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Getting to the Root of a Problem Quickly

By the Mind Tools Content Team

5 Whys Root-Cause Analysis

Have you ever had a problem that refused to go away? No matter what you did, sooner or later it would return, perhaps in another form.

Stubborn or recurrent problems are often symptoms of deeper issues. "Quick fixes" may seem convenient, but they often solve only the surface issues and waste resources that could otherwise be used to tackle the real cause.

In this article and in the video, below, we look at the 5 Whys technique (sometimes known as 5Y). This is a simple but powerful tool for cutting quickly through the outward symptoms of a problem to reveal its underlying causes – so that you can deal with it once and for all.

Origins of the 5 Whys Technique

Sakichi Toyoda, the Japanese industrialist, inventor, and founder of Toyota Industries, developed the 5 Whys technique in the 1930s. It became popular in the 1970s, and Toyota still uses it to solve problems today.

Toyota has a "go and see" philosophy. This means that its decision making is based on an in-depth understanding of what's actually happening on the shop floor , rather than on what someone in a boardroom thinks might be happening.

The 5 Whys technique is true to this tradition, and it is most effective when the answers come from people who have hands-on experience of the process or problem in question.

The method is remarkably simple: when a problem occurs, you drill down to its root cause by asking "Why?" five times. Then, when a counter-measure becomes apparent, you follow it through to prevent the issue from recurring.

The 5 Whys uses "counter-measures," rather than "solutions." A counter-measure is an action or set of actions that seeks to prevent the problem from arising again, while a solution may just seek to deal with the symptom. As such, counter-measures are more robust, and will more likely prevent the problem from recurring.

When to Use a 5 Whys Analysis

You can use 5 Whys for troubleshooting, quality improvement, and problem solving, but it is most effective when used to resolve simple or moderately difficult problems.

It may not be suitable if you need to tackle a complex or critical problem. This is because 5 Whys can lead you to pursue a single track, or a limited number of tracks, of inquiry when, in fact, there could be multiple causes. In cases like these, a wider-ranging method such as Cause and Effect Analysis or Failure Mode and Effects Analysis may b e more effective.

This simple 5 Whys technique, however, can often direct you quickly to the root cause of a problem. So, whenever a system or process isn't working properly, give it a try before you embark on a more in-depth approach – and certainly before you attempt to develop a solution.

The tool's simplicity gives it great flexibility, too, and 5 Whys combines well with other methods and techniques, such as Root Cause Analysis . It is often associated with Lean Manufacturing , where it is used to identify and eliminate wasteful practices. It is also used in the analysis phase of the Six Sigma quality improvement methodology.

How to Use the 5 Whys

The model follows a very simple seven-step process: [1]

1. Assemble a Team

Gather together people who are familiar with the specifics of the problem, and with the process that you're 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?"

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 actually happened, not guesses at what might have happened.

This prevents 5 Whys from becoming just a process of deductive reasoning, which can generate a large number of 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."

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've just recorded.

What Is a 5 Whys Template?

The diagram, below, shows an example of 5 Whys in action, following a single lane of inquiry.

Figure 1: 5 Whys Example (Single Lane)

The 5 Whys method also allows you to follow multiple lanes of inquiry. An example of this is shown in Figure 2, below.

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 counter-measure.

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 counter-measure 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 counter-measure.

Figure 2: 5 Whys Example (Multiple Lanes)

Step 5. Know When to Stop

You'll know that you've revealed the root cause of the problem when asking "why" produces no more useful responses, and you can go no further. An appropriate counter-measure 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.

6. Address the Root Cause(s)

Now that you've identified at least one root cause, you need to discuss and agree on the counter-measures that will prevent the problem from recurring.

7. Monitor Your Measures

Keep a close watch on how effectively your counter-measures eliminate or minimize the initial problem. You may need to amend them, or replace them entirely. If this happens, it's a good idea to repeat the 5 Whys process to ensure that you've identified the correct root cause.

Appreciation

A similar question-based approach known as "appreciation" can help you to uncover factors in a situation that you might otherwise miss.

It was originally developed by the military to assist commanders in gaining a comprehensive understanding of any fact, problem or situation. But you can also apply it in the workplace.

Starting with a fact, you first ask the question, "So what?" – in other words, what are the implications of that fact? Why is this fact important?

You then continue asking that question until you've drawn all possible conclusions from it.

The major difference between this and the 5 Whys technique is that appreciation is often used to get the most information out of a simple fact or statement, while 5 Whys is designed to drill down to the root of a problem.

Tips for Using the 5 Whys Technique

Try to move quickly from one question to the next. That way, you'll have the full picture before you jump to any conclusions.
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 haven't stopped too soon, and that you're not simply accepting "knee-jerk" responses.
Know when to stop! The important point is to stop asking "Why?" when you stop producing useful responses.

Frequently Asked Questions About 5 Whys

1. what is the 5 whys technique.

The 5 Whys Technique is a problem-solving method involving repeatedly asking "why?" It's a way of quickly getting to the root cause of a situation.

2. Who Invented 5 Whys?

The 5 Whys technique was invented in the 1930s by Sakichi Toyoda, the Japanese industrialist, inventor, and founder of Toyota Industries.

5 Whys Infographic

See our infographic on the 5 Whys and use it to get to the root of your problems!

Bear in mind that appreciation can restrict you to one line of thinking. For instance, once you've answered your first "So what?" question, you might follow a single line of inquiry to its conclusion. To avoid this, repeat the appreciation process several times over to make sure that you've covered all bases.

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.

Start with a problem and ask why it is occurring. Make sure that your answer is grounded in fact, and then ask the question again. Continue the process until you reach the root cause of the problem, and you can identify a counter-measure 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.

[1] Pojasek, R. (2000). 'Asking "Why?" Five Times,' Environmental Quality Management , Volume 10, Issue 1, 79–84. Available here . [Accessed July 1, 2022.]

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Root Cause Analysis with 5 Whys Technique (With Examples)

By Sebastian Traeger

Updated: March 21, 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:

Screenshot of 5 Why Root Cause Analysis Software - EasyRCA 5 Why 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 .

Root Cause Analysis /

The 5 Whys Approach for Root-Cause Analysis: Definition, Example, and Template

Fahad Usmani, PMP

February 4, 2024

You often face a problem and conduct a simple brainstorming session to find a solution. You find the solution and implement it, but a little later, the problem resurfaces again with probably more intensity.

Such problems require a more in-depth analysis to find the root causes of the problems and tackle them permanently. The 5 Whys Approach (often referred to as “5Y”) is useful when finding solutions for recurring or difficult problems.

Today’s article will discuss the 5 Whys Approach and provide examples and templates.

Historical Background of the 5 Whys Approach

The 5 Whys Approach was developed by the Toyota Motor Corporation and popularized in the 1930s by Sakichi Toyoda, a Japanese industrialist and creator of Toyota Industries. Taiichi Ohno was also one of the founders of the technique. In Ohno’s book, Toyota Production System: Beyond Large-Scale Production, he said, “By saying ‘why’ 5 times, the essence of the issue and its solution become evident.”

It evolved and became more popular in the 1970s.

Toyota follows a “go and see” philosophy, where they make decisions based on an in-depth understanding of what is “really” happening on the shop floor rather than someone sitting in the meeting room and assuming what might have happened.

The 5 Why technique follows this philosophy, and it is the most effective when you get answers from people who have experience with the issues or the problem at hand.

What is the 5 Whys Approach?

The 5 Whys Approach is a problem-solving technique that helps identify the root cause of an issue by asking “why” 5 times to dive deeper into the layers of the problem.

The 5 Whys Approach is useful in all industries. A study published in the International Journal of Advanced Research in Management and Social Sciences shows how the 5 Whys Approach reduces defects and improves overall quality. The iterative nature of the questioning process helps uncover underlying issues rather than just addressing surface-level symptoms.

By continuously asking “Why?” 5 times, you can get to the source of the problem.

The 5 Hows technique then identifies a solution to the fundamental cause(s). The 5 Whys and 5 Hows are mutually beneficial. You find the root cause using the 5 whys approach, and then you find the solution with the 5 Hows method.

The 5 Whys and 5 Hows technique can help you get to the bottom of a problem and find a solution.

The 5 Whys dig into the issue, and the 5 Hows are used to flesh out the solution.

When Can You Use the 5 Whys Approach?

You can use the 5 Whys Approach when you have recurring problems. You can also use it to improve product and/or process quality.

This technique is useful for simple to moderate problems or issues as the 5 Why technique leads to a single cause, though a complex problem may have multiple root causes. In such situations, you can use other techniques such as cause and effect analysis , failure mode and effect analysis, etc.

The 5 Whys Approach is a straightforward, adaptable strategy. Even on the first try, you can uncover the root cause swiftly. You should use this method before using more advanced techniques.

As this technique requires time, you should use this method for the problems that affect the project most. You can use Pareto analysis to separate the most recurring issues, then use the 5 Whys Approach to identify a solution to these pressing concerns.

You can use this technique with any framework or methodology. You can use it in project management , lean manufacturing, Six Sigma, etc.

How to Use the 5 Whys Approach

Use the following steps to conduct the 5 Whys Approach :

1. Gather the Experts and Explain the Problem

Bring in people involved with the problem or issue for a brainstorming session. If you are not involved with the problem, get involved before participating in the session. You should also invite some experts who have experience solving similar problems.

Define the problem, write it on a whiteboard or a sheet of paper. Make sure that it is a straightforward problem statement , then write “why” 5 times vertically. Leave enough space between two whys, so you can write questions around them.

2. Ask the First “Why”

Ask the attendees why the problem occurred in the first place. Ensure that the attendees provide factual answers. Don’t allow participants to express their opinions or thoughts.

The attendees should only answer what has happened. This ensures that your assumptions are not included in the problem. This stops collecting a vast number of answers and stops becoming a process of guessing.

Record answers around the first “why.”

3. Ask “Why” Four More Times

You will turn the answer received in the first “why” to a “why” question and ask participants to answer this why again.

You can add why to the answer received from the previous response to make it another “Why.”

4. Stop When the Root Cause is Discovered

When you receive a satisfactory response or the root cause of the problem, there is no need to ask more whys, as it will waste your time.

For example, if you find the root cause of the problem after three whys, don’t go for the fourth why.

If you find more than one cause for the problem, do the same for different branches until you find the root cause for each reason.

The number 5 in 5 Whys is only a rule of thumb . You will often need to stop on the third or fourth why, and sometimes you may need more than 5 whys. As you continue the process, you will know when it is the right time to stop.

5. Determine and Implement Corrective Actions

After identifying the root cause(s), conduct another brainstorming session . You should list approved corrective activities to eradicate the issue’s root cause. You can use the 5 Hows method to figure out the answer. For example, “How can this problem be avoided?” Continue to ask “how” until you find a solution that eliminates the root cause.

6. Monitor the Solution

After implementing the solution, you must monitor it to ensure the solution is effective and the problem is solved entirely. Based on the feedback from the shop floor workers, you can update or modify the solution to make it more robust.

5 Whys Template

Below is an example template for the 5 Whys Approach.

5 Whys Approach Examples

Let’s review the 5 Whys examples to understand this technique better.

Problem Statement

The client declined to pay the interim payment.

Why does the client refuse to make the advanced payment?

We didn’t finish the activities on time.

Why didn’t we finish the activity on time?

Because the action took longer than expected.

What led to the action taking longer than expected?

First, we didn’t have enough materials for the exercise.

Why didn’t we have enough supplies with us?

We didn’t buy the materials in time.

Why didn’t we buy the materials sooner?

We didn’t look at the job timetable.

Failure to analyze the job timetable is the root cause of the problem.

Corrective Actions

To minimize the lack of communication and coordination, the project team should establish strong communication channels and hold regular progress meetings.

Problem Statement

Children don’t go outside to play

Benefits of the 5 Whys Approach

They encourage each team member to submit suggestions for ongoing improvements.
They are a highly effective, easy-to-use tool.
They allow you to find the root cause of the problem instead of its symptoms.
They avoid acting before you determine whether you’ve found the root cause of the problem.
They create a culture that values continual improvements.

Limitations of the 5 Whys Approach

The following are a few limitations of the 5 whys approach:

This technique often oversimplifies complex issues, thus leading to a superficial understanding of the problem.
This technique depends on the quality of the questions. If the questions are not good enough, the analysis may not provide an effective solution.
This exercise can become a blame game if it is not approached with a collaborative, non-judgmental mindset.
The 5 Whys are ineffective when dealing with problems that have multiple, interrelated causes.

Q1: What is the 5 Whys Approach?

The 5 Whys Approach is a problem-solving technique that asks “why” repeatedly to get to the root cause of an issue. It helps find the underlying factors contributing to a problem rather than just addressing the symptoms.

Q2: How does the 5 Whys Approach work?

The technique involves asking “why” 5 times in succession to delve deeper into the causes of a problem. Each successive “why” helps identify the immediate cause and pushes towards understanding the fundamental root cause of the issue.

Q3: When should I use the 5 Whys Approach?

