lean root cause problem solving

Guide: Root Cause Analysis

Author: Daniel Croft

Daniel Croft is an experienced continuous improvement manager with a Lean Six Sigma Black Belt and a Bachelor's degree in Business Management. With more than ten years of experience applying his skills across various industries, Daniel specializes in optimizing processes and improving efficiency. His approach combines practical experience with a deep understanding of business fundamentals to drive meaningful change.

Root Cause Analysis (RCA) is a key tool in continuous improvement, acting as a systematic approach to identify and tackle the underlying issues behind problems. RCA aims not only to provide a temporary fix but to offer long-lasting solutions by addressing the root causes.

RCA, such as the Fishbone Diagram , the 5 Whys , and FMEA . Whether you’re looking to solve complex challenges or improve cost-efficiency, this guide will offer understanding of how to identify the root cause of problems with useful Lean Six Sigma tools.

What is Root Cause Analysis?

Root Cause Analysis, often referred to as RCA, is like being a detective for problems in your business or project. Imagine you have a leaking pipe in your house. You could keep mopping up the water every time it leaks, but that’s not really solving the issue. The right thing to do is find out why it’s leaking in the first place and fix that. RCA works the same way; it helps you find out the “why” behind a problem so you can fix it for good.

Structured Approach

When we say RCA is a “structured approach,” we mean it’s not just random guesswork. It’s a planned way to dig deep into a problem. You will follow certain steps and use specific tools to figure out what’s really going on. This makes sure you’re not just treating the “symptoms” of the problem, like mopping up water from a leak, but you’re finding out why the problem is happening in the first place.

Identify Underlying Reasons

The “underlying reasons” are the real culprits behind a problem. For example, if a machine in a factory keeps breaking down, simply repairing it each time isn’t enough. You need to find out why it’s breaking down. Is it old? Are people using it wrong? RCA helps you answer these kinds of questions.

Long-term Solutions

The coolest part about RCA is that it’s focused on long-term solutions. Once you know the root cause of a problem, you can create a fix that will (hopefully) make sure it never happens again. This is way better than just putting out fires all the time.

By understanding and using RCA, you’re not just stopping at “What is the problem?” You’re going the extra mile to ask, “Why did this problem happen?” and “How can we make sure it doesn’t happen again?” That’s a game-changer in making things better for the long run.

Importance of Root Cause Analysis

Understanding the “why” behind a problem isn’t just something that’s nice to do; it’s crucial for several reasons.

Problem Solving

Imagine you have a puzzle, but all the pieces are jumbled up. Trying to see the whole picture from this mess would be overwhelming, right? RCA is like sorting these puzzle pieces into groups; maybe by color or edge pieces versus middle pieces. When you break down a big, complex problem into smaller parts, it becomes much easier to solve. RCA helps you dissect a problem into its basic elements so you can tackle each one individually. This makes it easier to find out what’s really going wrong and fix it.

Cost-Efficiency

You know the saying, “Time is money”? Well, constantly fixing the same problem over and over again is like throwing both time and money down the drain. If you use RCA to get to the bottom of an issue and solve it at its root, that issue is less likely to come back. This means you spend less time, effort, and money on it in the future. For a business, this is a big deal because it means you can focus on growing and improving, rather than fixing the same old problems. This is where most businesses fail to progress as they spend the day to day activities fire fighting repreated problems.

Quality Improvement

Let’s say you run a bakery, and you notice that your chocolate chip cookies are coming out burnt too often. You could just toss the burnt cookies and make a new batch, but that doesn’t stop the next batch from burning too. If you use RCA to find out why they’re burning—maybe the oven temperature is wrong or the baking time is too long—you can fix that issue and make perfect cookies every time. This makes your customers happy and keeps them coming back. In the same way, RCA helps you improve the quality of your products or services by fixing the real issues, not just the symptoms. This leads to happier customers and better reviews, which are good for any business.

Types of Root Cause Analysis Methods

When it comes to finding the real reason behind a problem, one size doesn’t fit all. Different situations may require different approaches. That’s why there are several methods for conducting RCA. Let’s explore three of the most commonly used methods.

Fishbone Diagram (Ishikawa)

Imagine a fish. The head represents the problem you’re facing, and the bones branching off from the fish’s spine are the possible causes of the problem. This is what a Fishbone Diagram looks like. Also known as an Ishikawa Diagram or Cause and Effect Diagram, this method helps you visually break down a problem into different categories or “themes.”

For example, if you’re running a restaurant and customers are complaining about long wait times, you could use a Fishbone Diagram to categorize potential causes into themes like ‘Staffing,’ ‘Kitchen Efficiency,’ ‘Order Process,’ etc. Within each theme, you list out possible root causes. This helps you see the whole picture and makes it easier to identify where the real issue might be coming from.

You can learn more about the fishbone diagram process with our guide

Remember being a curious kid and asking “Why?” about everything? The 5 Whys method is pretty much the same. Start with the problem at hand and ask “Why did this happen?” Once you have an answer, ask “Why?” again, digging deeper. Keep asking “Why?” until you’ve asked it five times or until you reach a point where the root cause becomes clear.

For example, if a machine in a factory stops working, you could ask:

• Why did the machine stop? (Answer: The motor burned out.)
• Why did the motor burn out? (Answer: The motor was overloaded.)
• Why was the motor overloaded? (Answer: The machine was running at high capacity for too long.)
• Why was the machine running at high capacity for so long? (Answer: There was a backlog of orders.)
• Why was there a backlog of orders? (Root Cause: Poor planning and scheduling.)
• This helps you trace back the chain of events to find the root cause of the problem.

You can learn more about the 5 Whys process with our guide.

FMEA (Failure Modes and Effects Analysis)

FMEA is like looking into a crystal ball to see what could go wrong in the future. It’s a way to evaluate different ways a process or product could fail and to understand the impact of those failures. You list out all possible failure modes, how likely they are to happen, how bad the impact would be, and how well you could detect them before they cause problems. This helps you prioritize which potential issues need immediate attention.

Below is an example from a manufacturing business. The higher the RPN (risk priority number) the more important it is to address the issue.

You can learn more about the FMEA with our guide

Selecting an RCA method

If you are new to root cause analysis it can be difficult knowing which approach to use to solve your problem. This can be made simpler by considering the below

Is the problem simple and straightforward?

Use The 5 Whys Method

Is the problem complex with multiple factors?

Use Fishbone Diagram (Ishikawa)

Is a quantitative risk assessment needed?

Use FMEA (Failure Modes and Effects Analysis)

Use other specialized RCA techniques or hybrid methods

The Five-Step RCA Process

RCA isn’t something you can do haphazardly; it requires a structured approach to be effective. That’s where the Five-Step RCA Process comes in handy. It provides a roadmap to tackle your problem methodically. Let’s start by discussing the first step in detail.

Step 1: Define the Problem

Before you can find a solution to any problem, you need to know exactly what that problem is. You’d be surprised how often people jump to fixing things without clearly understanding what’s wrong in the first place. Defining the problem is like setting the GPS before going on a trip; it sets the direction for everything that follows. Here’s how to go about it:

Be Specific

Let’s say you’re running a coffee shop, and you notice that customers aren’t coming back. Simply saying, “Business is slow,” is too vague. A more specific problem statement would be, “Customer return rate has dropped by 20% in the last two months.”

