How To Use

The 5 Whys
And Introduction To
Failure Mode And
Effects Analysis
(FMEA)
Ramil Cristopher M. Inciong
BSIE-3101
 How to Use the 5 Whys
The model follows a very simple seven-step process:

1. Assemble a Team - Gather people who are familiar with the specifics of the problem,
and with the process that you are trying to fix. Include someone to act as a facilitator ,
who can keep the team focused on identifying effective counter-measures.

2. Define the Problem - If you can, observe the problem in action. Discuss it with your
team and write a brief, clear problem statement that you all agree on. For example,
"Team A isn't meeting its response time targets" or "Software release B resulted in too
many rollback failures."
Then, write your statement on a whiteboard or sticky note, leaving enough space
around it to add your answers to the repeated question, "Why?"
How to Use the 5 Whys
3. Ask the First "Why?“ - Ask your team why the problem is occurring. (For
example, "Why isn't Team A meeting its response time targets?")
Asking "Why?" sounds simple, but answering it requires serious thought.
Search for answers that are grounded in fact: they must be accounts of
things that have happened, not guesses at what might have happened.
This prevents 5 Whys from becoming just a process of deductive reasoning,
which can generate many possible causes and, sometimes, create more
confusion as you chase down hypothetical problems.
Your team members may come up with one obvious reason why, or several
plausible ones. Record their answers as succinct phrases, rather than as
single words or lengthy statements, and write them below (or beside) your
problem statement. For example, saying "volume of calls is too high" is
better than a vague "overloaded."
How to Use the 5 Whys
4. Ask "Why?" Four More Times - For each of the answers that you
generated in Step 3, ask four further "whys" in succession. Each time
frame the question in response to the answer you have just recorded.
Tip: Try to move quickly from one question to the next, so that you
have the full picture before you jump to any conclusions.
5 Whys
Example
(Single
Lane)
The diagram,
below, shows
an example of
5 Whys in
action,
following a
single lane of
inquiry.
5 Whys
Example
(Multiple
Lanes)
5 Whys Example (Multiple Lanes)

5 Whys Example
The 5 Whys method also allows you to follow multiple lanes of inquiry. An example
of this is shown in the Figure.

In our example, asking "Why was the delivery late?" produces a second answer
(Reason 2). Asking "Why?" for that answer reveals a single reason (Reason 1),
which you can address with a countermeasure.
5 Whys Example (Multiple Lanes)

Similarly, asking "Why did the job take longer than expected?" has
a second answer (Reason 2), and asking "Why?" at this point
reveals a single reason (Reason 1).

Another "Why?" here identifies two possibilities (Reasons 1 and 2)

before a possible countermeasure becomes evident.
There is also a second reason for "Why we ran out of printer ink"
(Reason 2), and a single answer for the next "Why?" (Reason 1),
which can then be addressed with a countermeasure.
 How to Use the 5 Whys
Step 5. Know When to Stop
You will know that you have revealed the root cause of the problem
when asking "why" produces no more useful responses, and you
can go no further. An appropriate countermeasure or process
change should then become evident. (As we said earlier, if you're
not sure that you've uncovered the real root cause, consider using a
more in-depth problem-solving technique like Cause and Effect
Analysis , Root Cause Analysis , or FMEA .)
If you identified more than one reason in Step 3, repeat this process
for each of the different branches of your analysis until you reach a
root cause for each one.
 How to Use the 5 Whys
Tip 1: The "5" in 5 Whys is really just a "rule of thumb ." In some cases, you may need
to ask "Why?" a few more times before you get to the root of the problem.
In other cases, you may reach this point before you ask your fifth "Why?" If you do,
make sure that you have not stopped too soon, and that you're not simply accepting
"knee-jerk" responses.
The important point is to stop asking "Why?" when you stop producing useful
responses.

Tip 2: As you work through your chain of questions, you may find that someone has
failed to take a necessary action. The great thing about 5 Whys is that it prompts you to
go further than just assigning blame, and to ask why that happened. This often points
to organizational issues or areas where processes need to be improved.
How to Use the 5 Whys
6. Address the Root Cause(s) - Now that you have identified at
least one root cause, you need to discuss and agree on the
countermeasures that will prevent the problem from
recurring.

7. Monitor Your Measures - Keep a close watch on how

effectively your countermeasures eliminate or minimize the
initial problem. You may need to amend them or replace them
entirely. If this happens, it is a good idea to repeat the 5 Whys
process to ensure that you have identified the correct root
cause.
 Key Points

The 5 Whys strategy is a simple, effective tool for

uncovering the root of a problem. You can use it in
troubleshooting, problem-solving, and
quality-improvement initiatives.

How to Use Start with a problem and ask why it is occurring. Make
sure that your answer is grounded in fact, and then ask
the 5 Whys the question again. Continue the process until you reach
the root cause of the problem, and you can identify a
countermeasure that will prevent it from recurring.

Bear in mind that this questioning process is best suited

to simple or moderately difficult problems. Complex
problems may benefit from a more detailed approach,
although using 5 Whys will still give you useful insights.
FAILURE MODE AND
EFFECTS ANALYSIS
(FMEA)
FAILURE MODE AND EFFECTS ANALYSIS
(FMEA)
Also called: potential failure modes and effects analysis; failure modes, effects,
and criticality analysis (FMECA)

Begun in the 1940s by the U.S. military, failure modes and effects analysis (FMEA)
is a step-by-step approach for identifying all possible failures in a design, a
manufacturing or assembly process, or a product or service. It is a common process
analysis tool.

"Failure modes" means the ways, or modes, in which something might fail. Failures
are any errors or defects, especially ones that affect the customer, and can be
potential or actual.
"Effects analysis" refers to studying the consequences of those failures.
FAILURE MODE AND EFFECTS ANALYSIS
(FMEA)
Failures are prioritized according to how serious their
consequences are, how frequently they occur, and how easily they
can be detected. The purpose of the FMEA is to take actions to
eliminate or reduce failures, starting with the highest-priority ones.

Failure modes and effects analysis also documents current

knowledge and actions about the risks of failures, for use in
continuous improvement. FMEA is used during design to prevent
failures. Later it is used for control, before and during ongoing
operation of the process. Ideally, FMEA begins during the earliest
conceptual stages of design and continues throughout the life of
the product or service.
FAILURE
MODE AND
EFFECTS
ANALYSIS
(FMEA)