The 5 Whys Approach is most effective for addressing recurring problems, complex issues, or situations in which the root cause is not immediately apparent. It’s also valuable for continuous improvement and preventing problems from reoccurring.

The 5 Whys are a problem-solving method to find the root causes of issues. They ask “why” 5 times to dig deeper into problems. They help uncover hidden reasons that allow you to find effective solutions. They are easy to use and can solve various problems, which will prevent them from recurring.

I am Mohammad Fahad Usmani, B.E. PMP, PMI-RMP. I have been blogging on project management topics since 2011. To date, thousands of professionals have passed the PMP exam using my resources.

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What is the 5 Whys framework?

Use the 5 whys to transform your problem-solving approach.

The 5 Whys framework is a problem-solving technique used to identify the root cause of a problem . It’s a simple but powerful way to uncover the underlying reasons behind a problem by asking the question “why” repeatedly. By doing so, you can delve beyond the symptoms and surface-level causes of a problem and reach the fundamental cause that is contributing to the issue. And by addressing the root cause, you have a better chance of implementing effective solutions and preventing the problem from recurring.

Dive into the 5 Whys: Origins, basics, and benefits

Let's demystify the 5 Whys and discover:

What is it?

How does it help identify the root cause of problems?

How does it lead to more effective resolutions?

We'll highlight the benefits that it brings to the table after we provide you with the origins.

Origins of the 5 Whys: From Toyota to today

The 5 Whys technique, a cornerstone in the Toyota Production System, was initially employed to zero in on the root cause of manufacturing issues. The ultimate aim of the approach was to eliminate waste, increase efficiency, and improve quality in manufacturing processes.

With applications beyond the realm of manufacturing, many different industries have adopted the 5 Whys technique over time, demonstrating its powerful ability to drill down to the heart of problems.

Potential of the 5 Whys: Benefits and impact

Incorporating the 5 Whys technique into your problem-solving arsenal brings many benefits, including enhanced efficiency and amplified productivity. It also fosters a proactive problem-solving attitude within your team.

Using the 5 Whys approach is especially beneficial as it hones in on the root cause of issue, which helps prevent its recurrence in the future. By taking corrective actions at the source, businesses can avoid repeatedly dealing with the same issue.

Mastering the 5 Whys: Step-by-step guide

Embarking on a 5 Whys journey is akin to mining for gold — digging through layers to unearth the precious nugget — the root cause of your problem.

Here's your step-by-step guide to ensure a successful excavation with the 5 Whys template .

Step 1: State your problem

Your journey with the 5 Whys begins by clearly stating your problem. This crucial first step lays the groundwork for the entire analysis.

Step 2: Ask your first Why?

Now it's time to get to work. With your problem defined, pose your first "Why" question. The question should address the problem you've just stated.

Step 3: Probe deeper with more Whys

Don't stop there! Keep probing with more "Why" questions. Each question should be a response to the previous answer. Per the classic technique, you'll typically ask five times. Remember, the goal is to dig deeper into the root cause.

Step 4: Unearth the root cause

You'll know you've hit the root cause when your "Why" questions no longer produce meaningful responses. More than likely, you’ve found the core issue that, if addressed, will prevent the problem from recurring.

Step 5: Develop and implement your solution

It's time to take action with the root cause in your sights. Develop a solution that tackles the root cause directly rather than just dealing with surface-level symptoms. And remember, the proof is in the pudding. Implement your solution and observe the effects.

5 Whys in action: Real-world applications and examples

To truly appreciate the 5 Whys, you have to see it in action. We'll explore how the 5 Whys technique is used for root cause analysis in UX Design by delving into a detailed example, demonstrating how to navigate user experience challenges.

UX Design case study: Navigating user experience challenges

Let's take a hypothetical scenario where we encounter a UX Design problem that'll benefit from using the 5 Whys method.

Initial problem : Our latest app design needs to improve user navigation.

Application of the 5 Whys method:

Why is navigation difficult? Users need help finding the search function.

Why are users having trouble finding the search function? The search function needs to be more easily visible.

Why isn't the search function easily visual? Because it's located within a menu, not on the main screen.

Why is it placed on a menu? We wanted to keep the main screen uncluttered.

Why'd we want to keep the main screen uncluttered? It'd enhance the user experience.

Solution implemented: We added a prominent search bar on the app's main screen.

Outcome: user complaints about navigational difficulties were reduced by 50%, leading to an increase in app usage and user satisfaction

Software development: Debugging with precision

For developers, the 5 Whys is a powerful tool for debugging. Let's walk through a hypothetical situation where code goes rogue.

Problem statement:

A recently launched app crashes whenever users try to sign up.

Question: Why does the app crash when users try to sign up?

Answer: Because there's an unhandled exception in the sign-up module

Second Why?

Q: Why is there an unhandled exception in the sign-up module?

A: Because it doesn't handle a case where a new user's email is already in the database.

Q: Why doesn't it handle the case where a new user's email is already in the database?

A: Because there's a missing condition, check for duplicate emails in the code.

By identifying and fixing these common missteps and pitfalls, you'll enhance your usage of the 5 Whys technique. This'll lead to precise root cause detection and practical solutions that address the issues.

Amplifying the 5 Whys with Fishbone Diagrams

You can amplify the 5 Whys by pairing it with a fishbone diagram , also known as the Ishikawa Diagram. This combination enhances problem-solving by mapping cause-and-effect relationships, aiding understanding and decision-making in complex projects.

To combine these methodologies, start by creating a fishbone diagram and map the different categories related to the main problem and their potential causes. For each potential cause, use the 5 Whys technique to explore the underlying reasons and identify the root cause for each branch on the diagram. The 5 Whys analysis will help you to challenge assumptions and discover the fundamental reasons driving each cause in a structured manner.

Miro has an easy-to-customize fishbone diagram template that can help you get started.

Perfecting your 5 Whys approach

To fully harness the power of the 5 Whys, it's crucial to adopt best practices and dodge common pitfalls.

Follow these best practices to perfect your use of the 5 Whys:

Be consistent

Consistency in the 5 Whys lies in persistent probing. Don't stop at initial reasons — repeatedly maintain your Why inquiries. This diligent uncovering of layers helps reveal the root cause.

Beware of assumptions

Assumptions can compromise the 5 Whys effectiveness. Stay on path and validate each Why with data. This grounding ensures your conclusions are fact-based, not assumption-driven.

Keep the big picture in mind

It's crucial to zero in on the problem, but don't let this tunnel vision distract you from the broader perspective. Effective solutions shouldn't only tackle the immediate problem, but they should also seamlessly blend with your overarching objectives and strategies.

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5 Whys: Examples, explanations, and how to find the causes of problems

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Guide: 5 Whys

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.

Last Updated: May 9, 2023
Learn Lean Sigma

5 Whys is a problem-solving technique used to get to the root cause of problems by asking the question of Why multiple times, but often 5 times giving it the name “5 Whys”. This allows people to address the root cause of issues instead of the symptoms of the root causes which is often what is seen as the problem.

Like a doctor diagnosing an issue such as neck pain, a painkiller will only address the symptoms of the neck pain and not the root cause of the pain. By getting to the root cause you can ensure a long-term fix to the root cause of the neck pain which could be caused by seating positions and not taking painkillers which is a short-term fix.

What is the 5 whys.

The 5 Whys is a root cause analysis problem-solving technique that aims to identify the root cause of a problem by repeatedly asking the question “Why?” five times or until the core issue is unveiled. Developed within the Toyota Production System , it’s one of fundamental tools in the Lean Six Sigma methodology.

Here’s how it works:

Begin with a clear and concise problem statement.
Ask “Why?” the problem occurred. Document the answer.
If this answer doesn’t identify the root cause, ask “Why?” again and document the subsequent answer.
Continue this process until you’ve either asked “Why?” five times or the root cause has been identified.

Lets go through an example, let’s say a machine stopped working:

Why? – The machine’s fuse blew.
Why? – The machine was overloaded.
Why? – There wasn’t adequate training on machine capacity.
Why? – Training materials were outdated.
Why? – There’s no review process for updating training materials.

In this case, the root cause is the lack of a review process for training materials, and addressing this will prevent similar issues in the future. Only treating the symptom in this situation would have been to change the fuse, for it then to regularly blow and cause additional downtime.

This is a good example where a machine stopping working’s root cause is cause by an issue what would not be obvious is first glace at the symptom of the problem and provides a clear example that root cause analysis is important to ensure that solutions are not jumped to before a through root cause analysis is conducted.

Why is the 5 Whys Important?

Understanding the 5 Whys is important because identifying symptoms of a problem is not the same as uncovering its root cause. If you only address symptoms this provides only temporary solution to the problem. However, understanding and resolving the root cause can prevent the issue from reoccurring.

The 5 Whys Problem-Solving technique is also useful for:

Problem Prevention: By identifying the root cause of the problem, businesses can implement long-term solutions, leading to more robust systems and processes and prevent the problem reoccurring.
Cost-Efficiency: Addressing root causes is often more cost-effective in the long run as it prevents recurrence and the associated costs of repeated problem-solving which usually involves the same people constantly firefighting the same issues such as repeated machine breakdowns.
Improved Processes: Regular use of the 5 Whys to identify the root causes of problems can highlight weaknesses in processes, leading to continuous improvement and optimization processes.
Empowerment: The use of 5 Whys by individuals a positive culture that promotes a deeper understanding of systems and processes, empowering teams to take ownership and responsibility in addressing issues.

How to Conduct a 5 Whys Root Cause Analysis?

Step 1: define the problem.

This is an important step as if the problem is not defined effectively it could result in focusing in the wrong problem. A good method for this could be to use the 5W1H Is/Is Not Problem solving technique to gain a common understanding of that the problem is.

When stating the problem you are going to conduct a 5 Whys on it is important to be specific about the issue and avoid ambiguous descriptions. Additionally, where data and information is available this should be collected and used as evidence that points to the actual problem rather than opinions of the problem.

Step 2: Ask the First “Why?”

Now you have a clear problem definition you should ask the question “Why did that happen?” This should be done to understand the problem without making assumptions and should be done with supporting facts and data that backs up the initial answer to the question.

Step 3: Continue to Ask Why?

Now you should have an answer to the first why. This should form the next step and ask why did that happen. This ensures you dont settle for the inisital surface-level answer or symptoms of the real problem and pushes you to understand the underlying issues.

When you continue to ask why you should:

Continuously question the previous answer
Challenge answer that seem like assumptions and lack evidence to support them to avoid going down the wrong route.

Step 4: Continue the Process

Keep the questioning focused on the problem
If you feel the questioning is going off track revert back to what the initial problem definition.
Ensure each answer provided logically leads to the next “Why?”
The 5 Whys process then concludes when further questions leads to no further valuable answers are given or the when the root cause of the issues becomes clear.

Step 5 Implement Solutions

Once you have identified the root cause the you need to address it by implementing a solution to prevent the problem reoccuring.

This should be a case of developing an actionable solution that address the root cause of the issue and not preventing the symptoms as addressing the symptom will likely cause the issue to reappear elsewhere.

Make sure you test the solutions to ensure they are effective in addressing the root cause, you should then continue to monitor the process over time to confirm the problem did not reappear in the same place or elsewhere.

If the problem does not re appear congratulations you have solved the problem!

An Example of 5 Whys Analysis

Below is a good example of a 5 Whys analysis done in a situation where there was a production downtime.

To summarize, the 5 Whys process is an effective problem-solving tool that can assist businesses in identifying the root cause of a problem and developing effective solutions. Teams can delve deep into underlying issues and develop targeted solutions that address the root cause of the problem by asking “why” multiple times.

The five steps of the 5 Whys process – defining the problem, asking “why” once, asking “why” more times, developing a solution, implementing the solution, provide a clear framework for problem-solving and can help ensure that the problem is effectively resolved. The 5 Whys process encourages teams to think critically and systematically, resulting in long-term solutions that are effective, targeted, and sustainable.

Benjamin, S.J., Marathamuthu, M.S. and Murugaiah, U., 2015. The use of 5-WHYs technique to eliminate OEE’s speed loss in a manufacturing firm. Journal of Quality in Maintenance Engineering , 21 (4), pp.419-435.

A: The 5 Whys technique is a problem-solving method that involves asking “why” multiple times to uncover the root cause of a problem or issue.

A: The 5 Whys technique involves repeatedly asking “why” to identify the underlying cause of a problem. After asking “why” five times or until the root cause is revealed, you can develop effective solutions to address the issue.

A: The primary purpose of the 5 Whys technique is to identify and address the root cause of a problem. It helps organizations and individuals go beyond surface-level symptoms and understand the deeper issues affecting their processes or systems.

A: The 5 Whys technique is best used when you encounter a problem or issue that needs to be resolved. It is particularly useful for complex problems, recurring issues, or situations where multiple factors contribute to the problem.

A: Yes, the 5 Whys technique can be applied to any industry or field. It is commonly used in manufacturing, engineering, healthcare, software development, project management, and various other sectors.