Numbers don’t lie. Whenever possible, use data to define your problem. In the coffee shop example, you could look at sales records, customer surveys, or loyalty program participation to pinpoint the decline.

Consider the 5 Ws

• Who:  Who is affected by this problem? Is it just one department, the whole company, or maybe your customers?
• What:  What exactly is the issue? Try to describe it in one sentence.
• Where:  Where is this problem occurring? Is it in a specific location or across various places?
• When:  When did you first notice this problem? Is it a constant issue or does it happen only at certain times?
• Why:  At this stage, you may not know the root cause, but you might have some initial thoughts on why the problem might be occurring.

Write it Down

Once you’ve gathered all this information, write down your problem statement. This serves as a reference point for everyone involved in the RCA process, making sure everyone is on the same page.

After gathering all the relevant information, the problem statement for RCA could be:

“The rejection rate for Widget A produced on Line 3 has increased by 15% in Q2 2023 compared to Q1 2023, predominantly due to ‘Cracked Surface’ defects. This issue first became apparent at the beginning of Q2 and has been consistent since. Initial observations suggest it may be due to material quality or machine calibration issues.”

Step 2: Gather Data

Once you’ve clearly defined the problem, the next step is like being a detective gathering clues. You’ll need to collect all the relevant information that will help you get to the bottom of the issue. This stage is crucial because the quality of your Root Cause Analysis depends on the quality of your data. Here’s how to go about it:

Identify Data Sources

First, figure out where you can get the information you need. This could be anything from company records and employee interviews to customer surveys and machine logs. For example, if your problem is a decrease in product quality, you might look at manufacturing data, quality control reports, and customer feedback.

Types of Data to Collect

• Quantitative Data : These are numerical data that can be measured. Examples include sales figures, production rates, and customer satisfaction scores.
• Qualitative Data : These are descriptive data that can be observed but not measured. Examples include employee morale, customer comments, and the observable state of machinery or processes.

Timing Matters

When did the problem start? Was it gradual or sudden? Understanding the timeline can offer important insights into potential causes. Collect historical data if possible, as this will help you see trends and patterns.

Use Tools to Collect Data

Depending on your needs, various tools can help in data collection. Spreadsheets can be useful for tracking numbers and metrics. Surveys and questionnaires can capture customer or employee feedback. Advanced organizations may use specialized software for data collection and analysis.

Document Everything

Make sure to keep a record of all the data you collect. Organize the data in a way that’s easy to understand and analyze. Charts, graphs, or tables can be helpful here.

Verify Your Data

Before you move on to analyzing the data, make sure it’s accurate and reliable. Double-check your numbers, verify survey results, and confirm any observations. The last thing you want is to make important decisions based on faulty information.

Gathering data might seem like a time-consuming step, but it’s essential for a successful Root Cause Analysis. The more thorough you are at this stage, the easier it will be to identify the actual root cause of the problem later on.

Example Collected Data

Here’s a snapshot of what some of the collected data could look like:

Machine Logs (June 2023)

Quality Control Reports (June 2023)

Employee Interviews

• Operators have noticed the machine making unusual noises.
• Quality control staff report an increase in defects that look like cracks on the surface.

Step 3: Identify Possible Causes

After you’ve defined your problem and collected all the relevant data, it’s time to roll up your sleeves and dig into the “why” behind the issue. This step is like brainstorming, but more structured. You’re trying to come up with a list of all the things that could possibly be causing the problem you’ve identified. Here’s how to do it:

Choose a Method

As mentioned earlier, there are various methods you can use to identify possible causes. Two of the most common are the Fishbone Diagram and the 5 Whys. The choice depends on the nature of your problem.

• Fishbone Diagram: This is good for complex problems where multiple factors could be at play. The diagram allows you to visually organize potential causes into different categories, making it easier to focus your investigation.
• The 5 Whys: This method is more straightforward and works well for simpler problems. By repeatedly asking “Why?” you dig deeper into the issue until you identify possible root causes.

Involve the Right People

Don’t try to do this all on your own. Involve team members who are familiar with the problem area. They can offer valuable insights you might not have considered. If you’re dealing with a technical issue, for instance, having an engineer in the room can be incredibly helpful.

Generate a List of Possible Causes

Using your chosen method, start listing down all the potential causes. Be as comprehensive as possible. If you’re using a Fishbone Diagram, for instance, you’d list potential causes under each category or “bone” of the fish. For the 5 Whys, you’d document the chain of reasoning that leads you to potential root causes.

Use Your Data

Remember the data you collected in Step 2? Now’s the time to use it. Align your list of possible causes with the data to see which ones are most likely. For example, if one of your potential causes is “Poor Training,” but your data shows that all employees have completed mandatory training, then you might want to reconsider that cause.

Prioritize Causes

Not all causes are created equal. Some are more likely than others to be the root cause of your problem. Use your team’s expertise and the data you’ve collected to prioritize which causes to investigate further.

By the end of this step, you should have a well-organized list of possible causes for your problem, backed by data and expert input. This sets the stage for the next steps, where you’ll zero in on the actual root cause and figure out how to fix it.

Example of Identifying Possible causes

Following on with the same example, as this is a more complex issue with multiple factors, it makes sense to conduct the root cause analysis using the Fishbone method. Therefore, we need to ensure to include the right people—a cross-functional team. In this case, that would comprise production engineers who understand the machinery, quality control experts who have the data on defects, and machine operators who can provide firsthand experience and observations.

The next step is to collectively brainstorm and categorize potential causes for the increased rejection rate in Widget A. Utilizing the Fishbone Diagram, the team breaks down the problem into six major categories: Machine, Method, Material, Manpower, Environment, and Measurement.

Identifying the possible causes in our example

Following on with the same example, as this is a more complex issue with multiple factors, it makes sense to conduct the root cause analysis using the Fishbone method. Therefore, we need to ensure to include the right people—a cross-functional team. In this case, that would comprise production engineers who understand the machinery, quality control experts who have the data on defects, and machine operators who can provide firsthand experience and observations. The next step is to collectively brainstorm and categorize potential causes for the increased rejection rate in Widget A.  Utilizing the Fishbone Diagram, the team breaks down the problem into six major categories: Machine, Method, Material, Manpower, Environment, and Measurement.

Step 4: Determine the Root Cause

After identifying a list of possible causes, it’s time to put on your detective hat again and figure out which one is the real culprit—the root cause of your problem. 

This is a critical step, as identifying the wrong cause can lead you down a path of ineffective solutions. Here’s how to go about it:

Review Your List of Possible Causes

Start by revisiting the list you made in the previous step. This will serve as your “suspect list” in identifying the root cause. At this point, you’ve already done some initial prioritization, so you have an idea of which causes are most likely.

Analyze the Data

Remember the data you collected in Step 2? Now is the time to dive deep into it. Compare each possible cause against the data to see if it holds up. Look for patterns, correlations, or anomalies that might point to one cause over the others.

For example, if you’re dealing with a decrease in product quality and one of your possible causes is “Faulty Raw Materials,” you could look at inspection reports, batch numbers, and supplier records to see if there’s a correlation.

Conduct Tests or Experiments

Sometimes, analyzing existing data isn’t enough. You might need to conduct additional tests or experiments to validate or rule out possible causes. For instance, if you suspect a machine is malfunctioning and causing a problem, you might run it under controlled conditions to see if the issue repeats.

Use Logical Reasoning

Sometimes the root cause isn’t obvious, even with data and testing. In such cases, logical reasoning can help. You might use deductive reasoning to rule out unlikely causes or inductive reasoning to generalize from specific observations.

