5 Whys: An RCA Tool

One commonly used root-cause analysis technique is the 5 Whys. As the name suggests, this type of RCA involves asking why five times in relation to a specific problem.  

Here is an example of issues on involuntariness—a core forced-labor indicator—which in this case also involves debt bondage. Tap on the numbered icons to view the example:

Migrants working in fishing vessel X reported wanting to leave their jobs but could not.

Note: The first statement also opens another line of a 5 Whys-inquiry, as answers to the questions may directly relate to forced labor, as follows:

“Why did they want to leave their job?”

“The migrant fishers said they work under extremely hard working conditions. They explained that they hardly get enough rest, as they work close to 20 hours every day the whole time they are at sea. They often get sick and injured but are not given any medical assistance. If they displease the foreman, they are beaten up.”

Other root-cause analysis tools you can check out are the Fishbone diagram or the Pareto Principle, among others.

Below are some guidance and tips in using the 5 Whys to ensure that you do not miss any key questions that can uncover vital data:

Figure 3. Guidance and Tips for the 5 Whys

Example of 5 Whys for Problem Analysis/Diagnosis

It may be the case, too, that at your fourth or even third why, you have arrived already at a sufficient root cause, an aspect of the issue on which the UoA has influence, if not direct control of. Tap on the markers below to see such an example:

Figure 4. The 5 Whys

A third line of inquiry comes from the following response as to why workers are not reporting overcharges: 

The workers were threatened by the sub-agents. 

 Why? 

“There are no clear sanctions against sub–agents who charge fees. Also, the agency is not adequately monitoring the sub-agents.”

As you can see, there could be many reasons or factors to a labor issue, multiplying or creating a web of root-causes to a situation, reflecting its complexity and requiring that the solution be as multi-faceted as well.

Guide Questions in Evaluating a Root-Cause Analysis

In assessing a corrective action plan on issues identified by an SRA assessment, it may be helpful to ask the following questions:

1. Does the corrective action plan/improvement plan (FIPS) state clearly what the risk/violation is?

2. Is the causal relationship or the timelines of the antecedents and events that followed, including the risks/violations, outlined?

3. What are the factors that may have likely caused the issue?

4. What are the factors that may not have caused the risks/violations but may have likely contributed to it?

5. Does the action plan identify the root-causes?

6. Are the activities in the action plan relevant to the issue’s root-causes?

Knowledge Check

If you found this module helpful and would like more practical skills-building training, Verité offers the instructor-led course Problem Analysis and Solution Generation Tools for Corrective Action Planning. More information on this and other courses can be found here. 

Please note that the photos included in this toolkit are used solely to illustrate the locations and situations in which risks of violations to the standards are being discussed. The people shown in the photo(s) do not represent any specific person or group of people noted in the text.

Cover: Cristina Mittermeier/Conservation International

Objectives:
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Figure 1: RCA in Corrective Action Process:
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Figure 2: The 5 Whys:
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Background photo of quotation:
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Figure 3. Guidance and Tips for the 5 Whys:
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Example:
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Figure 4. The 5 Whys:
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Knowledge Check:
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END OF COURSE

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