A: While the technique is called the “5 Whys,” the number of “whys” you need to ask may vary. The goal is to keep asking “why” until you reach the root cause of the problem, which may require more or fewer than five iterations.

A: Yes, there are a few limitations to consider when using the 5 Whys technique. It relies on the skill and knowledge of the people involved, and it may oversimplify complex problems. Additionally, it assumes a linear cause-and-effect relationship, which may not always be accurate.

A: Yes, the 5 Whys technique can be used in a group setting. In fact, involving multiple perspectives can enhance the effectiveness of the technique and lead to more comprehensive problem-solving.

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 learnleansigma.com, a platform dedicated to Lean Six Sigma and process improvement insights.

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The five whys method: how to unlock innovative ideas

July 13, 2023 by MindManager Blog

In this article, we’ll delve into the powerful method of the five whys, which seamlessly combines brainstorming and problem-solving techniques . Find out how this method can help you determine the reasons behind problems, untangle issues, and devise clever solutions.

What is the five whys root cause analysis?

The five whys root cause analysis is a problem-solving technique used to identify the causes of an issue by asking, “Why?” repeatedly. It aims to uncover factors contributing to a problem rather than addressing surface-level details.

The process involves starting with a problem statement and asking “Why?” to understand the immediate cause. The answer to the first “Why?” is then used to ask the second “Why?”. This recurring questioning continues until you reach the root cause of the problem or until it is no longer productive.

The five whys method is used to dig deeper into a problem. By repeatedly asking “Why?” you can uncover apparent causes and less obvious factors contributing to the issue.

Why use the five whys method?

The five whys approach is effective for several reasons:

It promotes a thorough investigation of the problem, preventing rash conclusions and superficial explanations.
It encourages you to investigate underlying causes rather than surface level ideas. This helps you to address the problem at its core and leads to more effective and sustainable solutions.
It stimulates critical thinking and analysis because it requires individuals to think objectively about each answer to determine if it’s a symptom or a real cause. This mindset helps find the root causes and prevent the problem from reoccurring.
It facilitates learning and continuous improvement. By understanding the problem in full, organizations can enforce targeted actions. This improves processes, systems, and decision-making to prevent similar issues in the future.

Overall, the five whys root cause analysis is a powerful tool for problem-solving. By promoting detailed investigation, critical thinking, and learning, the method helps to develop effective strategies for improvement.

The five whys method in ten steps

The five whys methodology typically requires a team of individuals with diverse expertise and perspectives. This can include stakeholders, subject matter experts, and individuals responsible for enforcing the solutions.

The result of the five whys method is the ability to label a problem’s root cause and create a road map for action. By addressing the root cause, the five whys technique also prevents se recurrence of the problem, improve processes, and foster a culture of continuous improvement within the organization.

The key steps in the five whys methodology are as follows:

Step 1: State the problem

Clearly articulate the problem or issue that needs to be addressed.

Step 2: Build a team of brainstormers

Gather a cross-functional team of individuals with knowledge and experience related to the problem.

Step 3: Ask “Why?” at least five times

Begin by asking why the problem occurred, and then continue asking “Why?” for each successive answer, delving deeper into the causes of the problem. Aim to reach the root cause by the fifth “Why?”.

Step 4: Analyze, examine, and brainstorm

Once the team identifies the root cause, analyze it and brainstorm to explore potential solutions.

Step 5: Confirm the root cause of the issue

Validate the identified root cause by assessing its alignment with the problem and the available evidence. Ensure that it is a genuine cause and not just a symptom.

Step 6: Enforce corrective actions

Develop and implement appropriate corrective actions that directly address the root cause. These actions should prevent the problem from recurring.

Step 7: Monitor, observe, and evaluate the results

Continuously monitor the effectiveness of the implemented solutions and assess their impact on resolving the problem.

Step 8: Revise and repeat

If the problem persists or new issues arise, repeat the five whys process to reassess and adjust the analysis and solutions accordingly.

Step 9: Communicate and document your findings

Maintain clear communication within the team and document the problem, root cause, and implemented solutions for future reference and organizational learning.

Step 10: Encourage continuous improvement

Encourage a culture of ongoing problem-solving and learning within the organization. Use the five whys process insights to improve processes, systems, and decision-making.

Five whys example: Identifying a root cause problem

As stated, the five whys method helps identify the root cause of an issue. In this example, the five whys help a team get to the bottom of a production problem.

The problem : The production line in a manufacturing company is experiencing frequent breakdowns, leading to delays and reduced productivity. The team uses the five whys to understand the problem from the inside out.

Q: Why did the production line break down?

A: Because a critical machine overheated and shut down.

Q: Why did the machine overheat and shut down?

A: Because the cooling system failed to function properly.

Q: Why did the cooling system fail to function properly?

A: Because the coolant levels were consistently low.

Q: Why were the coolant levels consistently low?

A: Because there was a leak in the coolant reservoir.

Q: Why was there a leak in the coolant reservoir?

A: Because the reservoir was damaged due to improper maintenance.

Root Cause : The root cause of the production line breakdown is the lack of proper maintenance, resulting in a damaged coolant reservoir and a coolant leakage.

Based on this analysis, the company can now focus on implementing corrective actions that address the root cause. This may involve improving the maintenance schedule, conducting regular inspections, and repairing or replacing damaged equipment.

By addressing the root cause, the company can prevent future breakdowns and improve the overall efficiency and productivity of the production line.

Five whys example: Brainstorming a solution

The five whys technique can be used to brainstorm to find the best solution to a problem. Below is a brainstorming example of how the five whys can be used:

Problem : The sales of a new product have been declining rapidly. The team uses the five why method to brainstorm and find a solution.

Q: Why are the sales of the new product declining?

A: Because customers are finding the price too high compared to similar products in the market.

Q: Why do customers find the price too high?

A: Because they perceive the value provided by the product to be lower than its price.

Q: Why do customers perceive the value to be low?

A: Because the product lacks certain features that competitors’ products offer.

Q: Why does the product lack those features?

A: Because the development team did not conduct thorough market research to identify customer needs and preferences.

Q: Why didn’t the development team conduct thorough market research?

A: Because there was a lack of resources and time allocated for proper market analysis.

Solution : Based on the five whys analysis, increasing sales of the new product could involve the following:

Conducting comprehensive market research to identify customer needs and preferences.
Incorporating the missing features that competitors’ products offer.
Reevaluating the pricing strategy to align with the perceived value of customers.
Allocating adequate resources and time for market analysis and product development.

By addressing these solutions, the company can improve the product’s competitiveness, better meet customer expectations, and potentially increase sales.

The five whys method helps in brainstorming by revealing the underlying causes and guiding the identification of appropriate solutions.

The five whys tips checklist

If you’re looking to use the five whys method for brainstorming or solving a problem, use these tips to help:

Dig deeper with “How?”. In addition to repeatedly asking “Why?”, incorporate “How?” questions to explore the process that led to the problem.
Encourage participation from all team members. Ensure that all team members have an opportunity to add their insights and perspectives.
Avoid assigning blame. The method is not about finding fault or blaming individuals. Instead, focus on understanding the systemic causes and identifying solutions collaboratively.
Use visual aids. Utilize visual aids such as flowcharts, diagrams, or mind maps to visualize cause-and-effect relationships.
Seek outside perspectives. If necessary, involve external experts or advisors who can provide fresh insights and challenge existing ideas.
Consider multiple root causes. Be open to the possibility that there may not be a definitive root cause. Explore multiple causes to gain a complete understanding.

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Elevate your ideation sessions and maximize your team’s potential. Sign up for a free trial now and unleash the power of the five whys brainstorming method with MindManager!

Five whys frequently asked questions (FAQs)

Below are three commonly asked questions about the five whys technique and how you and your team can use it to solve problems.

What is the five whys root cause analysis?

The five whys root cause analysis is a method that involves asking “Why?” over and over to uncover the underlying cause of a problem.

By continuously diving deeper into the causes, you can identify the actual root cause and provide insights for problem-solving and preventive measures.

What are the key steps in the five whys method?

The ten key steps in the five whys method include:

State the problem.
Build a team of brainstormers.
Ask “Why” at least five times.
Analyze, examine, and brainstorm.
Confirm the root cause of the issue.
Enforce corrective actions.
Monitor, observe, and evaluate the results.
Revise and repeat.
Communicate and document your findings.
Encourage continuous improvement.

What types of problems can five whys help solve?

The five whys method can help solve various problems across many domains. It is particularly effective for addressing complex or recurring issues that require deeper understanding and systematic problem-solving.

It can be applied to problems related to:

Product defects
Process inefficiencies
Customer complaints
Service failures
Project delays
Interpersonal conflicts.

By identifying the underlying causes and root issues, the five whys method enables organizations to implement targeted solutions and prevent the problems from recurring.

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Root Cause Analysis – The 5 Whys Technique

This elementary and often effective approach to problem-solving promotes deep thinking through questioning, and can be adapted quickly and applied to most problems. For example, asking “Why?” may be a favorite technique of your three-year-old child in driving you crazy, but it could teach you a valuable problem-solving technique.

“If you don’t ask the right questions, you don’t get the right answers. A question asked in the right way often points to its answer. Asking questions is the ABC of diagnosis. Only the inquiring mind solves problems.” – Edward Hodnett

The “5 Whys” is a simple problem-solving technique that helps you to get to the root of a problem quickly, which was originally developed by Sakichi Toyota. It was used within the Toyota Motor Corporation during the evolution of its manufacturing methodologies. It is a critical component of problem-solving training, delivered as part of the induction into the Toyota Production System.

How to Conduct 5 Whys Analysis?

When you’re looking to solve a problem, start at the result and work backward (toward the root cause), continually asking: “Why?” You’ll need to repeat this over and over until the root cause of the problem becomes apparent.

The 5 Whys strategy involves looking at any problem and asking: “Why?” and “What caused this problem?” Very often, the answer to the first “why” will prompt another “why” and the answer to the second “why” will prompt another and so on; hence the name the 5 Whys strategy.

The 5 Whys exercise is vastly improved when applied by a team and there are five basic steps to conducting it:

Write down the specific problem. Writing the issue helps you formalize the problem and describe it completely. It also helps a team focus on the same problem.
Ask “Why” the problem happens and write the answer down below the problem.
If the answer you just provided doesn’t identify the root cause of the problem that you wrote down in Step 1, ask “Why” again and write that answer down.
Loopback to step 3 until the team is in agreement that the problem’s root cause is identified. Again, this may take fewer or more times than five Whys.
After settling on the most probable root cause of the problem and obtaining confirmation of the logic behind the analysis, develop appropriate corrective actions to remove the root cause from the system.

Edit this Diagram

5 Whys Example

The vehicle will not start. (The problem)

Why? – The battery is dead. (First why)
Why? – The alternator is not functioning. (Second why)
Why? – The alternator belt has broken. (Third why)
Why? – The alternator belt was well beyond its useful service life and not replaced. (Fourth why)
Why? – The vehicle was not maintained according to the recommended service schedule. (Fifth why, a root cause)

Note: A 5 Whys analysis sometime could be taken further to a sixth, seventh, or higher level, but five iterations of asking why are generally sufficient to get to a root cause.

5-Whys Criticisms

Here are each of the criticisms as listed on the Wikipedia:

Stopping at symptoms, not the root cause
Limited by the investigator’s knowledge.
Not asking the right Why questions.
Not repeatable – Different people build different 5 Whys.
The tendency to isolate a single root cause

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The Lean Post / Articles / Clarifying the ‘5 Whys’ Problem-Solving Method

Problem Solving

Clarifying the ‘5 Whys’ Problem-Solving Method

By Lean Enterprise Institute

July 19, 2018

This brief animation offers a detailed explanation of one way to discover a problem's root cause.

To help lean thinkers apply this powerful approach to overcoming work obstacles, LEI Senior Advisor John Shook guides lean thinkers through a detailed example from Taiichi Ohno’s Toyota Production System : Beyond Large-Scale Production . Find a transcript below.

Let’s take a look at the problem-solving method known as the “ five whys ” or also “causal chains.” Let’s take a look first of all at how that relates to the problem-solving funnel as a frame where we began with a high-level problem—it might be something vague that we don’t fully understand, but it’s the problem coming at us on a day-to-day, moment-to-moment basis.

What we want to do is break the problem down to understand it, get some data, get some facts, and look for patterns. And from there, that means understanding the work, which is certainly a primary characteristic of lean problem-solving, which is to go and deeply observe and understand the work. From there, we can identify a point of occurrence, sometimes called the direct cause and also can be thought of as a problem on its own.

Now we can do the fun part, which is to start asking the five whys. We can put on our investigative hats and ask why, why, why is this occurring? That will lead us to a root cause regarding which we can attach a countermeasure.

To look at this part of the problem-solving process , the five whys or a causal chain, let’s look at the famous example from Taiichi Ohno of Toyota and the one he used starting in the 1950s of a machine breaking down.