Involve Experts

If you’re stuck or the root cause isn’t clear, don’t hesitate to consult experts. These could be internal team members with specific expertise or external consultants who specialize in the problem area you’re investigating.

Confirm the Root Cause

Before you move on to finding a solution, make sure you’ve found the real root cause and not just a symptom of a deeper issue. Validate your findings by asking:

• Does this cause explain most or all of the problem?
• If we fix this, is it likely that the problem will be solved?
• Do most team members agree that this is the root cause?

Once you’ve determined the root cause, document it clearly. You’ll use this information in the next step to develop and implement a solution that addresses the issue at its core, ensuring it’s less likely to recur in the future.

Determining the Root Cause of our Example

Continuing with our example, the cross-functional team now shifts its focus to determining the root cause of the increased rejection rate for Widget A. Armed with their prioritized list of possible causes and the data gathered, they delve into the next step of the RCA process.

The team begins by revisiting the “suspect list” generated using the Fishbone Diagram. Machine-related factors, particularly temperature fluctuations, pressure inconsistencies, and cycle time variability, are at the top of this list, followed by material quality concerns. Analyze the Data Digging deeper into the data collected, the team finds that the temperature, pressure, and cycle time increases directly correlate with the spike in the ‘Cracked Surface’ defect type. They also note that the unusual noises observed by machine operators started to occur around the same time the defects increased. Conduct Tests or Experiments To validate these observations, the team decides to run the molding machine under controlled conditions, varying one parameter at a time while keeping the others constant. After a series of tests, they discover that an increase in temperature directly leads to the ‘Cracked Surface’ defects in the widgets. Use Logical Reasoning Using deductive reasoning, the team rules out other possible causes. For instance, since all operators have completed mandatory training and the material batches show no signs of contamination, these are less likely to be the root causes. Confirm the Root Cause After careful consideration and validation, the team reaches a consensus that the root cause of the problem is “Temperature Fluctuations in the Molding Machine.” This conclusion satisfies the criteria for root cause identification: It explains most, if not all, of the ‘Cracked Surface’ defects. Fixing this issue is likely to resolve the problem. Most team members agree that this is the root cause. The team documents this root cause clearly and prepares for the next step in the RCA process: developing and implementing a solution that will fix this issue at its core, thereby preventing its recurrence in the future.

Step 5: Implement and Monitor Solutions

Congratulations, you’ve identified the root cause! But your journey doesn’t end here. The whole point of Root Cause Analysis (RCA) is to not just find the root cause but to fix it so the problem doesn’t happen again. This is where Step 5 comes in, where you implement solutions and make sure they actually work. Here’s how to go about it:

Develop a Solution Plan

The first thing you need to do is come up with a plan for how you’re going to fix the root cause you’ve identified. This should include:

• What  needs to be done: The specific actions that will address the root cause.
• Who  will do it: The people responsible for each action.
• When  it will be done: A timeline for implementation.
• How  it will be done: The resources and methods needed to implement the solution.

Gain Approval and Support

Before you start making changes, make sure you have the necessary approvals. This might mean getting a budget approved or getting buy-in from key stakeholders. The more support you have, the smoother the implementation process will be.

Implement the Solution

Now it’s time to roll up your sleeves and get to work. Follow the plan you’ve developed, and start implementing the solution. This could involve anything from retraining staff and revising procedures to repairing equipment or introducing new technology.

Monitor Effectiveness

You can’t just implement a solution and walk away. You need to monitor how well it’s working. This means going back to the data you collected in Step 2 and continuing to track those metrics. Are they showing improvement? If not, you may need to revisit your solution or even go back to earlier steps in the RCA process.

Make Adjustments as Needed

Sometimes a solution that looks great on paper doesn’t work out as well in the real world. If you find that your solution isn’t as effective as you’d hoped, be prepared to make adjustments. This could mean tweaking your current solution or going back to the drawing board to identify a different root cause.

Document the Process

Don’t forget to document everything you’ve done, from the solutions you implemented to the results you achieved. This documentation can be invaluable for future problem-solving efforts and for creating a knowledge base that can help prevent similar problems in the future.

Implementing and monitoring solutions of our example

After identifying “Temperature Fluctuations in the Molding Machine” as the root cause, the team crafts a detailed solution plan: What Needs to Be Done : Overhaul the machine’s cooling system and recalibrate temperature settings. Who Will Do It : A dedicated team of production engineers and machine operators. When It Will Be Done : To be completed within a two-week timeframe. How It Will Be Done : Allocate necessary resources like new cooling components and software for recalibration.

Gain Approval and Support Before proceeding, the team prepares a budget proposal and secures approval from management. They also consult with the quality control team and machine operators to gain their buy-in, ensuring a smoother implementation process. Implement the Solution The team then sets out to execute the plan. The cooling system is overhauled, and the machine is recalibrated. A pilot run is conducted to ensure that the new settings are effective in maintaining consistent temperature levels. Monitor Effectiveness After implementing the changes, the team goes back to the data. They continue to monitor the same metrics—temperature, pressure, cycle time, and defect count. Initial results show a significant reduction in the ‘Cracked Surface’ defect type. The temperature fluctuations have notably decreased. Make Adjustments as Needed While the initial results are promising, the team remains vigilant. They agree to meet bi-weekly to review the data and make any necessary adjustments to the solution. So far, no further modifications are required. Document the Process The entire RCA process, from problem identification to solution implementation and monitoring, is meticulously documented. This documentation will serve as a valuable resource for future troubleshooting and continuous improvement initiatives. By diligently following this five-step RCA process, the team has not only identified the root cause of the problem but has also successfully implemented a solution to prevent its recurrence.

RCA is more than just a problem-solving method; it’s a strategic approach that dives deep into issues to eliminate them at their source. By following the Five-Step RCA Process, organizations can not only identify the real culprits behind their problems but also develop and implement long-lasting solutions. This guide walked you through each step in detail, from defining the problem to monitoring the effectiveness of your solutions. Remember, the quality of your RCA is as good as the effort and attention to detail you put into it. Whether you’re looking to improve product quality, enhance customer satisfaction, or increase cost-efficiency, a well-executed RCA can be a game-changing tool in your continuous improvement arsenal. It’s not just about fixing what’s broken; it’s about building something better for the long term.

• Williams, P.M., 2001, April. Techniques for root cause analysis . In  Baylor University Medical Center Proceedings  (Vol. 14, No. 2, pp. 154-157). Taylor & Francis.
• Gangidi, P., 2018. A systematic approach to root cause analysis using 3× 5 why’s technique.   International Journal of Lean Six Sigma ,  10 (1), pp.295-310.
• Wong, K.C., Woo, K.Z. and Woo, K.H., 2016. Ishikawa diagram.   Quality Improvement in Behavioral Health , pp.119-132.

Q: Why is Root Cause Analysis important?

A: Identifying and resolving the root cause of an issue is crucial for achieving sustainable improvements. Focusing only on symptoms can lead to temporary fixes that may mask the underlying problem. RCA helps you understand the systemic issues contributing to a problem, allowing you to put in place measures that result in lasting change.

Q: What are the common methods used for Root Cause Analysis?

