5 Whys Analysis Template

Introduction

When it comes to high performance, quality management, and ISO 9001, finding and eliminating the root causes of problems is key to staying ahead of the game. The 5 whys analysis is a simple, yet incredibly powerful problem-solving tool. If you aim to maintain or achieve ISO 9001 compliance, understanding the 5 whys is essential as it will help you get to the bottom of every issue that comes your way. In this article, you’ll learn what the 5 whys analysis is, how the 5 why method supports your ISO 9001 quality management system, and how to use a 5 whys analysis template to keep your quality management processes running smoothly.

5 Whys Analysis Overview

The 5 whys is an iterative interrogative technique, which helps to identify the root cause of a defect or malfunctional process. The 5 why method was developed by Sakichi Toyoda to be used in Toyota Motor Corporation. One of the main principles of the 5 whys analysis is that there is always a single, root cause for every problem, which needs to be addressed. The fallacy of the 5 why method is that you need to ask why exactly five times – you need to keep on asking why until you reach a systemic issue or come up with a solution, which will prevent the problem from recurrences.

5 Whys Analysis and ISO 9001 Quality Management

ISO 9001 is the world’s most popular quality management standard, which helps organizations operate at the highest level. ISO 9001 standard’s clause 10.2 (Nonconformity and Corrective Action) explicitly requires reacting to nonconformities, taking action to eliminate their causes, and preventing recurrences. The 5 whys technique perfectly fits into ISO 9001 corrective action process due to its ability to thoroughly analyze causes of a problem and prevent further malfunctions.

Here is how the 5 why method benefits your quality management system:

• Revealing the true root causes of problems and not only addressing their symptoms

• Preventing further nonconformities by eliminating issues at their source

• Facilitating the improvement of your QMS by using the information about root causes

• Enabling you to fulfill ISO 9001 requirements by providing documentary evidence of a systematic approach to problem-solving

• Demonstrating compliance with quality management standards by addressing problems in a structured, objective manner

The 5 whys analysis allows you to meet the requirements related to corrective actions (clause 10.2) of ISO 9001. It enables you to effectively manage and control the quality of your products or services according to ISO 9001 standard.

5 Whys Analysis: Conduct the Analysis Right

To get the most out of the 5 whys analysis, use this step-by-step instruction:

1. Clearly State the Problem

Begin the analysis by defining the problem, which you need to solve. At this stage, you need to clearly define the issue as a question, and put aside any assumptions or preconceived notions. For example:

Problem: “Customer XYZ received shipment of product A with 15% damaged goods on October 26th.”

2. Ask the First “Why?”

The next step is to ask the first “why” question. At this stage, you need to identify possible reasons for the problem, which you’ve formulated in step 1.

Why? “Why did customer XYZ receive shipment of product A with 15% damaged goods on October 26th?”

Answer: “Because the packaging was insufficient to withstand the impact of transportation.”

3. Continue Asking “Why?”

Take the answer from the previous “why” question and shape the next “why” question based on it. Keep asking “why” until the root cause of the problem is revealed. As a rule, this will take no more than 5 times:

1. Why? “Why was the packaging insufficient to withstand the impact of transportation?”

Answer: “Because the packaging material was changed to a cheaper material without conducting any tests.”

2. Why? “Why was the packaging material changed to a cheaper material without conducting any tests?”

Answer: “Because the purchase department was under pressure to reduce costs and they didn’t conduct the tests.”

3. Why? “Why did the purchase department decide to change the packaging material without conducting the tests?”

Answer: “Because there is no system in place to review all material changes that could affect the product quality.”

4. Why? “Why is there no system in place to review all material changes that could affect the product quality?”

Answer: “Because the procedures to manage and control the material procurement and changes within the QMS are incomplete/not followed.”

4. Determine the Root Cause

At this stage, you need to define the root cause of the problem. You’ve identified the root cause of the problem, when asking why one more time would not bring any new insights or information, which could help to solve the problem. The root cause of our problem is incomplete/not followed procedures to manage and control the materials procurement and changes within the QMS. By fixing this issue, we’ll effectively prevent similar problems from occurring in the future.

5. Implement Corrective Actions and Verify Their Effectiveness

Develop corrective actions, which will eliminate the causes of the problem. Make sure to take responsibility for the corrective action by designating a person, who will be accountable for it and set a deadline for its completion. Finally, you need to verify the effectiveness of the corrective action by checking if the problem still occurs.

5 Whys Analysis Benefits

The 5 whys technique is an incredibly powerful tool to identify the root cause of any problem, which your business may face. Here are some of the benefits of using the 5 whys analysis in your quality management system:

• Easy to understand and apply

• Helps to thoroughly analyze the causes of a problem

• Enables you to prevent similar problems from happening in the future

• Can be used in combination with other problem-solving techniques, such as the fishbone diagram

• Keeps you in compliance with ISO 9001:2015 by helping you fulfill the requirements of clause 10.2

Using a 5 whys analysis template will allow you to efficiently conduct analyses to identify the root causes of problems in accordance with ISO 9001 and continually improve your QMS.

5 Whys Analysis Template: A Checklist for Completing the 5 Whys

A properly designed 5 whys analysis template will help you to keep track of the problem and its causes, assign responsibilities and due dates for corrective actions, and ensure that the corrective actions successfully eliminate the causes of the problem. A good 5 whys analysis template should include the following elements:

• Problem statement – A brief description of the problem under analysis

• Date – The date, when the analysis was conducted

• Team Members/Facilitator – People involved in the analysis

• The 5 Whys – Questions and answers from the analysis

• Root Cause – The root cause of the problem

• Corrective Action – Corrective actions, which need to be taken to solve the problem

• Responsible – Person, who needs to take corrective action

• Deadline – Deadline to take corrective action

• Verified? – An opportunity to verify the effectiveness of the corrective action and make notes about it

• Status – Status of the problem (open/closed)

5 Whys Analysis: Expert Tips and Notes

Here are some final words of advice regarding the 5 whys analysis technique:

- Don’t be afraid to ask more than 5 whys – It is normal to ask more than 5 why questions if you need to dig deeper to identify the root cause of the problem.

- Go deeper than symptoms – Avoid getting stuck on the symptoms of the problem and try to get to the bottom of it.

- Be objective – You should avoid putting any judgment on the answers to the why questions. Instead, try to remain objective and look at the answers from a systemic perspective.

- Don’t blame people – Try to stay focused on the processes, which failed rather than individuals.

- Pair the 5 whys analysis with other tools – Analyzing complex business problems with the help of just the 5 why method may not be enough. In such cases, you can combine the 5 why analysis with the fishbone diagram to get a full understanding of the situation.

5 Whys Analysis: Questions and Answers

The 5 whys analysis is a powerful tool, which helps businesses of all sizes to continually improve their products and processes. Being easy to use, it enables organizations to identify the root causes of problems they encounter and prevent them in the future. What’s more, the 5 whys analysis method perfectly fits within the requirements of ISO 9001:2015 quality management standard. Using a 5 whys analysis template will help you to consistently conduct analyses and continually improve your quality management system.