The problem that he saw as the machine shop manager is that machines would often break down, and his people would often just attach a Band-Aid. They would only stop it at the first level of cause, meaning that the problems would recur; they would come back. So, he trained himself and his people then always to ask the five whys, sometimes three, sometimes eight, the point being to follow the causal chain all the way down to a root cause.

In this example, he looked at a machine that had stopped working and identified with the first why that it had blown a fuse in the control box because it was overloaded. The overload caused the fuse to blow. But, he didn’t stop there and asked why again, and recognized that insufficient lubrication was getting to the bearing. So, the bearing, therefore, was causing the overload on the machine.

Not stopping there, he went to the next cause and, asking why, found that the pump was not drawing lubricant. So, the lubricant, then, would not be sent to the bearing.

Still not stopping there. Why, again, was the pump not drawing lubricant? Because the shaft was worn, causing it to rattle and not function properly.

Now, another why there led him to a root cause, which was that there was no strainer, which allowed metal chips to enter and damage the pump. So, with the damaged shaft, that would mean the pump wasn’t drawing lubricant, so that there wasn’t enough lubrication going to the bearing, which overloaded the machine and blew a fuse, which stopped the machine from working.

So, he’s got a five-why causal chain going down to the root, and you can check that with the “therefore chain” going up as well.

Now he knows if he applies a countermeasure here, which is to make sure there’s a strainer, then the problem will be solved so that it doesn’t come back.

So, this is what you can accomplish with a fairly simple way of thinking so that we’re not just putting Band-Aids on symptoms—that we’re solving problems at the root cause.

Good luck with your problem-solving attempts.

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Excellent, deep troubleshooting explained in detail and easy to understand. A concept well with the example.

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Introducing the 5 Whys Technique of Problem Solving

February 3, 2021 - 7 min read

What do you do when you and your team run into a problem?

Do you try to find the quickest fix to keep things moving? Get through and assume it was a fluke that won’t happen again? Shift blame to circumstances that were beyond your control?

There’s a better way to diagnose and even solve your problems. It’s called the five whys.

What is the five whys method?

The five whys method is a problem-solving technique that helps you get to the root cause of a problem. Using this technique, you’ll uncover cause and effect relationships and ultimately uncover how processes and projects can be improved in the future.

The premise of the five whys is fairly straightforward: You’ll ask “why?” five times in a row.

Maybe your team didn’t complete a major project by the deadline. Why? Because a team member was late submitting their piece of the project. Why? Because the end client was delayed in getting her the feedback she needed. Why? ...and so on.

Sound like overkill? Or maybe something a curious toddler would do? We get it. However, this technique is surprisingly beneficial.

When you and your team are brainstorming or problem-solving, it’s tempting to jump right into identifying solutions — without realizing you don’t quite understand the extent of the problem yet. The five whys technique keeps you and your team zoned in on the challenge so you can identify the most impactful solution.

A five whys analysis is helpful for understanding the inner workings of problems, but it’s not without its flaws. Let’s cover a few pros and cons of this approach.

Benefits of the five whys method

It’s simple to use : As far as problem-solving tools and analyses go, the five whys technique is one of the most straightforward and intuitive.
It uncovers the root cause : It pushes teams to go beyond their gut feeling or their first answer to think critically about the real source of their issues.
It encourages conversation : “Why?” is an open-ended question , which can encourage candid and valuable discussions between your team members. It can also expose them to roadblocks or areas of confusion they didn’t realize others were experiencing.

Challenges of the five whys method

It’s subjective : One team member might think your project was delayed because a colleague dropped the ball, while another thinks it’s because the original deadline was unrealistic. Conflicting opinions are common, which can present some roadblocks for the effectiveness of this technique.
It’s limiting : Despite the name, you might need to ask “why?” more than five times to get to the heart of a problem. Additionally, there may be more than one root cause for an issue, which this technique doesn’t easily address or accommodate.
It requires visibility : Your team is smart, but they don’t know everything. When asking “why?” you might run into some instances where the only answer you can come up with is, “I don’t know.” That means this technique is at a standstill.

Why does the five whys technique benefit project management?

Ask yourself this: When’s the last time you had a project go off without a hitch? Everything went exactly according to plan, and you didn’t experience a single hiccup along the way.

Has it been a while? That’s normal. Collaboration is complicated, and even the most successful project managers will admit that even the most carefully-planned projects sometimes run off course. In one report from the Project Management Institute ( PMI ), respondents said that only 69% of their project s met their original goals—implying that 31% of projects fell short.

When that happens, it’s tempting to grit your teeth, get through the muck, and then move on. However, the best thing to do is to reflect on those project problems , drill down to their root causes, and identify how you can fix those for future projects.

That’s why the five whys technique is important for project management: It will help you and your project team identify how you can collaborate more effectively, proactively navigate risks and problems, and deliver more winning projects.

The five whys example: How it applies to project management

Want to see a five whys analysis in action? Let’s continue with the example that we set up at the beginning:

The Problem: Our team was two weeks late in finalizing a client’s keyword research report.

Why? Maggie was late in delivering the section on keyword opportunities.
Why? The end client took too long to get the audience personas she requested.
Why? We didn’t get the information we needed at the start of the project.
Why? We don’t have a streamlined process for collecting the client information we need.
Why? We haven’t created a work intake form.

Now you know what you need to do to ensure you don’t hit the same snag on your next projects: You need to create an intake form so that your team is equipped with the must-have information they need from your clients — before they even start any work.

See how it works? By doing nothing more than asking, “Why?” five times in a row, you identified a relatively simple fix (particularly if you’re using a project management platform like Wrike that has dynamic request forms ) that will yield huge results for your team and your projects.

And you owe all of that to the five whys technique—proof that problem-solving methods don’t need to be complicated to be effective.

Wrike gives you and your team visibility into your work processes so that you have an easier time leveraging the five whys method. Start your two-week free trial now .

Kat Boogaard

Kat is a Midwest-based contributing writer. She covers topics related to careers, self-development, and the freelance life. She is also a columnist for Inc., writes for The Muse, is Career Editor for The Everygirl, and a contributor all over the web.

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What are the Five Whys? A Tool For Root Cause Analysis

What are the five whys.

Five whys (5 whys) is a problem-solving method that explores the underlying cause-and-effect of particular problems.

The primary goal is to determine the root cause of a defect or a problem by successively asking the question “Why?”. The number ‘5’ here comes from the anecdotal observation that five iterations of asking why is usually sufficient enough to reveal the root cause.

In some cases, it may take more or fewer whys, depending on the depth of the root cause.

https://tulip.widen.net/content/tnupuidev2

Why The Five Whys?

The main benefit of the Five Whys is that it is one of the most powerful assessment methods of all non-statistical analyses. It can uncover and trace back to problems that were not very clear or obvious.

It is simple, and it works.

The Benefits of Five Whys

Helps identify the root cause of a problem
Understand how one process can cause a chain of problems
Determine the relationship between different root causes
Highly effective without complicated evaluation techniques

When Should You Use This Method?

For simple to moderately difficult problems
More complex problems may require this method in combination with some others
When problems involve human factors or interactions. So any time human error is involved in the process.

How to Complete a Five Whys Root Cause Analysis

Begin with a specific problem. What is it that you are having an issue with? This can also help the team focus on the same problem.
Ask why the problem happened and write the answer down below the specific problem you listed in step one.
Keep asking “ why” to each of the successive answers you write down until you reach the root cause of the problem.
Again, this may take more or less than five “ why”s . Make sure your team sees eye-to-eye with each of the questions being answered as well as the final root cause.

Key Things to Keep in Mind

Distinguish causes from symptoms or causal factors
To make sure that you are attributing the correct answer to each “ why” , try working backwards. (Answer to the “ Why?” + “and therefore” + the Problem Identified for that Question)
You can break down your answers as much as you like. The more the better.
Answers should always be based on facts and data
Last but not least, assess the process, not the people.

Toyota Five Whys

The Five Whys method was originally developed by Sakichi Toyoda , the founder of Toyota Industries. This method became widely used in Toyota Motor Corporation and is still used frequently to this day. Taiichi Ohno, the architect of the Toyota Production System, describes the five whys as “the basis of Toyota’s scientific approach.”

Along with their other “go and see” philosophies, the five whys method is used along with other famous concepts such as kaizen , poka-yoke , and jidoka .

Five Whys Example

Here’s an example of how this works:

The Root Cause reveals the source of the problem. By coming up with a solution for the root cause, there is a high chance that all of the whys leading up to the final answer will naturally get resolved.

Five Whys Tools

The simplest way of conducting the Five Whys test is to simply write it down on a piece of paper. However, the fishbone, or the Ishikawa diagram , can help during the initial process of identifying problems. The diagram can reveal problems that may need the five whys for a deeper look. Then, you can gather all of the root-cause-effect relationships and evaluate which of them had the greatest impact on the original problem.

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The 5 Whys Problem Solving Technique
Leadership and Management

The 5 Whys Problem Solving Technique is a question-asking technique used to determine the root cause of a problem. It’s a simple tool to assess a problem and find out what the actual cause of the problem is or was.

The 5 in the title suggests it should take no more than 5 questions to get to the root cause of the problem. The technique works by asking the question ‘why’ 5 times and this should lead you to the root cause of the problem.

Developed by the founder of Toyota Sakichi Toyoda, the 5 Whys Technique is used in problem-solving, troubleshooting and improving processes.

It may not solve the problem by itself but may guide you to an alternative path to follow, for example using a cause and effect diagram (Ishikawa diagram) or another problem-solving tool to fix the problem.

The technique is designed to guide you to the root of the problem.

When To Use the 5 Whys Problem Solving Technique

You can use the 5 Whys Problem Technique when you have a problem or an issue that you need to find the root cause of. It won’t help to actually solve the problem. You can use another method for this, but finding the root cause of the problem will make for better problem-solving.

You may find the technique may not work on a large scale or complex issues and problems. This is because the technique won’t go deep enough in its current design and you may find yourself getting lost in the root cause analysis.

You can use the 5 Why Problem Solving Technique for:

Quality and process improvement
Problem-solving and problem analysis
Problem prevention and future-proofing

How to Use the 5 Whys Problem Solving Technique

Here’s how to use the 5 Whys Technique.

The first stage is to get the team together and clearly define what the problem is you are looking at. It might help to see this taking place live if the issue is currently happening. Then, define and agree on what it should be doing. In other words, what would better look like?

Then, write the problem on a board or paper and start the process described below.

Start with the problem and ask a ‘why’ question about the problem. The next ‘why’ question you ask should then follow on from the answer to the first question. Here’s an example:

The vehicle will not start. (the problem)

Why? – The battery is dead. (first why)
Why? – The alternator is not functioning. (second why)
Why? – The alternator belt has broken. (third why)
Why? – The alternator belt was well beyond its useful service life and not replaced. (fourth why)
Why? – The vehicle was not maintained according to the recommended service schedule. (fifth why, a root cause)

You could possibly take this to a 6th or 7th why, but 5 is usually enough to get to the root of the problem.

It’s important to understand that typically the 5th why doesn’t point to a solution – it points to processes. This answer doesn’t tell you how to fix the problem, only what caused it.

What If the Technique Does Not Work?

This is where some other problem-solving tool will come in useful to determine why the root cause existed. So in the above example, the process of servicing the vehicle failed and this is then what needs to be corrected. A cause and effect diagram can then help you to determine which part of the process failed and what corrective actions need to be taken to correct this for the future.

There has been some criticism of the tool in that it’s too basic or doesn’t fix the problem. But when time is short and you need to get to the root cause quickly then the technique is incredibly useful.

Further Learning

If you would like to know more about the 5 Whys Problem Solving Technique and how to use it in your day to day work, our Critical Thinking and Problem Solving Training Course will provide you with some help and guidance on this.

The 5 Whys Example above is taken from Wikipedia

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In this article.

1. Background
2. When To Use the 5 Whys Problem Solving Technique
3. How to Use the 5 Whys Problem Solving Technique
4. What If the Technique Does Not Work?
5. Further Learning
6. References

Critical Thinking and Problem Solving Training Course

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April, 2023
What Are The 5 Whys?

Problem-solving is the bread and butter of most factories today, but not all organisations solve their problems the same way.

Today, we dissect the operating principles behind the 5 Whys method, exploring its advantages, use cases, and relevance.

What do the 5 Whys mean?

By definition, 5 Whys is a problem-solving technique that uses Root Cause Analysis (RCA) to understand the problem in detail and solve it permanently. It’s considered one of the most effective problem-solving techniques in lean management , and it works best to solve simple problems.

This method was developed by Sakichi Toyoda, founder of Toyota, and incorporated into the Toyota Production System (TPS).

The 5 Whys work best to solve relatively simple issues, as anything too complex will need more robust problem-solving tools such as 8D, Cause Effect Analysis, or QRQC .

How do the 5 Whys work?

This method is relatively straightforward. All you have to do is identify the problem and then ask why five times .

Sometimes, you might find the root cause before you reach your fourth line of inquiry.

Sometimes, you might have to ask why a few more times to reach the root cause.