A: Several methods are commonly used for Root Cause Analysis, including:

• 5 Whys : A simple technique that involves asking “why” multiple times until the root cause is identified.
• Fishbone Diagram (Ishikawa Diagram) : A visual tool used to categorize potential causes of a problem.
• Fault Tree Analysis : A graphical representation of various probable causes of an issue, arranged in a hierarchical manner.
• Pareto Analysis : Identifying the most significant factors contributing to a problem based on the Pareto principle.
• FMEA (Failure Modes and Effects Analysis) : A structured approach to identifying potential failure modes and their consequences.

Q: How do I start a Root Cause Analysis?

A: Initiating a Root Cause Analysis typically involves the following steps:

• Define the Problem : Clearly articulate what the issue is.
• Collect Data : Gather relevant information and evidence.
• Identify Possible Causes : List potential causes that could be contributing to the problem.
• Analyze : Use RCA methods like the 5 Whys or Fishbone Diagram to dig deeper.
• Identify Root Cause(s) : Through analysis, pinpoint the underlying cause(s).
• Develop and Implement Solutions : Create action plans to address the root cause(s).
• Review : Evaluate the effectiveness of the solutions and make adjustments as needed.

Q: Can Root Cause Analysis be applied to non-manufacturing sectors?

A: Absolutely, Root Cause Analysis is a versatile tool that can be applied in various sectors, including healthcare, IT, logistics, and even the public sector. The principles remain the same: identify the root cause to implement effective, long-term solutions.

Q: What are some common pitfalls to avoid in Root Cause Analysis?

A: Some common pitfalls to be aware of include:

• Rushing the Process : Skipping steps or rushing through them can lead to incorrect conclusions.
• Blaming Individuals : RCA should focus on systemic issues rather than blaming individual employees.
• Ignoring Data : Failing to consult data can result in assumptions that may not be accurate.
• Lack of Follow-Up : Without proper evaluation and adjustment, even good solutions may fail over time.

Daniel Croft

Daniel Croft is a seasoned continuous improvement manager with a Black Belt in Lean Six Sigma. With over 10 years of real-world application experience across diverse sectors, Daniel has a passion for optimizing processes and fostering a culture of efficiency. He's not just a practitioner but also an avid learner, constantly seeking to expand his knowledge. Outside of his professional life, Daniel has a keen Investing, statistics and knowledge-sharing, which led him to create the website www.learnleansigma.com, a platform dedicated to Lean Six Sigma and process improvement insights.

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Root-cause problem solving in the Ops 4.0 era

Passionate about the “human factor”: helping people develop broad skills and deep functional expertise. Experienced operations practitioner, faculty member, and author.

Wouter Michiels, a consultant based in the Brussels Office, has more than 10 years’ experience in petrochemical manufacturing, engineering, and supply chains.

April 15, 2019 To improve, organizations must consistently seek out and solve their problems—an insight that underpins lean management ’s emphasis on root-cause problem solving (RCPS). Indeed, companies that have used RCPS to build a problem-solving culture that lasts are able to avoid continuous firefighting by effectively preventing fires from starting.

But RCPS takes discipline and patience, which some leaders resist: a manager may be reluctant to use this model if she’s convinced that she has already identified an “operational solution.” Nevertheless, persuading her to join her team on a problem-solving journey can help uncover a more effective and sustainable set of solutions—most importantly by including the people who know the problem best: shop-floor employees. Their perspective often shows that the initial idea would not have addressed the problem’s real causes, and would have met with a lot of resistance from the people charged with implementation.

Ops 4.0 technologies are making it easier to overcome that resistance and invigorate root-cause problem solving performance. What follows is a non-exhaustive overview of how different technologies ( italicized ) could be applied in each of the five RCPS elements (exhibit).

1. Identifying and defining the problem

The rise of advanced analytics and business-intelligence applications allows companies can detect many more problems than in the past, and in a more effective way—so long as they have sufficient internal support to interpret the output . Examples include fraud detection in banking and insurance, as well as deviations from normal operating conditions of equipment in manufacturing plants. For the latter, the increased availability of high-frequency, high-precision sensors , together with the rise of the Internet of Things provides companies with larger data sets from which to identify problems.

2. Assessing root cause(s)

Once the problem is defined, root causes are often identified via the five-why methodology. Instead of using the traditional colored sticky notes to facilitate this exercise, companies can now use interactive whiteboards incorporating speech-to-text or handwriting-to-text algorithms, together with high-quality touch commands . Moreover, the whiteboards can link to data warehouses , thereby enabling self-service analytics or even machine-learning algorithms for performing the analyses required in confirming or rejecting potential root causes.

3. Designing solutions

Augmented- and virtual-reality applications can help designers’ creation process become even more productive. Faster iterations between the drawing board and a more real-life representation shorten lead times toward final design. Rapid prototyping and 3D printing can accelerate this process even further by bringing intermediate versions of the solution to life.

4. Testing solutions

Once a solution has been designed, it is crucial to test its efficiency and effectiveness. The increase in computing power enables companies to perform extensive computational simulations . Using digital twins helps organizations create virtual mirrors of their operations, allowing them to test ideas more realistically before implementation.

5. Sustaining, sharing, and continuously improving

The digital communication and collaboration platforms that are now in widespread use can often be linked with interactive tools such as digital whiteboards, minimizing the time teams spend on documentation so they can instead focus on the creative parts of problem solving. Having past records of problem-solving sheets available at only one touch avoids solving the same problem all over again.

The above list shows how the ancient art of root-cause problem solving can take shape in today’s environment. The question for most organizations is how to start, especially with technologies that can sound like science fiction. A learning center designed to replicate an actual, digitally enabled working environment can provide the first step, helping people experience the impact these technologies can achieve in a practical and realistic setting.

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• RCA 101 – 5-Why Analysis (Free Training)
• RCA 201 – Basic Failure Analysis
• RCA 301 – PROACT® RCA Certification
• RCA 401 – RCA Train The Trainer
• Other Trainings
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Root Cause Analysis with 5 Whys Technique (With Examples)

By Sebastian Traeger

Updated: April 23, 2024

Reading Time: 7 minutes

What Is the 5 Whys Technique?

Example of the 5 whys technique, how to conduct a 5 whys analysis in 5 steps, when to use a 5 whys analysis, using 5 whys template, tips for mastering the 5 whys technique, frequently asked questions about 5 whys.

With over two decades in business – spanning strategy consulting, tech startups and executive leadership – I am committed to helping your organization thrive.

At Reliability, we’re on a mission to help enhance strategic decision-making and operational excellence through the power of Root Cause Analysis, and I hope this article will be helpful! 

Our goal is to help you better understand 5 whys techniques by offering insights and practical tips based on years of experience. Whether you’re new to doing RCAs or a seasoned pro, we trust this will be useful in your journey towards working hard and working smart.

The 5 Whys Technique is like peeling an onion – it helps you uncover the underlying reasons behind a problem, layer by layer. By repeatedly asking “why” at least five times, this method digs deep to reveal the root cause of an issue. It’s a simple yet powerful problem-solving approach that aims to get to the heart of the matter rather than just addressing surface-level symptoms.

5 Whys Technique: A method that involves iteratively asking “why” five times to unveil the fundamental cause of a problem.

In essence, the 5 Whys Technique is not just about fixing what’s broken on the surface; it’s about understanding and addressing the deeper issues that lead to problems in the first place.

The 5 Whys Technique is like a detective, uncovering the truth behind recurring problems. Let’s take a look at how this method works in two different scenarios.

