Root Cause Analysis*

Instructions
If you dont ask the right questions,
you dont get the right answers.
Edward Honett, British poet
*With a special thanks to our trusted partner, Echoing Green, for the inspiration behind the Root Cause

Root Cause Analysis Instructions

In ancient legend, Hercules set out to slay the

hydra, a ferocious, mythical beast with many
heads. Upon confronting the hydra, Hercules found
that for every head he slayed the beast grew two
more heads in its place

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Root Cause Analysis Instructions

If we dont find a way to address the root cause of the challenges we are tackling, we will be
like Hercules confronting the hydra. It wasnt until Hercules found a way to slay the beast itself
that he was able to finish the job. The same is true for us we must identify the root cause of
the challenge we are facing in order to slay it once and for all.
The Root Cause Analysis provides a framework to identify the root cause using the power of
inquiry. In the words of the British poet Edward Honett:
If you dont ask the right questions, you dont get the right answers.

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Root Cause Analysis Instructions

OVERVIEW: Determining the Root Cause 5 Whys

To create lasting and systemic change, it is important to move beyond addressing symptoms of
the problem that you are tackling and to identify and address the root cause(s). A powerful
technique for moving an individual or organizations thinking beyond obvious symptoms and to
root causes is the 5 Why exercise. This exercise, which involves asking the question why?
five times, digs beneath the surface and helps to uncover underlying factors that must be
addressed in order for you to create the impact that you seek. If you simply address the
symptoms without an understanding of the root causes, you may find that your interventions
are limited in their potential and that your outcomes are different from what you anticipate.

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Root Cause Analysis Instructions

A Warning:
A very high percentage of applicants identify the root cause of the problem as poverty and/or
lack of education. While poverty and lack of education are often contributing factors and have
devastating effects on a community, they are not, in fact, root causes. Lets explore poverty in
a community. Why does poverty exist in the community where you are working? Is it because
there is high unemployment or that jobs exist but the pay scales are very low? If it is because
there is high unemployment, why are there so few employers in the community? Is it because
they dont believe there is a local market for their products, the area is lacking in the natural
resources required to produce their product or they cant find skilled workers? Or is it because
the tax structure or government restrictions make it a difficult environment for employers to be
successful? As you can see, each time you ask the question why? and peel back the next
layer of the onion, so to speak, you gain additional critical information about underlying factors
contributing to the problem. If you create an excellent job training program but employers still
wont open businesses in the community, very little real progress will have been made.
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Root Cause Analysis Instructions

Complex Problems:
The root cause analysis is community and situation specific. The same issues may exist in
many different communities but for very different reasons. For example, high rates of violence
among teens exist in both Community A and Community B. Why? An obvious cause for the
level of violence could be that teens dont have anything to do during after school hours,
leading to increased gang and/or illegal activity. While answering the first why? may lead to
a similar answer for both communities, once you move beyond the first level, as shown in the
example provided, you discover that the necessary intervention in Community A is very
different from the necessary intervention in Community B.
The social challenges that we take on are complex. Rarely is there a single root cause. Often
there are multiple contributing factors, all of which must be addressed on some level if the
organization wants to drive real results. In completing this part of your application, you may
opt to analyze as few as one root cause or up to four. While asking why? five times is a
general rule, it is possible that you will get to the root cause by asking why? as few as three
or four times.
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Root Cause Analysis Instructions

There are five components of the Root Cause Analysis:
1.
2.
3.
4.
5.

Challenge Statement
Symptom(s)
5 Whys
Root Cause
Necessary Intervention

An example of a Root Cause Analysis and a further explanation of each component is given
below

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Root Cause Analysis Instructions

The following Root Cause Analysis was completed for Watsons sister organization, Educate!
Challenge Statement: In Uganda, and Africa at large, there is a profound need for socially responsible leaders across diverse sectors of society.
Societal level:
Educational system level:
Symptom 1: There are numerous systemic problems facing Ugandan
Symptom 2: Upon graduation students lack the skills and experience required to
society, from tribalism, to corruption, disease, poverty, and environmental
effectively create change as the next generation of socially responsible leaders
degradation.
across diverse sectors of society from business to the community and politics.
Why?
Efforts to address these challenges often have little impact.
Why?
The education system is mismatched to the challenges students and their
communities face.
Why?
Efforts are not innovative, effective, or scalable.
Why?
The education system was implemented by the British to train civil
servants that conformed to the colonial system and maintained the
status quo. The education system hasnt been widely reformed since
1962 when Uganda gained independence.
Why?