To make the 5 Whys method really successful, there is a process you need to follow, and it goes like this:

Step 1 — Create a team

The more relevant people you include to find a solution to the problem, the faster and more effective the resolution will be.

When you’ve decided who will be part of your team, you should appoint a leader to guide the process and keep everyone on track.

This person is known as the 5 Whys Master .

Step 2— Identify the problem

The problem needs to be identified and clarified beyond any reasonable doubt . Your team should define the problem and explain it in a specific statement.

This keeps everyone focused on the problem, giving them a concise account of the situation.

Step 3 — Ask Why? five times

The first Why? is on your team.

The other four, on your 5 Whys Master .

Essentially, the team starts asking the first question, and then the 5 Whys Master leads the process through the rest of the questions.

Sometimes, you might need more than five whys to solve the issue.

Sometimes, you might need less.

However long it takes, you need to reach the root cause of the issue , which will always be linked to a management issue or a design flaw.

STEP 4 — Correct the problem

When the problem is identified, your team discusses actions or countermeasures to solve the issue.

The 5 Whys Master will then decide who does what, delegating responsibility among the team members.

STEP 5 — Keep track of your results & share them

Monitoring helps you see if the countermeasures you take to solve the issue are working.

It also gives you great insight into what you’re doing right, and what could be done better.

You also need to share your findings so that everybody can access them and learn from the process.

To make sure you’re using the 5 Whys method to its fullest extent, you need to make sure that you/your team:

Know when to stop asking Why → when the answers you’re getting are no longer useful or don’t bring anything else to the process, you need to stop asking further whys and take another approach instead.
Address the root cause(s) → finding the root cause it’s great, but not enough. Once you find it, you need to make sure you’re taking the appropriate measures to fix the issue and prevent it from happening again.
Monitor your measures → once you take measures to address the issue, it’s fundamental that you monitor how the measures impact the issue. Are they effective? Could they be even more effective? When you monitor how your measures are performing, you’ll be able to solve the root cause faster and more efficiently.
Share your results → keeping your results a secret helps nobody. When you find the root cause, you address it, and you fix it, you need to share your results with everybody, so they can learn from it. Even when the root cause isn’t fixed, you need to share your results to keep everybody on track regarding the issue and its current status.

5 Whys in real life

Here’s what a 5 Whys method looks like in real life:

In this particular instance, after finding the root cause, we then come up with a solution. In this case, it could be to make sure we train the workers on the standards regarding changing the pipes.

This example shows how easy and cost-effective it is to set up this problem-solving method to find the root cause of a problem in your factory.

Advantages of the 5 Whys methodology

This method brings with it a good number of advantages, and it might be exactly what you need to implement in your factory, some of which are:

It helps your teams find, understand, and correct the root cause of the problem
It fosters teamwork
It’s very easy and flexible to implement
You can use it alongside other problem-solving methods, such as Root Cause Analysis or Six Sigma
It can be templated — just create a set structure and prompts that can be used whenever this method needs to come into play

mlean ® and the 5 Whys method

The 5 Whys method is a great problem-solving technique that helps you find the root cause of an issue and take measures to correct it quickly and efficiently.

But sometimes, this method alone isn’t enough to solve your problem.

Our mlean® Production System includes a wide range of problem-solving methods to ensure your issues are always dealt with using the right tools .

Our software is the most complete toolkit for digital industrial operations, integrating a variety of lean philosophies and processes like Kaizen or Hoshin Kanri .

mPS digitalises your factory processes, increases your workers’ safety and motivation, and increases revenue.

Book a demo and see for yourself!

Request a Demo Today

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Do You Understand the Problem You’re Trying to Solve?

To solve tough problems at work, first ask these questions.

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Problem solving skills are invaluable in any job. But all too often, we jump to find solutions to a problem without taking time to really understand the dilemma we face, according to Thomas Wedell-Wedellsborg , an expert in innovation and the author of the book, What’s Your Problem?: To Solve Your Toughest Problems, Change the Problems You Solve .

In this episode, you’ll learn how to reframe tough problems by asking questions that reveal all the factors and assumptions that contribute to the situation. You’ll also learn why searching for just one root cause can be misleading.

Key episode topics include: leadership, decision making and problem solving, power and influence, business management.

HBR On Leadership curates the best case studies and conversations with the world’s top business and management experts, to help you unlock the best in those around you. New episodes every week.

Listen to the original HBR IdeaCast episode: The Secret to Better Problem Solving (2016)
Find more episodes of HBR IdeaCast
Discover 100 years of Harvard Business Review articles, case studies, podcasts, and more at HBR.org .

HANNAH BATES: Welcome to HBR on Leadership , case studies and conversations with the world’s top business and management experts, hand-selected to help you unlock the best in those around you.

Problem solving skills are invaluable in any job. But even the most experienced among us can fall into the trap of solving the wrong problem.

Thomas Wedell-Wedellsborg says that all too often, we jump to find solutions to a problem – without taking time to really understand what we’re facing.

He’s an expert in innovation, and he’s the author of the book, What’s Your Problem?: To Solve Your Toughest Problems, Change the Problems You Solve .

In this episode, you’ll learn how to reframe tough problems, by asking questions that reveal all the factors and assumptions that contribute to the situation. You’ll also learn why searching for one root cause can be misleading. And you’ll learn how to use experimentation and rapid prototyping as problem-solving tools.

This episode originally aired on HBR IdeaCast in December 2016. Here it is.

SARAH GREEN CARMICHAEL: Welcome to the HBR IdeaCast from Harvard Business Review. I’m Sarah Green Carmichael.

Problem solving is popular. People put it on their resumes. Managers believe they excel at it. Companies count it as a key proficiency. We solve customers’ problems.

The problem is we often solve the wrong problems. Albert Einstein and Peter Drucker alike have discussed the difficulty of effective diagnosis. There are great frameworks for getting teams to attack true problems, but they’re often hard to do daily and on the fly. That’s where our guest comes in.

Thomas Wedell-Wedellsborg is a consultant who helps companies and managers reframe their problems so they can come up with an effective solution faster. He asks the question “Are You Solving The Right Problems?” in the January-February 2017 issue of Harvard Business Review. Thomas, thank you so much for coming on the HBR IdeaCast .

THOMAS WEDELL-WEDELLSBORG: Thanks for inviting me.

SARAH GREEN CARMICHAEL: So, I thought maybe we could start by talking about the problem of talking about problem reframing. What is that exactly?

THOMAS WEDELL-WEDELLSBORG: Basically, when people face a problem, they tend to jump into solution mode to rapidly, and very often that means that they don’t really understand, necessarily, the problem they’re trying to solve. And so, reframing is really a– at heart, it’s a method that helps you avoid that by taking a second to go in and ask two questions, basically saying, first of all, wait. What is the problem we’re trying to solve? And then crucially asking, is there a different way to think about what the problem actually is?

SARAH GREEN CARMICHAEL: So, I feel like so often when this comes up in meetings, you know, someone says that, and maybe they throw out the Einstein quote about you spend an hour of problem solving, you spend 55 minutes to find the problem. And then everyone else in the room kind of gets irritated. So, maybe just give us an example of maybe how this would work in practice in a way that would not, sort of, set people’s teeth on edge, like oh, here Sarah goes again, reframing the whole problem instead of just solving it.

THOMAS WEDELL-WEDELLSBORG: I mean, you’re bringing up something that’s, I think is crucial, which is to create legitimacy for the method. So, one of the reasons why I put out the article is to give people a tool to say actually, this thing is still important, and we need to do it. But I think the really critical thing in order to make this work in a meeting is actually to learn how to do it fast, because if you have the idea that you need to spend 30 minutes in a meeting delving deeply into the problem, I mean, that’s going to be uphill for most problems. So, the critical thing here is really to try to make it a practice you can implement very, very rapidly.

There’s an example that I would suggest memorizing. This is the example that I use to explain very rapidly what it is. And it’s basically, I call it the slow elevator problem. You imagine that you are the owner of an office building, and that your tenants are complaining that the elevator’s slow.

Now, if you take that problem framing for granted, you’re going to start thinking creatively around how do we make the elevator faster. Do we install a new motor? Do we have to buy a new lift somewhere?

The thing is, though, if you ask people who actually work with facilities management, well, they’re going to have a different solution for you, which is put up a mirror next to the elevator. That’s what happens is, of course, that people go oh, I’m busy. I’m busy. I’m– oh, a mirror. Oh, that’s beautiful.

And then they forget time. What’s interesting about that example is that the idea with a mirror is actually a solution to a different problem than the one you first proposed. And so, the whole idea here is once you get good at using reframing, you can quickly identify other aspects of the problem that might be much better to try to solve than the original one you found. It’s not necessarily that the first one is wrong. It’s just that there might be better problems out there to attack that we can, means we can do things much faster, cheaper, or better.

SARAH GREEN CARMICHAEL: So, in that example, I can understand how A, it’s probably expensive to make the elevator faster, so it’s much cheaper just to put up a mirror. And B, maybe the real problem people are actually feeling, even though they’re not articulating it right, is like, I hate waiting for the elevator. But if you let them sort of fix their hair or check their teeth, they’re suddenly distracted and don’t notice.

But if you have, this is sort of a pedestrian example, but say you have a roommate or a spouse who doesn’t clean up the kitchen. Facing that problem and not having your elegant solution already there to highlight the contrast between the perceived problem and the real problem, how would you take a problem like that and attack it using this method so that you can see what some of the other options might be?

THOMAS WEDELL-WEDELLSBORG: Right. So, I mean, let’s say it’s you who have that problem. I would go in and say, first of all, what would you say the problem is? Like, if you were to describe your view of the problem, what would that be?

SARAH GREEN CARMICHAEL: I hate cleaning the kitchen, and I want someone else to clean it up.

THOMAS WEDELL-WEDELLSBORG: OK. So, my first observation, you know, that somebody else might not necessarily be your spouse. So, already there, there’s an inbuilt assumption in your question around oh, it has to be my husband who does the cleaning. So, it might actually be worth, already there to say, is that really the only problem you have? That you hate cleaning the kitchen, and you want to avoid it? Or might there be something around, as well, getting a better relationship in terms of how you solve problems in general or establishing a better way to handle small problems when dealing with your spouse?

SARAH GREEN CARMICHAEL: Or maybe, now that I’m thinking that, maybe the problem is that you just can’t find the stuff in the kitchen when you need to find it.

THOMAS WEDELL-WEDELLSBORG: Right, and so that’s an example of a reframing, that actually why is it a problem that the kitchen is not clean? Is it only because you hate the act of cleaning, or does it actually mean that it just takes you a lot longer and gets a lot messier to actually use the kitchen, which is a different problem. The way you describe this problem now, is there anything that’s missing from that description?

SARAH GREEN CARMICHAEL: That is a really good question.

THOMAS WEDELL-WEDELLSBORG: Other, basically asking other factors that we are not talking about right now, and I say those because people tend to, when given a problem, they tend to delve deeper into the detail. What often is missing is actually an element outside of the initial description of the problem that might be really relevant to what’s going on. Like, why does the kitchen get messy in the first place? Is it something about the way you use it or your cooking habits? Is it because the neighbor’s kids, kind of, use it all the time?

There might, very often, there might be issues that you’re not really thinking about when you first describe the problem that actually has a big effect on it.

SARAH GREEN CARMICHAEL: I think at this point it would be helpful to maybe get another business example, and I’m wondering if you could tell us the story of the dog adoption problem.

THOMAS WEDELL-WEDELLSBORG: Yeah. This is a big problem in the US. If you work in the shelter industry, basically because dogs are so popular, more than 3 million dogs every year enter a shelter, and currently only about half of those actually find a new home and get adopted. And so, this is a problem that has persisted. It’s been, like, a structural problem for decades in this space. In the last three years, where people found new ways to address it.

So a woman called Lori Weise who runs a rescue organization in South LA, and she actually went in and challenged the very idea of what we were trying to do. She said, no, no. The problem we’re trying to solve is not about how to get more people to adopt dogs. It is about keeping the dogs with their first family so they never enter the shelter system in the first place.

In 2013, she started what’s called a Shelter Intervention Program that basically works like this. If a family comes and wants to hand over their dog, these are called owner surrenders. It’s about 30% of all dogs that come into a shelter. All they would do is go up and ask, if you could, would you like to keep your animal? And if they said yes, they would try to fix whatever helped them fix the problem, but that made them turn over this.

And sometimes that might be that they moved into a new building. The landlord required a deposit, and they simply didn’t have the money to put down a deposit. Or the dog might need a $10 rabies shot, but they didn’t know how to get access to a vet.

And so, by instigating that program, just in the first year, she took her, basically the amount of dollars they spent per animal they helped went from something like $85 down to around $60. Just an immediate impact, and her program now is being rolled out, is being supported by the ASPCA, which is one of the big animal welfare stations, and it’s being rolled out to various other places.

And I think what really struck me with that example was this was not dependent on having the internet. This was not, oh, we needed to have everybody mobile before we could come up with this. This, conceivably, we could have done 20 years ago. Only, it only happened when somebody, like in this case Lori, went in and actually rethought what the problem they were trying to solve was in the first place.