Case Study: Manufacturing Defects

Imagine a company that keeps encountering the same manufacturing defects despite various attempts to fix them. By using the 5 Whys Technique, they discovered that the defects were not caused by faulty machinery, as previously assumed, but rather by human error due to unclear operating instructions. This realization led to improved training procedures and clear work guidelines, ultimately eliminating the defects.

Application in Service Industry

Now, consider a service industry struggling with frequent customer complaints and service failures. Through the 5 Whys Technique, it was revealed that these issues stemmed from inadequate staffing levels during peak hours. By addressing this root cause, such as hiring additional staff or adjusting schedules, the service quality can significantly improve, leading to higher customer satisfaction.

These examples illustrate how the 5 Whys Technique can be applied across different sectors to identify and address underlying issues effectively.

Step 1: Identify the Problem

Before diving into a 5 Whys analysis, it’s crucial to clearly identify the problem or issue at hand . This step sets the stage for the entire process and ensures that the focus remains on addressing the right concern. Take the time to gather relevant data, observe patterns, and consult with team members or stakeholders to gain a comprehensive understanding of the problem.

Step 2: Ask ‘Why’ Five Times

Once the problem is clearly defined, it’s time to start peeling back the layers. The process involves asking “why” five times, not necessarily limited to five questions but enough to delve deeper into the underlying causes of the problem . Each “why” serves as a gateway to uncovering additional factors contributing to the issue. This iterative approach helps in identifying not just one cause, but multiple interconnected elements that may be at play.

By consistently probing deeper with each “why,” you can reveal hidden complexities and nuances that may have been overlooked initially. This method allows for a more thorough understanding of the situation, paving the way for effective solutions that address root causes rather than surface-level symptoms.

This structured approach encourages critical thinking and enables teams to move beyond quick fixes towards sustainable improvements.

The 5 Whys Technique is a versatile problem-solving approach that can be applied in various scenarios to uncover root causes and drive continuous improvement. Here are two key situations where the 5 Whys Analysis can be particularly beneficial:

Recurring Issues

• The 5 Whys Technique is especially useful when dealing with recurring issues. Whether it’s a manufacturing defect that keeps resurfacing or a persistent customer complaint in the service industry, this method helps identify the underlying reasons behind these repetitive problems. By repeatedly asking “why,” it becomes possible to trace the issue back to its root cause, allowing for targeted solutions that prevent reoccurrence.

Process Improvement

• Organizations constantly strive to enhance their processes and workflows for increased efficiency and quality. When seeking to improve existing procedures, the 5 Whys Technique serves as a valuable tool. By systematically analyzing the factors contributing to inefficiencies or bottlenecks, teams can gain insights into how processes can be optimized at their core. This method enables organizations to make informed decisions about process improvements based on a deep understanding of the underlying issues.

In both cases, the 5 Whys Analysis offers a structured yet flexible approach to delve into complex problems, making it an indispensable tool for driving meaningful change and progress within organizations.

When it comes to conducting a 5 Whys analysis, utilizing a structured template can greatly facilitate the process and ensure a comprehensive investigation into the root cause identification. Using RCA software such as EasyRCA can benefit the team by streamlining your 5-why process. Here’s how organizations can benefit from using a template:

Benefits of Using a Template

• Streamlined Process: A well-designed 5 Whys template provides a clear framework for conducting the analysis, guiding teams through the iterative questioning process. This streamlines the investigation, making it easier to navigate and ensuring that no crucial aspects are overlooked.
• Thorough Investigation: By following a predefined template, teams are prompted to explore various facets of the problem systematically. This ensures that all relevant factors are considered, leading to a more thorough and insightful investigation into the underlying causes.
• Consistent Approach: Templates offer a standardized approach to conducting 5 Whys analyses within an organization. This consistency promotes uniformity in problem-solving methods across different teams or departments, enhancing overall efficiency and effectiveness.

Customizing the Template

Organizations have the flexibility to customize 5 Whys templates according to their specific needs and industry requirements. This adaptability allows for tailoring the template to address unique challenges and incorporate industry-specific considerations. Customization may include:

• Adding Industry-Specific Prompts: Tailoring the template by incorporating prompts or questions relevant to particular industries or types of issues being analyzed.
• Incorporating Visual Aids: Enhancing the template with visual aids such as flow charts or diagrams can help teams better understand and communicate complex causal relationships.
• Iterative Refinement: Regularly reviewing and refining the template based on feedback and evolving organizational needs ensures that it remains aligned with current processes and challenges.

Customizing the template empowers organizations to harness the full potential of the 5 Whys Technique in addressing diverse problems while aligning with their unique operational contexts.

Encouraging Open Communication

In mastering the 5 Whys Technique as a problem-solving method, creating an environment that fosters open communication is paramount. When team members feel comfortable expressing their perspectives and insights, it leads to a more comprehensive exploration of the underlying causes of a problem. Encouraging open communication allows for diverse viewpoints to be considered, providing a holistic understanding of the issue at hand.

By promoting an atmosphere where individuals are empowered to voice their observations and concerns, the 5 Whys analysis can benefit from a rich tapestry of ideas and experiences. This inclusive approach not only enhances the depth of the analysis but also cultivates a sense of ownership and collective responsibility for addressing root causes within the team or organization.

Continuous Improvement Mindset

A key aspect of mastering the 5 Whys Technique is embracing a continuous improvement mindset. Rather than viewing problems as isolated incidents, this approach encourages teams to see them as opportunities for growth and development. By instilling a culture of continuous improvement, organizations can leverage the insights gained from 5 Whys analyzes to drive positive change across various aspects of their operations.

Fostering a mindset focused on continuous improvement entails actively seeking feedback, evaluating processes, and implementing iterative enhancements based on the findings. It involves an ongoing commitment to learning from past experiences and leveraging that knowledge to proactively address potential issues before they escalate. Embracing this mindset ensures that the 5 Whys Technique becomes ingrained in the organizational ethos, leading to sustained progress and resilience in problem-solving efforts.

As we wrap up our exploration of the 5 Whys Technique, let’s address some common questions that may arise regarding this powerful problem-solving method.

What is the primary goal of the 5 Whys Technique?

The primary goal of the 5 Whys Technique is to uncover the root cause of a problem by iteratively asking “why” at least five times. This approach aims to move beyond surface-level symptoms and address the underlying issues that lead to recurring problems.

Is the 5 Whys Technique limited to specific industries or sectors?

No, the 5 Whys Technique is versatile and can be applied across various industries and sectors. Whether it’s manufacturing, healthcare, service, or technology, this method offers a structured yet flexible approach to identifying root causes and driving continuous improvement.

How does the 5 Whys Technique contribute to continuous improvement?

By delving into the fundamental reasons behind problems, the 5 Whys Technique provides organizations with valuable insights for driving continuous improvement. It not only helps in resolving immediate issues but also fosters a culture of ongoing enhancement and development within an organization.

Can the 5 Whys Technique be used for complex problems with multiple contributing factors?

Yes, while initially designed as a simple and straightforward method, the 5 Whys Technique can certainly be applied to complex problems with multiple interconnected factors. By systematically probing deeper into each layer of causality, this technique enables a comprehensive understanding of intricate issues.

I hope you found this guide to 5 whys technique insightful and actionable! Stay tuned for more thought-provoking articles as we continue to share our knowledge. Success is rooted in a thorough understanding and consistent application, and we hope this article was a step in unlocking the full potential of Root Cause Analysis for your organization.

