for more complex processes. For example, you can use it to identify a root cause, which can be explored in greater detail using an Ishikawa diagram or as part of a PDCA cycle.
The advantages of the 5 Whys methodology
- Simplicity and accessibility: The 5 Whys technique is straightforward to understand and implement. It requires no complex training or sophisticated tools, making it accessible to all employees, regardless of their technical expertise.
- Root cause identification: One of the main advantages of the 5 Whys methodology is its ability to go beyond the apparent symptoms of a problem to find its root cause. We no longer focus solely on superficial solutions but ensure the problem is dealt with at source. It enables more effective and sustainable corrective action to be taken.
- Promoting continuous improvement: The 5 Whys fit perfectly into a continuous improvement approach. By encouraging systematic identification of the underlying causes of problems, this methodology fosters a culture of questioning and constant search for more effective solutions.
- Reduced implementation costs: Using the 5 Whys requires neither significant financial investment nor unique material resources. It makes it an attractive option for companies of all sizes, including those with limited budgets for continuous improvement initiatives.
- Developing critical thinking skills: Repeating the question “Why?” encourages teams to think critically and analyze more deeply. It strengthens employees' ability to identify and solve problems independently, increasing their job satisfaction.
- Adaptability to various contexts: The 5 Whys process is versatile and can be applied in various contexts such as manufacturing, services, IT, etc.
Key steps to implementing the 5 Whys process
1. Identify the problem
The first step is clearly defining the problem you are trying to solve. A precise, concise description is essential to guide the questions that follow.
Try to focus on one problem at a time to avoid confusion.
2. Ask the first question “Why?”
It allows you to begin exploring the possible causes of the problem. The answer to this question should be specific and factual.
3. Ask the second question “Why?”
Based on the answer to the first question, ask the "Why?" question again to explore the underlying cause.
4. Repeat the exercise until the fifth question “Why?”
Continue asking the "Why?" question, using the previous answers. Repeat this process up to five times or until the real cause is identified.
5. Identify the root cause
Once you've asked the question "Why?" five times (or less if the root cause is identified first), you should be able to determine the problem's cause. It is the starting point for effective corrective action.
6. Implement corrective actions
Once the root cause has been identified, corrective actions must be implemented to solve the original problem and prevent it from recurring. These actions must be specific, measurable, achievable, realistic, and time-bound (SMART).
Tips for asking the right questions and avoiding common mistakes
The 5 Whys may be simple, but asking the right questions is essential to avoid common mistakes and get the maximum benefit.
- Stay factual and precise: Base your questions and answers on facts and verifiable data. Avoid assumptions, opinions, or judgments. Asking questions that are too general or vague will not help you pinpoint the cause of the problem.
- Involve stakeholders: Include the people directly affected by the problem in the questioning process. They often have valuable knowledge and perspectives. Don't conduct your investigation in isolation without consulting the experts on the floor or the operators involved.
- Avoid bias: Focus on processes rather than individuals. The 5 Whys practice is about improving systems, not blaming individuals. Framing questions as if you were looking for someone to blame can create a climate of mistrust and defensiveness.
- Ask open-ended questions: Ask questions that encourage detailed, explanatory answers. Closed yes/no answers limit responses and don't fully explore the cause of the problem.
- Explore all avenues: Don't stop at the first apparent cause. Keep asking the question “Why?” until you're sure you've found the root cause.
- Document the whole process: Document every step, including the questions you ask and the answers you get. This will keep a clear record, verify reasoning, and ensure transparency.
- Monitor and evaluate: As always, it's essential to monitor the implementation of corrective actions and measure their effectiveness to ensure that they address the root cause of the problem.
Two useful application examples of the 5 Whys
1. Manufacturing sector – Product quality problem
Problem identified: The defect rate of a factory's finished products is high.
First Why: Why is the defect rate high?
Answer: Because some parts are poorly adjusted.
Second Why: Why are some parts poorly adjusted?
Answer: Because the assembly machine parameters are not correctly configured.
Third Why: Why are the assembly machine parameters not correctly configured?
Answer: Because operators don't follow configuration instructions.
Fourth Why: Why don't the operators follow the configuration instructions?
Answer: Because the instructions are not transparent or well documented.
Fifth Why: Why must the instructions be more transparent and well-documented?
Answer: Because there is no standardization of instruction procedures.
Root cause identified: Lack of standardization of instruction procedures.
Corrective action: Develop and implement standardized procedures for configuring assembly machines, accompanied by operator training sessions.
2. Service sector – Customer satisfaction problem
Problem identified: The customer satisfaction rate fell by 15% last quarter.
First Why: Why did the customer satisfaction rate drop by 15% last quarter?
Answer: Because waiting times for customer support have increased.
Second Why: Why have customer support waiting times increased?
Answer: Because the number of incoming calls has increased significantly.
Third Why: Why has the number of inbound calls increased significantly?
Answer: Because many customers are experiencing problems with the new software version.
Fourth Why: Why did many customers experience problems with the new software version?
Answer: Because the version was deployed with several unresolved bugs.
Fifth Why: Why was the version deployed with several unresolved bugs?
Answer: Because the test phase was shortened to meet the planned launch date.
Root cause identified: The test phase was shortened to meet the planned release date.
Corrective action: Revise the software development process to include a complete test phase before any deployment. Communicate the importance of this phase to all stakeholders to avoid shortcuts.
How UTrakk supports the 5 Whys method
UTrakk Daily Management System enables effective problem-solving to improve operations management and elevate performance, by providing multiple capabilities that support problem analysis tools like the 5 Whys.
Problem identification
Scheduled on a regular basis in UTrakk, floor tours and audits include digital checklists that enable managers to closely monitor floor operations and proactively identify variances.
The DMS solution's dashboards help identify problems and corroborate responses and root causes, with comprehensive, reliable data pulled from a variety of integrated data sources.
Documentation and trackability
UTrakk lets you document the 5 Whys process steps in a structured and accessible way. Questions and answers can be recorded in the Notes module, then linked to rituals – continuous improvement committees, production review meetings, audits, floor tours, etc. – to maintain complete trackability of the problem-solving process and justify a specific decision.
Team collaboration and involvement
UTrakk DMS offers collaboration tools that allow employees to simultaneously contribute to problem-solving. Teams can work together in real time, share ideas, and validate responses, facilitating cooperation between team members.
Planning and tracking of corrective actions
The Daily Management System enables effective corrective actions planning, assignment, and tracking, from ideation to completion. Managers can ensure that actions are implemented according to plan and quickly resolve problems before they impact operations.
Improvement tracking and adjustments
Using digitalized floor tours and audits, as well as UTrakk dashboards, managers and supervisors can track solutions and their results. By monitoring floor operations and KPIs, they can make sure that improvements are effective or make the necessary adjustments for optimal performance.
Turning challenges into opportunities: The power of the 5 Whys and UTrakk
By breaking a problem down to the root cause, the 5 Whys method offers valuable clarity for sustainable solutions. Accessible, simple, and practical, it can be adapted to various business contexts, making it a simple yet powerful tool for any company seeking to improve its processes and proactively solve problems.
It is a fundamental method, even more so when combined with data analysis, structured action plans, and collaborative practices. This way, organizations can solve problems more quickly and prevent them from recurring.
UTrakk significantly optimizes this process by accelerating problem identification, providing detailed documentation, facilitating real-time collaboration and action planning, and supporting improvement tracking. With the DMS solution’s advanced features, companies can transform the way their teams approach problem resolution and establish a culture of continuous improvement and high performance.