SARAH GREEN CARMICHAEL: So, what I also think is so interesting about that example is that when you talk about it, it doesn’t sound like the kind of thing that would have been thought of through other kinds of problem solving methods. There wasn’t necessarily an After Action Review or a 5 Whys exercise or a Six Sigma type intervention. I don’t want to throw those other methods under the bus, but how can you get such powerful results with such a very simple way of thinking about something?

THOMAS WEDELL-WEDELLSBORG: That was something that struck me as well. This, in a way, reframing and the idea of the problem diagnosis is important is something we’ve known for a long, long time. And we’ve actually have built some tools to help out. If you worked with us professionally, you are familiar with, like, Six Sigma, TRIZ, and so on. You mentioned 5 Whys. A root cause analysis is another one that a lot of people are familiar with.

Those are our good tools, and they’re definitely better than nothing. But what I notice when I work with the companies applying those was those tools tend to make you dig deeper into the first understanding of the problem we have. If it’s the elevator example, people start asking, well, is that the cable strength, or is the capacity of the elevator? That they kind of get caught by the details.

That, in a way, is a bad way to work on problems because it really assumes that there’s like a, you can almost hear it, a root cause. That you have to dig down and find the one true problem, and everything else was just symptoms. That’s a bad way to think about problems because problems tend to be multicausal.

There tend to be lots of causes or levers you can potentially press to address a problem. And if you think there’s only one, if that’s the right problem, that’s actually a dangerous way. And so I think that’s why, that this is a method I’ve worked with over the last five years, trying to basically refine how to make people better at this, and the key tends to be this thing about shifting out and saying, is there a totally different way of thinking about the problem versus getting too caught up in the mechanistic details of what happens.

SARAH GREEN CARMICHAEL: What about experimentation? Because that’s another method that’s become really popular with the rise of Lean Startup and lots of other innovation methodologies. Why wouldn’t it have worked to, say, experiment with many different types of fixing the dog adoption problem, and then just pick the one that works the best?

THOMAS WEDELL-WEDELLSBORG: You could say in the dog space, that’s what’s been going on. I mean, there is, in this industry and a lot of, it’s largely volunteer driven. People have experimented, and they found different ways of trying to cope. And that has definitely made the problem better. So, I wouldn’t say that experimentation is bad, quite the contrary. Rapid prototyping, quickly putting something out into the world and learning from it, that’s a fantastic way to learn more and to move forward.

My point is, though, that I feel we’ve come to rely too much on that. There’s like, if you look at the start up space, the wisdom is now just to put something quickly into the market, and then if it doesn’t work, pivot and just do more stuff. What reframing really is, I think of it as the cognitive counterpoint to prototyping. So, this is really a way of seeing very quickly, like not just working on the solution, but also working on our understanding of the problem and trying to see is there a different way to think about that.

If you only stick with experimentation, again, you tend to sometimes stay too much in the same space trying minute variations of something instead of taking a step back and saying, wait a minute. What is this telling us about what the real issue is?

SARAH GREEN CARMICHAEL: So, to go back to something that we touched on earlier, when we were talking about the completely hypothetical example of a spouse who does not clean the kitchen–

THOMAS WEDELL-WEDELLSBORG: Completely, completely hypothetical.

SARAH GREEN CARMICHAEL: Yes. For the record, my husband is a great kitchen cleaner.

You started asking me some questions that I could see immediately were helping me rethink that problem. Is that kind of the key, just having a checklist of questions to ask yourself? How do you really start to put this into practice?

THOMAS WEDELL-WEDELLSBORG: I think there are two steps in that. The first one is just to make yourself better at the method. Yes, you should kind of work with a checklist. In the article, I kind of outlined seven practices that you can use to do this.

But importantly, I would say you have to consider that as, basically, a set of training wheels. I think there’s a big, big danger in getting caught in a checklist. This is something I work with.

My co-author Paddy Miller, it’s one of his insights. That if you start giving people a checklist for things like this, they start following it. And that’s actually a problem, because what you really want them to do is start challenging their thinking.

So the way to handle this is to get some practice using it. Do use the checklist initially, but then try to step away from it and try to see if you can organically make– it’s almost a habit of mind. When you run into a colleague in the hallway and she has a problem and you have five minutes, like, delving in and just starting asking some of those questions and using your intuition to say, wait, how is she talking about this problem? And is there a question or two I can ask her about the problem that can help her rethink it?

SARAH GREEN CARMICHAEL: Well, that is also just a very different approach, because I think in that situation, most of us can’t go 30 seconds without jumping in and offering solutions.

THOMAS WEDELL-WEDELLSBORG: Very true. The drive toward solutions is very strong. And to be clear, I mean, there’s nothing wrong with that if the solutions work. So, many problems are just solved by oh, you know, oh, here’s the way to do that. Great.

But this is really a powerful method for those problems where either it’s something we’ve been banging our heads against tons of times without making progress, or when you need to come up with a really creative solution. When you’re facing a competitor with a much bigger budget, and you know, if you solve the same problem later, you’re not going to win. So, that basic idea of taking that approach to problems can often help you move forward in a different way than just like, oh, I have a solution.

I would say there’s also, there’s some interesting psychological stuff going on, right? Where you may have tried this, but if somebody tries to serve up a solution to a problem I have, I’m often resistant towards them. Kind if like, no, no, no, no, no, no. That solution is not going to work in my world. Whereas if you get them to discuss and analyze what the problem really is, you might actually dig something up.

Let’s go back to the kitchen example. One powerful question is just to say, what’s your own part in creating this problem? It’s very often, like, people, they describe problems as if it’s something that’s inflicted upon them from the external world, and they are innocent bystanders in that.

SARAH GREEN CARMICHAEL: Right, or crazy customers with unreasonable demands.

THOMAS WEDELL-WEDELLSBORG: Exactly, right. I don’t think I’ve ever met an agency or consultancy that didn’t, like, gossip about their customers. Oh, my god, they’re horrible. That, you know, classic thing, why don’t they want to take more risk? Well, risk is bad.

It’s their business that’s on the line, not the consultancy’s, right? So, absolutely, that’s one of the things when you step into a different mindset and kind of, wait. Oh yeah, maybe I actually am part of creating this problem in a sense, as well. That tends to open some new doors for you to move forward, in a way, with stuff that you may have been struggling with for years.

SARAH GREEN CARMICHAEL: So, we’ve surfaced a couple of questions that are useful. I’m curious to know, what are some of the other questions that you find yourself asking in these situations, given that you have made this sort of mental habit that you do? What are the questions that people seem to find really useful?

THOMAS WEDELL-WEDELLSBORG: One easy one is just to ask if there are any positive exceptions to the problem. So, was there day where your kitchen was actually spotlessly clean? And then asking, what was different about that day? Like, what happened there that didn’t happen the other days? That can very often point people towards a factor that they hadn’t considered previously.

SARAH GREEN CARMICHAEL: We got take-out.

THOMAS WEDELL-WEDELLSBORG: S,o that is your solution. Take-out from [INAUDIBLE]. That might have other problems.

Another good question, and this is a little bit more high level. It’s actually more making an observation about labeling how that person thinks about the problem. And what I mean with that is, we have problem categories in our head. So, if I say, let’s say that you describe a problem to me and say, well, we have a really great product and are, it’s much better than our previous product, but people aren’t buying it. I think we need to put more marketing dollars into this.

Now you can go in and say, that’s interesting. This sounds like you’re thinking of this as a communications problem. Is there a different way of thinking about that? Because you can almost tell how, when the second you say communications, there are some ideas about how do you solve a communications problem. Typically with more communication.

And what you might do is go in and suggest, well, have you considered that it might be, say, an incentive problem? Are there incentives on behalf of the purchasing manager at your clients that are obstructing you? Might there be incentive issues with your own sales force that makes them want to sell the old product instead of the new one?

So literally, just identifying what type of problem does this person think about, and is there different potential way of thinking about it? Might it be an emotional problem, a timing problem, an expectations management problem? Thinking about what label of what type of problem that person is kind of thinking as it of.

SARAH GREEN CARMICHAEL: That’s really interesting, too, because I think so many of us get requests for advice that we’re really not qualified to give. So, maybe the next time that happens, instead of muddying my way through, I will just ask some of those questions that we talked about instead.

THOMAS WEDELL-WEDELLSBORG: That sounds like a good idea.

SARAH GREEN CARMICHAEL: So, Thomas, this has really helped me reframe the way I think about a couple of problems in my own life, and I’m just wondering. I know you do this professionally, but is there a problem in your life that thinking this way has helped you solve?

THOMAS WEDELL-WEDELLSBORG: I’ve, of course, I’ve been swallowing my own medicine on this, too, and I think I have, well, maybe two different examples, and in one case somebody else did the reframing for me. But in one case, when I was younger, I often kind of struggled a little bit. I mean, this is my teenage years, kind of hanging out with my parents. I thought they were pretty annoying people. That’s not really fair, because they’re quite wonderful, but that’s what life is when you’re a teenager.

And one of the things that struck me, suddenly, and this was kind of the positive exception was, there was actually an evening where we really had a good time, and there wasn’t a conflict. And the core thing was, I wasn’t just seeing them in their old house where I grew up. It was, actually, we were at a restaurant. And it suddenly struck me that so much of the sometimes, kind of, a little bit, you love them but they’re annoying kind of dynamic, is tied to the place, is tied to the setting you are in.

And of course, if– you know, I live abroad now, if I visit my parents and I stay in my old bedroom, you know, my mother comes in and wants to wake me up in the morning. Stuff like that, right? And it just struck me so, so clearly that it’s– when I change this setting, if I go out and have dinner with them at a different place, that the dynamic, just that dynamic disappears.

SARAH GREEN CARMICHAEL: Well, Thomas, this has been really, really helpful. Thank you for talking with me today.

THOMAS WEDELL-WEDELLSBORG: Thank you, Sarah.

HANNAH BATES: That was Thomas Wedell-Wedellsborg in conversation with Sarah Green Carmichael on the HBR IdeaCast. He’s an expert in problem solving and innovation, and he’s the author of the book, What’s Your Problem?: To Solve Your Toughest Problems, Change the Problems You Solve .

We’ll be back next Wednesday with another hand-picked conversation about leadership from the Harvard Business Review. If you found this episode helpful, share it with your friends and colleagues, and follow our show on Apple Podcasts, Spotify, or wherever you get your podcasts. While you’re there, be sure to leave us a review.

We’re a production of Harvard Business Review. If you want more podcasts, articles, case studies, books, and videos like this, find it all at HBR dot org.

This episode was produced by Anne Saini, and me, Hannah Bates. Ian Fox is our editor. Music by Coma Media. Special thanks to Maureen Hoch, Adi Ignatius, Karen Player, Ramsey Khabbaz, Nicole Smith, Anne Bartholomew, and you – our listener.

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Leveraging the prompt engineering technique known as least-to-most prompting can spur generative ai to solve knotty problems.

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Using the least-to-most prompting strategy is advantageous and a keystone in prompt engineering.

In today’s column, I am continuing my ongoing coverage of prompt engineering strategies and tactics that aid in getting the most out of using generative AI apps such as ChatGPT, GPT-4, Bard, Gemini, Claude, etc. The focus here is on a sturdy prompting technique known as Least-to-Most (LTM). I will be sharing with you the ins and outs of this approach and showcasing various examples so that you can immediately go hands-on with the technique.

If you are interested in prompt engineering overall, you might find of interest my comprehensive guide on over thirty other keystone prompting strategies, see the discussion at the link here .

Here’s how I am going to cover the least-to-most prompting approach. First, I will explain the underlying basis for the technique. Second, I will provide the keystone research that has identified the technique and performed empirical studies to gauge the efficacy of the approach. Third, I will describe how the technique can be used in your daily use of generative AI.

Allow me a moment to explain the overarching matter at hand.

How Least-to-Most and Most-to-Least Are Used In Human Learning

Think for a moment about problem-solving.

There are a wide variety of ways to solve problems. Of those many ways possible, I am going to focus on two problem-solving approaches that are cousins of each other. You almost surely have experienced the two methods that I am going to tell you about.

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One of the approaches is known as least-to-most (LTM), while the other related approach is referred to as most-to-least (MTL). The crux of the two approaches is that a problem solver might be guided by someone assisting them such as a teacher or instructor, doing so either on a light-handed basis at the start of problem-solving and then ratcheting up if needed (that’s least-to-most aka LTM), or the instructor might be heavy-handed at the beginning and decrease their involvement as things hopefully progress appropriately (that’s the most-to-least aka MTL).

Which do you prefer?

Go ahead, say aloud your answer, I’ll wait.

Well, I would guess that your answer might be that the circumstances at hand dictate which of those two is best applied. Sometimes you might desire a heavy hand from an instructor, such as in situations where making a mistake might be costly or you are nervous about being able to deal with a knotty problem. I dare say an always-on heavy-handed approach would be a bit much if it was applied indiscriminately. There are bound to be other settings where you prefer a lighter touch at the get-go. Then, if things are going foul, you might want a heavier hand for guidance and getting you back on track.