Reliability runs initiatives such as an online learning center focused on the proprietary PROACT® RCA methodology and EasyRCA.com software. For additional resources, visit Reliability Resources .

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Intro to problem solving.

Problem solving is critical to every position in every industry. In this course, you will learn to grasp the situation at the gemba (where the work is done) and use all your senses to understand what is truly happening.

All too often, people create countermeasures to perceived problems without digging deeper, asking the right questions, and thinking more.

Throughout the entirety of the course, we use a case example to illustrate the problem-solving approach as you are learning. In addition, you will deepen your understanding by applying this new way of thinking to a problem of your choice.

This course breaks down lean problem-solving concepts and techniques into simple, easily understood pieces.

How do you solve problems?

Learning objectives.

This course works for people new to the concepts of lean and continuous improvement, for individuals looking to improve their lean understanding and skills, and for organizations wanting to level set the lean knowledge of their workforce to speed progress.

Build a foundational understanding of problem types and problem solvingIdentify the four types of problems

Resolve business challenges by using scientific method, PDCA-based problem solving

Apply A3 thinking to solve problems

Clearly define problems, beginning with grasping the situation at gemba

Learn to break down vague problems to specific problems that can be solved to root cause

Time Estimates Per Unit*

*Actual times may vary.

Course Units

Expand to view lessons

Course Introduction

0.1 Welcome!

0.2 Platform Tour (optional)

0.3 Copyright Acknowledgment

0.4 Curriculum Concept Map (Visual Syllabus)

0.5 Supplemental Textbook

Unit 1: Lean Problem Solving

1.1.1 | Welcome to Introduction to Problem Solving!

1.1.2 | Lean Transformation Framework

1.1.3 | How We View Problems

1.1.4 | Lead with a Questioning Mindset

1.2.1 | What's a Problem

1.2.2 | Problems Problems Problems

1.2.3 | Four Types of Problems

1.2.4 | Four Types of Problem Solving

1.2.5 | Make the Problem Clear

1.2.6 | Problem Breakdown Analysis

1.2.7 | Unit 1 Personal Reflection

Unit 2: What is an A3?

2.1.0 Helpful information for working on Your A3

2.1.1 | Introduction to A3

2.1.2 | A3 Basics

2.1.3 | Simple A3 Example

2.1.4 | A3 as Good Storytelling

2.1.5 | It's Not a Template

2.1.6 | 5-Step A3 Example

2.1.7 | Your A3: Title and Owner

2.1.8 | Introduction and Chapter 1 (optional)

2.2.1 | Develop Problem Solvers

2.2.2 | Developing Problem Solvers at Herman Miller

2.2.3 | The A3 Process

2.3.1 | Basic Thinking, Mindset, Assumptions

2.3.2 | Porter’s First A3: Rush to a Solution

2.3.3 | Rethinking Thinking by Trevor Maber

2.3.4 | What do I need to know

2.3.5 | Chapter 2: Grasp the Situation—Part 1 (optional)

2.3.6 | Unit 2 Personal Reflection

Unit 3: Your A3

3.1.1 | Grasp the Situation at the Gemba

3.1.2 | Gemba Is More than a Place from Managing to Learn (optional)

3.1.3 | Go See, Ask Why, Show Respect

3.1.4 | Chapter 2: Grasp the Situation—Part 2 (optional)

3.1.5 | Porter’s First Revised A3

3.1.6 | Problem-solving Funnel (Part 1)

3.1.7 | Your A3: Background & Current Condition

3.2.1 | Analysis (part 1)

3.2.2 | Problem-solving Funnel (Part 2)

3.2.3 | Chapter 3: Goals and Analysis—Part 1 (optional)

3.2.4 | Your A3: Background & Current Condition - update

3.2.5 | Analysis (part 2)

3.2.6 | The Five Whys

3.2.8 | The Five Whys Animation

3.2.9 | Problem-solving Funnel (Part 3)

3.2.10 | Your A3: Goal, Target and Analysis

3.3.1 | Choose Countermeasures

3.3.2 | Countermeasures vs. Solutions (optional)

3.3.3 | PICKing Countermeasures

3.3.4 | Your A3: Countermeasures

3.4.1 | Create a Plan

3.4.2 | Nemawashi from Managing to Learn (optional)

3.4.3 | Consensus/Agreement from Managing to Learn (optional)

3.4.4 | From Position Based Authority to Pull-Based Authority (optional)

3.4.5 | Chapter 5: Plan and Followup—Part 1 (optional)

3.4.6 | PDCA from Managing to Learn (optional)

3.4.7 | PDCA Improvement

3.4.8 | Your A3: Plan

3.5.1 | Followup

3.5.2 | Chapter 5: Plan and Followup—Part 2 (optional)

3.5.3 | Detailed A3 Template

3.5.4 | Your A3: Followup

3.5.5 | Conclusion and Getting Started (optional)

3.5.6 | Unit 3 Personal Reflection

3.5.7 | Course Summary

Final Course Survey and Certificate of Completion

Final Course Survey

Certificate of Completion

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Extra Resources

More books from the Lean Enterprise Institute

A3 Thinking Questions

More learning experiences from the Lean Enterprise Institute

More on the 'Ladder of Inference'

More on 'Leading with a Questioning Mindset'

About this course

• 0.5 hours of video content

Senior Instructor John Shook

Shook co-authored Learning to See, the book that introduced the world to value-stream mapping. He also co-authored Kaizen Express, a bi-lingual manual of the essential concepts and tools of the Toyota Production System. With Managing to Learn, Shook revealed the deeper workings of the A3 management process that is at the heart of Toyota’s management and leadership.

Worth every minute spent!

Christy leite.

This training covers what other root cause training don’t: The Social-Technical system which is equally important to using problem solving tools when handlin...

This training covers what other root cause training don’t: The Social-Technical system which is equally important to using problem solving tools when handling a problem. Problem definition is where most teams fall short. This training covers that well with excellent application examples. Definitely worth taking!

Wish i learned this at the beginning of my career

Jonathan fairweather.

would have saved alot of headake on alot of problem solving arguements ect and got to the root problem

Outstanding

William butdorf.

Very organized and professionally delivered.

It's Not Just a Piece of Paper

You really have to try and put the simplest problem you think you have and see if you can fix or solve it with a sentence or paragraph about what you should ...

You really have to try and put the simplest problem you think you have and see if you can fix or solve it with a sentence or paragraph about what you should do. Then apply the A3 methodology... I bet you find it isn't one simple problem and you might just discover how complex the problem is, what else is affected that you never realized, or who else might be aware or impacted by it. It's just thinking outside the box and being open to solving the problem. I think to many people don't want to expose a problem because they don't know how to fix it or that it's a failure to have problem at all

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How to Pursue the Root of a Problem

Written by Contributing Columnist: David Larsen, PSP, PMP, LSSMBB

Problems are frequently encountered by leaders, teams, and individual contributors. Problems can be viewed as opportunities to improve. At times, leaders can be treated as dumping grounds for other people’s problems.

Let’s discuss a collaborative approach to identify a problem, determine the potential root causes of a problem, and the actions to take to verify and validate root causes and drive effective problem solving. This approach can be applied to a one-off issue or a reoccurring problem that can no longer be ignored.