Why?

People across diverse sectors of Ugandan society do not have the

appropriate experience and preparation to develop and implement
impactful solutions.

Why?

Why?

The government and NGOs have largely focused on increasing access

(quantity), rather than reforming the education itself (quality).
It is wrongly assumed that those students fortunate enough to
receive an education are equipped to become the next generation
of leaders who will address social ills using their education.

Root Cause: The education system is focused on rote memorization of facts Root Cause: There is a lack of leadership in education (schools, NGOs,
and does not empower students to become socially responsible leaders who government) that understands the weaknesses of the current system and the power
are equipped to identify opportunities to solve the challenges faced by their of a system focused on students potential to better to society.
communities and country at large.
Intervention Needed: It is necessary to supplement the education system
with leadership experience and mentoring that empowers students to
become the next generation of socially responsible leaders.

Intervention Needed: It is necessary to enable the next generation of leaders in

education (the Educate! Mentor alumni) who understand the weaknesses of the
traditional system, experience an alternative approach through Educate! that
challenges tradition by focusing on the potential of students to better society, and
have the experience, motivation, and ability to bring about educational reform.

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Root Cause Analysis Instructions

Instructions for completing your root cause analysis
The purpose of this part of our application is to help us to better understand why you have
chosen your particular approach to solving the problem youve identified and to help us to
understand how this approach will drive deep impact by tackling the problem at the root rather
than simply addressing a symptom. In other words, are you eliminating the source or pain
(e.g., an antibiotic for an infection) or providing pain relief (e.g., an aspirin for the associated
aches and pains)?
An explanation of the five parts of the Root Cause Analysis follows:

Challenge Statement: This is your overall challenge statement the higher level problem
you are solving.

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Root Cause Analysis Instructions

Symptoms: You may opt to analyze as few as one symptom or up to four. The number of
symptoms that you select should be reflective of the complexity of your program model. If
your program is extremely focused, you may find that analyzing a single symptom clearly
demonstrates how your organization is truly addressing the root cause of the need identified
above. If your program model has multiple elements that address the need from different
angles, you will want to identify the relevant symptoms and root causes associated with the
different program elements. Note that social challenges are highly complex and identifying
symptoms and root causes could be a never ending exercise. Please focus only on those
symptoms and root causes that you feel are most critical in driving the structure and key
elements of the strategy for your organization.
What do we mean by symptoms? A symptom is evidence that the problem you identified in
your statement of need exists. In most cases, it doesnt explain why the problem exists.
Using the medical analogy provided in the help text for the initial application, your statement
of need, simply stated, is that you are ill. Your symptoms are a sore throat, fever and body
aches. These symptoms each support the statement that you are ill but dont definitively
explain what is wrong with you. For our purposes, symptoms may include but are not limited
to: Statistics (e.g., high school drop out rate is 70%), Observed behaviors (e.g., teachers from
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Root Cause Analysis Instructions

The 5 Whys: If you have spent any time around a three year old, you know that there is no
magical property to answering the question why? five times; it is possible, as the typical 3
year old proves on a frequent basis, you could keep asking why? ad infinitum. The point is to
ask the question enough times, generally between three and five times, that you have a very
clear sense of the intervention needed to create real change.

Root Cause: This is the real heart of the matter, the underlying cause that must be
addressed for your work to be successful.

Intervention Needed: Briefly describe (see example) what must be done to address the root
cause.
A second warning: Once finished with your first draft, double check to be sure that the solution
you describe actually addresses the root cause and not one of the symptoms.

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