Teachers are often taught about the LTM and MTL when they learn about best practices for teaching. They are supposed to discover how they can make use of LTM and MTL. When should a student be guided by LTM versus MTL? Are some students more likely to welcome LTM or MTL when being taught? And so on.

A slew of pedagogically oriented research has examined the LTM versus MLT considerations. For example, a research study entitled “A Comparison of Most-to-Least and Least-to-Most Prompting on the Acquisition of Solitary Play Skills” by Myrna Libby, Julie Weiss, Stacie Bancroft, William Ahearn, Behavioral Analysis in Practice, 2008, said this about the two approaches (excerpts):

“The purpose of the current study was to conduct a comparative analysis of common prompting techniques for teaching behavior chains. The goal was to develop a strategy for identifying the most effective and efficient prompting procedure for learners who require systematic prompting to acquire new skills.”
“Most-to-least prompting consists of a teacher placing his or her hands over the learner's hands to guide the learner through the initial training trials. A less intrusive prompt, such as guiding the learner at the wrist, is used on subsequent training trials. The intrusiveness of the prompt continues to be faded as long as the learner is demonstrating success during training trials.”
“With least-to-most fading, the teacher allows the learner a brief opportunity to respond independently on each training trial and then delivers the least intrusive prompt if needed. Increasingly more intrusive prompts are then delivered as necessary for the learner to complete each training trial.”

I’d like to briefly highlight some of the key features of undertaking the LTM or MTL.

First, you might not ever invoke LTM or MTL at all. The jolting idea is that perhaps the level of guidance should be even-handed throughout a problem-solving task. You might use a light touch throughout and not opt to proceed into a heavier touch. You might use a heavy touch throughout and never let up. By and large, the use of LTM or MTL usually implies that you are in fact going to proceed in either a ratcheted-up or ratcheted-down progression. Maybe that isn’t always the case, though at times it can be quite fruitful.

Second, if you do opt to use LTM or MTL, you typically make a choice upfront as to which one you are going to employ. Perhaps you examine the setting and size up the circumstances. After sizing things, you decide henceforth for that situation you are going to use LTM, or maybe instead you decide the MTL is the right selection. It all depends.

Third, a somewhat hidden facet that might not be obvious is that you are going to potentially interject or intervene on a stepwise basis. This implies that the problem solver will be dissecting a problem into a series of steps, oftentimes a series of subproblems to be solved. The instructor lets the problem solver take a step or two and then judges how they are doing. If the solver seems to need help, you adjust your handedness from lighter to heavier or heavier to lighter, based on whether LTM or MTL is being invoked. As they say these days, you would rinse and repeat those actions.

I am going to now shift gears and see how this approach can be applied to the use of generative AI, especially as a prompting strategy when the AI is being asked to solve problems.

One thing I want to emphasize is that I am not somehow suggesting that today’s AI acts like humans or has become sentient. It is assuredly not. You see, I don’t like anthropomorphizing AI. What we are going to do here is merely reuse a practice that works for humans and see if we can get the practice to improve the results when using generative AI.

Dealing With Knotty Problems Beyond Chain-Of-Thought Approaches

I have extensively covered that an important prompting strategy consists of using chain-of-thought (CoT) oriented prompts, see my explanations and examples at the link here and the link here .

The use of CoT is relatively straightforward. You tell generative AI in your prompt that you want the AI to proceed on a step-by-step basis. The advantage is that you will get to see how the AI is tackling the problem and thus be able to assess whether you are willing to believe whatever answer is generated. The other benefit is that empirical research suggests that the AI will do a better job at solving a problem, partially due to taking the time to do a stepwise process rather than otherwise computationally rushing to get you an answer right away.

How does that comport with the LTM and MTL?

From my remarks above, I’m sure that you keenly observed that the CoT approach drives generative AI toward undertaking problem-solving on a stepwise basis. The moment we get into any stepwise problem-solving mode, you perhaps are now thinking about what an instructor or teacher might do related to the problem-solving process. A teacher or instructor would conventionally make use of the handy-dandy LTM or MTL.

You, the user, are in a sense a potential teacher or instructor for the generative AI, at least to the extent that you might intervene during the problem-solving process and act to provide further guidance to the AI. I am not saying that you necessarily know the answer being generated, and instead, you are simply applying your human judgment to provide a semblance of guidance to the AI.

A twist to this is that rather than you the user being the presumed instructor or teacher, you can have the generative AI act in that capacity in a kind of dual role. Here’s what I mean. You give a problem to the AI and ask that the problem be solved. The AI proceeds as you’ve requested. You also tell the AI to in a sense police itself along the way. The AI gives guidance to itself.

That’s a head-scratcher, for sure.

Can the AI be both acting as a problem-solver and an LTM/MTL guidance advisor at the same time?

Admittedly, this can be dicey. There is a solid chance that the AI is merely going to rubberstamp whatever is going on with the problem-solving aspects. The nice thing about the human teacher guiding a human student is that they have separate perspectives. If you try to do an LTM or MTL with yourself, the odds are that you might not do as well as using a third party to guide you.

The case for generative AI is usually notably different. I’ve generally found that generative AI can somewhat bifurcate problem-solving per se from the advice about problem-solving. Not always. You will need to be on your toes. Do not fall into a mental trap that just because you give a prompt telling the AI to do this it will work flawlessly. I can pretty much guarantee it won’t.

Research On Least-To-Most For Generative AI Is Informative

I will next describe research about the use of least-to-most aka LTM when prompting generative AI.

Interestingly, the LTM path seems to have caught on, while the MTL is not as widely explored. I urge that you use either LTM or MTL at your discretion. I am going to herein focus on the LTM. The MTL is pretty much the same and all you need to do is slightly reword the templated prompt accordingly.

In an AI research study entitled “Unleashing The Potential Of Prompt Engineering In Large Language Models: A Comprehensive Review” by Banghao Chen, Zhaofeng Zhang, Nicolas Langren, Shengxin Zhu, Guangdong, arXiv , October 27, 2023, the researchers said this about LTM (excerpts):

“The concept of ‘least to most prompting’ is an advanced method that involves starting with a minimal prompt and gradually increasing its complexity to elicit more sophisticated responses from the language model.
“The foundational premise of this approach is the decomposition of intricate problems into a succession of more rudimentary subproblems, which are then sequentially addressed. The resolution of each subproblem is expedited by leveraging solutions derived from antecedent subproblems.”
“Upon rigorous experimentation in domains including symbolic manipulation, compositional generalization, and mathematical reasoning, findings from substantiate that the least-to-most prompting paradigm exhibits the capacity to generalize across challenges of greater complexity than those initially presented in the prompts. They found that LLMs seem to respond effectively to this method, demonstrating its potential for enhancing the reasoning capabilities of these models.”

There are numerous ways that LTM is undertaken.

The research above notes that one means of doing LTM consists of first using a minimalist prompt and then proceeding to increase the complexity of your prompts as you further tackle a given problem at hand. That’s a fine way to proceed.

Another means or mode consists of telling the AI to proceed on an LTM basis. As I stated above, you can ask the generative AI to serve as its light-to-heavy-handed advisor. That’s a fine way to proceed too.

An in-depth examination of LTM for generative AI was undertaken in a research paper entitled “Least-to-Most Prompting Enables Complex Reasoning In Large Language Models” by Denny Zhou, Nathanael Scharli, Le Hou, Jason Wei, Nathan Scales, Xuezhi Wang, Dale Schuurmans, Claire Cui, Olivier Bousquet, Quoc Le, Ed Chi, ICLR 2023, arXiv, April 16, 2023, which included these key points (excerpts):

“To tackle such easy-to-hard generalization issues, we propose least-to-most prompting.”
“It consists of two stages: first decomposing a complex problem into a list of easier subproblems, and then sequentially solving these subproblems, whereby solving a given subproblem is facilitated by the answers to previously solved subproblems.”
“The term least-to-most prompting is borrowed from educational psychology where it is used to denote the technique of using a progressive sequence of prompts to help a student to learn a new skill.”
“Our empirical findings, which encompass symbolic manipulation, compositional generalization, and mathematical reasoning, reveal that least-to-most prompting significantly surpasses standard prompting and chain-of-thought prompting.”

A reassuring outcome of the research study was that their empirical findings supported the hunch that this LTM prompting does appear to boost your generated results from the AI. Thus, we can make use of the approach and do so with the strident belief that the effort is worthwhile.

For those of you deeply interested in these kinds of prompting approaches, you might enjoy taking a look at my analysis of chain-of-thought factored decomposition, see the link here , which is a particular CoT technique that in many ways parallels the LTM approach.

Before we get into further specifics about this prompting technique, it would be useful to make sure we are all on the same page about the nature and importance of prompt engineering. Let’s do that.

The Nature And Importance Of Prompt Engineering

Please be aware that composing well-devised prompts is essential to getting robust results from generative AI and large language models (LLMs). It is highly recommended that anyone avidly using generative AI should learn about and regularly practice the fine art and science of devising sound prompts. I purposefully note that prompting is both art and science. Some people are wanton in their prompting, which is not going to get you productive responses. You want to be systematic leverage the science of prompting, and include a suitable dash of artistry, combining to get you the most desirable results.

My golden rule about generative AI is this:

The use of generative AI can altogether succeed or fail based on the prompt that you enter.

If you provide a prompt that is poorly composed, the odds are that the generative AI will wander all over the map and you won’t get anything demonstrative related to your inquiry. Similarly, if you put distracting words into your prompt, the odds are that the generative AI will pursue an unintended line of consideration. For example, if you include words that suggest levity, there is a solid chance that the generative AI will seemingly go into a humorous mode and no longer emit serious answers to your questions.

Be direct, be obvious, and avoid distractive wording.

Being copiously specific should also be cautiously employed. You see, being painstakingly specific can be off-putting due to giving too much information. Amidst all the details, there is a chance that the generative AI will either get lost in the weeds or will strike upon a particular word or phrase that causes a wild leap into some tangential realm. I am not saying that you should never use detailed prompts. That’s silly. I am saying that you should use detailed prompts in sensible ways, such as telling the generative AI that you are going to include copious details and forewarn the AI accordingly.

You need to compose your prompts in relatively straightforward language and be abundantly clear about what you are asking or what you are telling the generative AI to do.

A wide variety of cheat sheets and training courses for suitable ways to compose and utilize prompts has been rapidly entering the marketplace to try and help people leverage generative AI soundly. In addition, add-ons to generative AI have been devised to aid you when trying to come up with prudent prompts, see my coverage at the link here .

AI Ethics and AI Law also stridently enter into the prompt engineering domain. For example, whatever prompt you opt to compose can directly or inadvertently elicit or foster the potential of generative AI to produce essays and interactions that imbue untoward biases, errors, falsehoods, glitches, and even so-called AI hallucinations (I do not favor the catchphrase of AI hallucinations, though it has admittedly tremendous stickiness in the media; here’s my take on AI hallucinations at the link here ).

There is also a marked chance that we will ultimately see lawmakers come to the fore on these matters, possibly devising and putting in place new laws or regulations to try and scope and curtail misuses of generative AI. Regarding prompt engineering, there are likely going to be heated debates over putting boundaries around the kinds of prompts you can use. This might include requiring AI makers to filter and prevent certain presumed inappropriate or unsuitable prompts, a cringe-worthy issue for some that borders on free speech considerations. For my ongoing coverage of these types of AI Ethics and AI Law issues, see the link here and the link here , just to name a few.

All in all, be mindful of how you compose your prompts.

By being careful and thoughtful you will hopefully minimize the possibility of wasting your time and effort. There is also the matter of cost. If you are paying to use a generative AI app, the usage is sometimes based on how much computational activity is required to fulfill your prompt request or instruction. Thus, entering prompts that are off-target could cause the generative AI to take excessive computational resources to respond. You end up paying for stuff that either took longer than required or that doesn’t satisfy your request and you are stuck for the bill anyway.

I like to say at my speaking engagements that prompts and dealing with generative AI is like a box of chocolates. You never know exactly what you are going to get when you enter prompts. The generative AI is devised with a probabilistic and statistical underpinning which pretty much guarantees that the output produced will vary each time. In the parlance of the AI field, we say that generative AI is considered non-deterministic.

My point is that, unlike other apps or systems that you might use, you cannot fully predict what will come out of generative AI when inputting a particular prompt. You must remain flexible. You must always be on your toes. Do not fall into the mental laziness of assuming that the generative AI output will always be correct or apt to your query. It won’t be.

Write that down on a handy snip of paper and tape it onto your laptop or desktop screen.

Exploring The Practical Day-to-Day Use Of LTM

We are ready to dig more deeply into the LTM prompting strategy.

In the research study that I cited above as an in-depth examination of LTM, they provided various examples including one about Elsa and Anna and their collected apples. Elsa has five apples, while Anna has two more apples than Elsa. The problem to be solved is how many apples they have in total. I’m sure you recognize this as a typical arithmetic word problem that you had while in school.