Identify the Problem

A key insight to the pursuit of root causation is knowing how the problem is defined, which determines whether it is solved. It is important to evaluate the situation so that the focus is on the problem, not on the symptoms. Consider the approach to defining the problem statement in three categories: the current state, gap(s), and the future state. Then facilitate a conversation with the team to understand the current state and identify the symptoms.

The symptoms can also be equated to the gaps or the pain points the team is experiencing within the process. Establish with the team the timeframe or trend for the problem, describing when and where was the issue first observed and the kind of trend is issue is following. Discuss the impact the problem is causing on the process; the impact(s) will likely be quantifiable in terms of cost, time, or quality. Learn the importance the process has to the team, department, or organization; the goal is to gain a better understanding of the urgency to arrive at an improvement to the problem.

The following questions are starting points to discuss with your team to gain insights and formulate the problem statement.

• What is the problem that needs to be solved?
• Why is it a problem? (highlight the pain)
• Where is the problem observed?
• Who is impacted?
• When was the problem first observed?
• How is the problem observed? (symptoms)
• How often is the problem observed? (error rate, magnitude, trend)

Understanding the Causes

Equipped with a clear problem statement, the next step is to identify and analyze potential root causes. An effective problem-solving tool is the Cause-and-Effect diagram. The Cause-and-Effect diagram became first known within industry as the Ishikawa or the Fishbone diagram because it has an appearance much like the skeleton of a fish. The diagram was first made popular by Dr. Kaoru Ishikawa in the late 1970s and early 1980s.

Image 1. Example of a Cause-and-Effect diagram. Image by David Larsen

The diagram (shown above) can be drawn in-person or virtually using your preferred application. The effect or problem is written to the right-side of the workspace. A horizontal line divides the workspace to the left into two equal parts. Popular categories to theme the contributing causes include 6Ps (Policy, Process, People, Procedure, Program and Product) or 6Ms (Measurement, Materials, Method, Mother Nature, Manpower, Machine).

Keep in mind, these categories are not rigid and can be a starting point and themed after brainstorming with the team. The categories become the branches off the horizontal line leading to the effect on the right-side of the workspace. The Cause-and-Effect diagram is best used to list out as many possible causes, secondary causes, and tertiary causes, until the team runs out of ideas. The goal to developing this diagram is to facilitate a fast-moving exercise so that the team can solicit as many ideas in as short period as possible.

A complimentary analysis method to the Cause-and-Effect diagram is the 5-Why analysis. The 5-Why analysis supports the team moving beyond causes or symptoms to understand the root cause of a problem . By repeatedly asking the question “Why” (five is a general rule of thumb), you can peel away the layers of symptoms which can lead to the root cause of a problem. Often, the apparent reason for a problem will lead to another question. Although this technique is called “5 Whys,” you may find that you will need to ask the question fewer or more times than five before you find the issue related to a problem.

Image 2. Example of 5-Why analysis. Image by David Larsen

Go, See, and Validate

The results of the Cause-and-Effect diagram and 5-Why analysis show the potential root causes, or hypotheses, as the diagrams are created based upon experiences of the team and not data. The next steps are for the identified root causes to be validated to determine if the hypotheses are true or false. The activities to validate the root causes include performing a Gemba walk to observe the process, a data collection plan, and analysis.

If your organization does not have system data in place, that’s okay. The data collection plan can include scope for the team performing the process to manually collect data for a timeframe to support root cause validation. It’s likely to be discovered that there are multiple causes to a problem’s existence, with individual root causes contributing to a percentage of the problem. The goal for validation is to have confirmation of root causes before applying resources to countermeasure and correct the problem.  Once the root causes are validated and identified, improvement efforts can be prioritized based upon the contribution each root cause has to the problem.

Monitoring and Sustaining

Defining the problem, collaborating with team members performing the process, and implementing solutions are the greatest efforts to continuous improvement initiatives. Once the solutions are in place and active, the challenge shifts to confirming the solutions have solved the problem. This involves developing a control plan with the team for data collection and monitoring the process improvements. This control plan is vital to confirm the target problem has been solved or can serve as a signal to continue the investigation.

Leaders, teams, and individual contributors have a role and responsibility to develop and maintain an organizational culture of continuous improvement. Problems are opportunities to improve a process and workflow. The Cause-and-Effect diagram and 5-Why analysis can support visualizing what can be perceived as an overwhelming problem and identify approachable avenues to pursue problem solving.

David Larsen is a certified Planning and Scheduling Professional, certified Project Management Professional (PMP ®), Lean Six Sigma Master Black Belt, author and podcast guest with more than 20 years of experience in human resources, healthcare, manufacturing, quality and process improvement. Success comes from challenging the current state and asking tough questions. He coaches and develops others while practicing servant leadership; striving to establish collaborative and trustful relationships with individuals at all levels. He has experience leading large and complex cross functional project teams, coaching team members, and facilitating for success. A principle that he believes to be fundamental is learning to take every challenge as either a gateway to success or an opportunity to learn.

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Linkedin.com/in/davidlarsen

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Uncovering Root Causes: Beyond the Conference Room – The Lean Approach to Problem Solving

You don't find the root cause of a problem in a conference room.

OK, so we've gotten away from the whiteboard. Now what?

You might not even KNOW the root cause by thinking and talking out where the work is actually being done.

That's one of the most powerful lessons I've learned from former Toyota people I've been able to work with.

“We found the root cause,” somebody might say.

“How do you know?”

“Well, we talked through it,” they might respond.

My Toyota mentors would say that, at best, the team has a “suspected root cause.” It's a hypothesis. A supposition. It's not knowledge.

How do we confirm our suspicion about the root cause or causes? We need to TEST a countermeasure. If we remove the suspected root cause and the problem goes away (or gets significantly better), we might have proven something.

Root cause analysis doesn't end with talking. It starts with talking and must lead to action, which means experiments.

And sometimes those experiments don't work out… we didn't KNOW the root cause after all. So the process continues…

What's your experience with this approach? Have you ever been tripped up by stubbornly “knowing the root cause” and staying on the wrong path too long?

Please add your comment below and/or join the discussion on LinkedIn about this .

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This Root cause analysis seems to really fall into the improve phase of the DMAIC where we are actually performing tests and confirming our hypothesis. This also seems like a very trial and error technique. With the your conclusion of “So the process continues…” Is this process applicable if you are not sure of the Root Cause? Or is it better suited to test root causes that have a high probability of being true.

If we are unsure of the root cause but are just going through many tests this would be hard to fully implement. I think using this after further research would be more applicable.

Thanks for reading and commenting, Dane. I guess I was writing in shorthand, sorry about that.

Yeah, I think the process continues if our initial experiments show that we either 1) don’t really understand the root cause the way we did or 2) if our countermeasures weren’t as effective as we had expected.

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The 5 Whys Of Lean For A Root Cause Analysis

June 22, 2017

A relentless barrage of “why’s” is the best way to prepare your mind to pierce the clouded veil of thinking caused by the status quo. Use it often. -Shigeo Shingo

Sometimes everything does not go as you planned. Your best-laid plans may not work out, some tools might break, or wires might get crossed – all such possibilities always exist. In these situations, it is essential that you know what went wrong, so you can avoid the issue in the future. Occasions such as these are when you need to use ‘The 5 Whys’ – an exceptionally effective but simple process for performing the root cause analysis of an issue. Basically, the process is based on discussing an issue, a challenge, or an unexpected event to follow a chain of thoughts that takes you to the nature and cause of the problem. So, what are the 5 Whys and how does the process work?