Let’s take a look at this example.

They entered a prompt that offered no particular suggestions about how to solve the problem and wanted to see how the problem would be solved:

Prompt : “Q: Elsa has 5 apples. Anna has 2 more apples than Elsa. How many apples do they have together?”
Generative AI generated response : “A: Anna has 2 more apples than Elsa. So Anna has 2 + 5 = 7 apples. So Elsa and Anna have 5 + 7 = 12 apples together. The answer is: 12.”

The answer is correct. I’m sure you already figured out the answer in your head. Proof that the math you learned in school has finally paid off.

Next, they used an overarching prompt to invoke an LTM approach, which then spurred the generative AI accordingly. You can see what happened as a result:

Generative AI generated response : “A: Let’s break down this problem: 1. How many apples does Anna have? 2. How many apples do they have together?”
“1. Anna has 2 more apples than Elsa. So Anna has 2 + 5 = 7 apples.”
“2. Elsa and Anna have 5 + 7 = 12 apples together.”
“The answer is: 12.”

Here’s what the researchers said about this:

“The demonstration exemplar consists of two parts. The first part (starting from “Let’s break down this problem”) shows how the original problem can be decomposed into simpler subproblems, and the second part shows how the subproblems are solved in sequence. Note that this prompt combines decomposition and subproblem solving into a single pass. One may instead design two different prompts respectively for decomposition and subproblem solving, as the least-to-most prompts in the previous sections, to further improve performance.” (ibid).
“We also construct a chain-of-thought prompt as our baseline. It is derived from the least to-most prompt by removing the decomposition part. Overall, least-to-most prompting only slightly improves chain-of-thought prompting: from 60.97% to 62.39%. However, least-to-most prompting essentially improves chain-of-thought prompting in solving problems which need at least 5 steps to be solved: from 39.07% to 45.23%.” (ibid).

I’d like to provide some commentary about this.

In this case, the apple problem is quite obviously a simple one. I’m not knocking the problem. I’m merely emphasizing that with simple problems the odds are that using a LTM is probably not going to make a whale of a difference. As you likely observed, the correct answer was derived in both the case of not using LTM and when using LTM.

My recommendation is that you should aim to use LTM or MTL mainly when you have a tough problem. If the problem consists of a lot of steps and is hard to solve, I consider that type of problem to be a more suitable candidate. Just my suggestion. You can use LTM or MTL whenever you like.

Let’s next take a look at some homegrown examples of what happens when you use an LTM prompt while in a conversation with generative AI. I am going to use ChatGPT to showcase my examples. ChatGPT is a sensible choice in this case due to its immense popularity as a generative AI app. An estimated one hundred million weekly active users are said to be utilizing ChatGPT. That’s a staggering number.

A few quick comments before we launch into using ChatGPT.

If you are going to try to do the same prompts that I show here, realize that the probabilistic and statistical properties will likely produce slightly different results than what I show here. That’s the nature of generative AI and how it is devised.

You also should expect that different generative AI apps will respond in different ways. Not all generative AI apps are the same. The key is that sometimes a particular prompt will work in one generative AI app and not another. You will need to undertake a series of trial-and-error attempts to ferret this out.

There is also the timing factor. A prompt that worked today might not work the same way tomorrow. Most of the generative AI apps are continually being updated. The updates might alter internal facets that could change how the AI reacts to your prompting.

We are ready to get underway with ChatGPT.

Here we go.

We will start by using the apple problem again.

I present the problem and do not make use of any prompting adornments. I just say what the problem is and ask my question. This will be our baseline in this instance.

My entered prompt : “Elsa has 5 apples. Anna has 2 more apples than Elsa. How many apples do they have together?”
ChatGPT generated response : “Let's start by finding out how many apples Anna has. Since Anna has 2 more apples than Elsa, we add 2 to Elsa's 5 apples. Elsa's apples: 5. Anna's apples: 5 + 2 = 7. Total apples = Elsa's apples + Anna's apples = 5 + 7. Total apples = 12”

I will next use a prompt that invokes LTM. This is one such example. There are a multitude of ways to word this kind of prompt.

My entered prompt: “I want you to solve problems using a problem-solving technique known as least-to-most problem-solving. This means that you are to divide a problem into a series of subproblems, and then solve each of the subproblems one at a time. As you do so, provide advice to yourself that is guiding your problem-solving process. Start with light advice in terms of advisement, and then proceed to rachet up the advisement as you get into further steps. Make sure to show me the steps, subproblems, and the least-to-most advice. Tell me if you understand these instructions. Here is the first problem that I want you to solve: Elsa has 5 apples. Anna has 2 more apples than Elsa. How many apples do they have together?”
ChatGPT generated response:

“Yes, I understand the instructions. I will solve the problem using the least-to-most problem-solving technique.

“Step 1: Define the problem”

“Advice: Make sure to carefully define the problem based on the information provided.”

“We're tasked with determining the total number of apples Elsa and Anna have combined. Elsa initially possesses 5 apples, while Anna holds 2 more apples than Elsa.”

“Step 2: Identify subproblems”

“Advice: The problem requires using the number of apples that Elsa has to calculate the number of apples that Anna has.”

“To solve this problem, we need to ascertain Anna's apple count, given that it's dependent on Elsa's count. Then, we'll sum up their individual apple counts to derive the total.”

“Step 3: Solve subproblems”

“Advice: Divide the problem into subproblems. Solve each subproblem. Combine the results.”

“Subproblem 1: Calculate Anna's apples”

“Elsa has 5 apples. Anna, having 2 more apples than Elsa, must possess 5 + 2 = 7 apples.”

“Step 4: Perform calculations”

“Advice: Recap the results calculated so far.”

“Elsa's apples: 5”

“Anna's apples: 7”

“Step 5: Review”

“Advice: Review the progress made and doublecheck the interim results.”

“Anna's apple count stands at 7.”

“Step 6: Combine results”

“Advice: Summarize what has been calculated. Perform the final needed calculation.”

“Now, let's aggregate the apple counts of Elsa and Anna to determine the total.”

“Total apples: 5 + 7 = 12”

“Step 7: Conclusion”

“Advice: Indicate the final answer.”

“Thus, the combined total of Elsa and Anna's apples amounts to 12.”

“Step 8: Reflect on the journey

Advice: “By breaking down the problem into manageable steps and maintaining a disciplined approach, we arrived at the solution without any unnecessary distractions. This reinforces the importance of clarity and attentiveness in problem-solving endeavors.”

End of ChatGPT response

The good news is that the LTM prompting got us quite a lengthy depiction of the problem being solved. The bad news in this instance is that the problem was easy-peasy and we’ve basically used a bazooka to try and deal with an ant. The odds are we would be disturbed at the verboseness of this response to such a minuscule problem.

In any case, both the unadorned approach and the adorned approach landed on the same and correct answer.

I will try a somewhat more involved problem and see how the approach better presents itself.

Here’s the deal. I am contemplating taking a trip to Europe. I would like ChatGPT to help me with the planning of the trip. Let’s see what can be done:

My entered prompt: “I am thinking of taking a trip to Europe for about two weeks and am hoping to keep my spending to $3,000. I like Italy and France. Consider that planning for the potential trip is a type of problem to be solved. Use the least-to-most problem-solving technique that I described to you.”

“Yes, I understand the instructions. I will solve a problem using the least-to-most problem-solving technique, dividing the problem into subproblems and providing commentary guiding the process.”

“Let's begin.”

“Problem: Planning a vacation to Europe”

“Advice: Start by clarifying the main objective of the trip. Consider factors like interests, budget, and time constraints.”

“Decision: The main goal is to plan a vacation to Europe.”

“Subproblem 1: Decide on the destination”

“Advice: Let's start by narrowing down the options for the destination based on the expressed preferences.”

“Decision: Visit both Italy and France.”

“Subproblem 2: Determine the duration of the trip”

“Advice: Decide how long the stay in Europe will be.”

“Decision: “A two-week trip seems reasonable to visit both countries.”

“Subproblem 3: Set a budget”

“Advice: Review the budgeted amount.”

“Decision: The budget of $3000 will be for the entire trip, including flights, accommodation, and daily expenses.”

“Subproblem 4: Plan the itinerary”

“Advice: Create a draft itinerary of places to visit and activities to do.”

“Decision: Spend the first week in Italy, visiting Rome, Florence, and Venice, then head to Paris for the second week.”

“Subproblem 5: Book flights and accommodation”

“Advice: With the itinerary in place, book flights and accommodation.”

“Decision: Search for flights and hotels that fit within the budget and align with travel dates and destinations.”

“Subproblem 6: Plan activities and tours”

“Advice: Research and book activities and tours for each destination.”

“Decision: Prioritize iconic landmarks and cultural experiences, such as visiting the Colosseum in Rome and taking a wine tour in Tuscany.”

Subproblem 7: Arrange transportation within Europe

“Advice: Figure out how to get around within Europe, whether by train, bus, or rental car.”

“Decision: Purchase a Eurail pass for train travel between cities and use public transportation or walk for shorter distances.”

“Subproblem 8: Pack and prepare for the trip”

“Advice: Pack appropriately and take care of any necessary preparations before departure.”

“Decision: Make a packing list, gather essential documents like passports and travel insurance, and notify my bank of my travel plans.”

“This completes the least-to-most problem-solving process for planning a vacation to Europe. Each subproblem was identified, analyzed, and addressed in sequence, leading to a comprehensive plan for the trip.”

You can see how ChatGPT was generating advice for itself during the planning of my trip to Europe.

I found this useful since the advice served as an explanation associated with each of the decision steps that were made. Note that the problem to be solved in this instance was not a precise one, namely that, unlike the arithmetic word problem, there isn’t a specific right answer per se.

Generally, the LTM or MTL will be more applicable to problems that involve a precise answer. Open-ended problems are not as likely to benefit, though there is still an advantage to using these techniques even in that use case.

I had mentioned earlier that another means of using LTM would be for the user to make use of a series of prompts that are increasingly advising on generative AI. I opted to try this out and redid my European planning trip in that mode.

I asked generative AI to present me with its first-shot solution. I then gave my preferences about the cities to be visited and had the AI redo the solution. After seeing that response, I added more advice of my own, such as that I prefer trains over buses, I don’t like going to museums but do like going to natural landscapes like parks, and so on. I increasingly made my prompts more heavy-handed.

I’m elated to say that my potential trip to Europe is now well-planned. All I need to do is figure out the specific dates and make sure I’m clear at work to make the trip.

Wish me luck!

The famous American architect, R. Buckminster Fuller, said this about solving problems: “When I am working on a problem, I never think about beauty but when I have finished, if the solution is not beautiful, I know it is wrong.”

One potential means of solving problems and garnering beautiful or robust solutions is said to be via the use of problem-solving techniques such as least-to-most and most-to-least. You should consider using the LTM or MTL as a prompting approach when using generative AI.

My erstwhile suggestion is that you practice the LTM prompting technique first and try to hone the approach as befits your personal prompting style. Make it part of your personal repertoire. Some people are aware of various prompting strategies but don’t exercise them enough to feel comfortable using them. As they say, the best way to get to Carnegie Hall and the best way to be proficient in prompting is due to three vital words, practice, practice, practice.

A final word for today’s discussion will be a memorable quote from the distinguished Albert Einstein. Of the many clever and insightful remarks he had made, here’s one that you might not know and yet has a beauty all its own: “It's not that I'm so smart, it's just that I stay with problems longer” (per Einstein).

What is the lesson learned?

Make sure to stay with your prompting endeavors long enough that they become second nature. Try out a wide variety of prompting techniques. Be deeply versed. And, by the way, I’m guessing that Einstein would have been doing the same.

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Getting to the Root of a Problem Quickly

5 Whys Root-Cause Analysis

Origins of the 5 Whys Technique

When to Use a 5 Whys Analysis

How to Use the 5 Whys

1. Assemble a Team

2. Define the Problem

3. Ask the First "Why?"

4. Ask "Why?" Four More Times

What Is a 5 Whys Template?

Figure 1: 5 Whys Example (Single Lane)

Figure 2: 5 Whys Example (Multiple Lanes)

Step 5. Know When to Stop

6. Address the Root Cause(s)

7. Monitor Your Measures

Appreciation

Tips for Using the 5 Whys Technique

Frequently Asked Questions About 5 Whys

2. Who Invented 5 Whys?

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Customizing the Template

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3. Ask “Why” Four More Times

4. Stop When the Root Cause is Discovered

5. Determine and Implement Corrective Actions

6. Monitor the Solution

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What is the 5 Whys framework?

Table of Contents

Dive into the 5 Whys: Origins, basics, and benefits

Origins of the 5 Whys: From Toyota to today

Potential of the 5 Whys: Benefits and impact

Mastering the 5 Whys: Step-by-step guide

Step 1: State your problem

Step 2: Ask your first Why?

Step 3: Probe deeper with more Whys

Step 4: Unearth the root cause

Step 5: Develop and implement your solution

5 Whys in action: Real-world applications and examples