Where the 5 Whys come from

The technique was introduced and improvised by Toyota Motor Corporation.

It is a strategic and vital component of the problem-solving regime for the company.

Taiichi Ohno , the architect for the company in the 1950s, has explained the 5 Whys process in his publication ‘ Toyota Production System : Beyond Large-Scale Production’.

He describes the 5 Whys as the basis of the scientific approach taken up by Toyota – he states that by repeating the question ‘why’ five times, the nature and the solution of a problem become clear.

He further encouraged teams to explore all the issues that are encountered by asking ‘why’ five times, so that the root cause (and an appropriate solution) for each problem can be reached.

How the 5 Whys process works

The 5 Whys method is carried out by arranging meetings right after a problem has been encountered by the company.

The problem can belong to multiple categories – it can be a development error, missed schedules, marketing campaign failure, or a site outrage. Whenever something undesired comes up, you can use this process for analyzing the root cause of the issue.

Before you can start, you should understand that the 5 Whys are not a tool to find someone to blame, but to understand why something unwanted or unexpected happened. Moreover, it can help the company in taking a few steps and making a few changes to ensure that the same problem doesn’t happen again.

Ask “why” 5 times

You’re supposed to go down five levels into the problem using the 5 Whys.

Even though this seems to be the easiest part of the process, it can be a bit complex. If you start off correctly, the rest of the things are more likely to fall in place.

Hence, the key is to get the first why right. While conducting this method, you may feel that would be beneficial to dig down into all the possible paths and analyze each extensively.

This, however, can add a lot to the list of things that have to be learned and corrected.

The 5 Whys is a ‘lean’ process, therefore it must allow us to pick one path and carry out just the required corrective measures in order to solve an issue. Hence, a lot of times you will have to pick just one out of multiple paths, and stick with it.

In case the problem reoccurs, then you can opt another route for solving it.

Convey the results and assign responsibilities

It is important that you share this information and the process results with the entire team.

This is because it provides everyone with an insight about what types of problems the company is facing, and how they can be solved.

With a certain analysis, it will be easier for the staff to understand exactly why the company is putting in some time to solve an issue rather than introducing new features.

In case this step creates an argument, that is something positive too because it tells you that there is a problem because either your team does not understand what you are doing and why it is important, or your analysis is not conclusive enough. You will have to determine where exactly the loophole is and then fix it.

Once the exercise of the 5 Whys has been performed, pair up every question with and answer and determine 5 relevant ‘corrective actions’ that everyone agrees upon. These actions will make up the solution for the issue that is being analyzed.

The leader for this activity should then assign relevant responsibilities to different members of the team/company for implementing the solution.

Example of the 5 Whys in Action

The problem that a company is facing is that their customers are dissatisfied because the products that are being shipped to them do not meet their exact specifications. So, how would the company determine the root cause of the problem using the 5 Whys? By asking the following questions:

Why are the customers being shipped products with wrong specifications?

Because the products were manufactured to specifications that were different from what the sales team and the customer agreed upon.

Why were the products manufactured with different specifications than those agreed upon by the sales team?

Because the sales team expedites its work by directly contacting the head of manufacturing for starting to build the products. An error was made in the communication between the sales person and the head of manufacturing which led to the wrong specifications being noted down.

Why did the sales person contact the head of manufacturing directly instead of following the company’s standard procedure?

Because the ‘start manufacturing’ form in the company requires the approval of the sales director before the work can begin – this slows down the process of manufacturing and would lead to a delay in shipping to the customers.

Why does the form require the approval of the sales director?

Because the director needs to be continuously updated with the sales/manufacturing details for discussion with the company’s CEO.

In this scenario, only four Whys were required to determine the root cause of the problem – the non-value added approval (signature) of the sales director is causing a breakdown in the manufacturing process. The company can now come up with a solution for ensuring that there is no delay in the manufacturing process without the sales person having to directly contact the head of manufacturing.

Note that like in this case, you may reach the cause of your issue in either less than five Whys or more than five Whys – just remember to keep asking why until you have determined the root of the problem.

• The 5 Whys are a lean technique for determining the root cause of an issue.
• For conducting the 5 Whys process, you must first ask the question ‘why’ five times and then pair each question and answer to draw up the corrective actions that your company needs to perform.
• After you have determined the root cause of the issue and its corrective actions, you must convey the results to your entire team and assign responsibilities to relevant individuals for solving the issue.

If you enjoyed this post, we would be very grateful if you’d help it spread by emailing it to a friend, or sharing it on Twitter or Facebook. Thank you!

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• Advantages of Lean Manufacturing
• Continuous Flow
• Synchronized Production
• Kanban / Pull System
• Level Production
• Reduction of Waste (Muda)
• Kaizen (Rapid Continuous Improvement Workshop)
• Standard Work Instructions
• 5S or Visual Management
• Key Performance Indicator(KPI)
• Total Productive Maintenance (TPM)
• Quick Changeover / SMED
• Root Cause Problem Solving
• Lean Roles and Responsibilities
• Quality Assurance
• Just In Time
• Line Balancing
• Lean layout
• Value Stream Mapping (VSM)
• Error Proofing / Poka-Yoke
• Team Leaders & Work Teams
• Team Meetings
• Lean Healthcare
• Some of Our Clients
• Contact Us  

Lean Masters uses a Practical Problem Solving (PPS) process to find the root cause of the problem and applies a permanent countermeasure to stop it. With our Root Cause Problem Solving Training we help our clients through a series of steps to identify the problem, determine the root cause of the problem, generate permanent countermeasures to stop the problem from reoccurring, and implement follow up measures to check progress. It’s not enough to just know the problem but knowing what you do with the problem to continuously improve or get better is the key to success.

With Lean Masters expertise in designing and implementing a Lean Production system that fits your business we deal with a lot of problems in different types of companies. We have a vast knowledge in Problem Solving Techniques and empowering workers to see problems as opportunities to improve, helping them recognize those abnormalities and training and teaching them to permanently apply a countermeasure/solution to stop it from happening again. We then coach them to apply the PDCA Cycle to evaluate the success of the process.

Reduction of Waste (Muda) Kaizen (Rapid Continuous Improvement Workshop) Standard Work Instructions 5S or Visual Management Key Performance Indicators (KPI) Total Productive Maintenance (TPM) Quick Changeover / SMED Root Cause Problem Solving Lean Roles and Responsibilities Quality Assurance Just-In-Time Line balancing Lean layout Takt Time Value Stream Mapping Error Proofing (Poka-Yoke) Team Leaders & Work Teams Team Meetings

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Problem Solving

In a lean transformation or any process improvement effort, identifying and closing gaps between current and target conditions.

In a lean management system, everyone is engaged in problem solving, guided by two key characteristics:

Everything described or claimed in the problem-solving process (the problem itself; the target condition, the direct cause, the root cause) should  be based on verifiable facts, not assumptions and interpretations. The burden of proof on the problem solver is emphasized through questions such as, How do you know that? Did you go to the gemba and grasp the actual condition first hand? How do you know you have agreement to your improvement plan?” 

There is a recognition that problem solving is never-ending, beginning rather than ending when implementation of an improvement plan starts. A plan is viewed as a theory of both what will address the problem’s cause and what it will take to implement a countermeasure to that cause. The implementation process is a learning process to find out what actually will be required to make progress toward the target condition.

See: Plan, Do, Check, Act (PDCA) ; Value-Stream Improvement

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