Root Cause Analysis | Word Template FREE

This Root Cause Analysis (RCA) Template is designed to help address and rectify issues within IT systems. This comprehensive template serves as a structured guide to assist IT professionals, system administrators, and relevant stakeholders in identifying, analyzing, and resolving systemic problems effectively.

What is Root Cause Analysis

Root Cause Analysis (RCA) is a systematic approach used to identify the underlying causes of problems or incidents. In other words it is focused on identifying 'why' something has happened. Getting to the root cause is the only way to fix a problem permanently. In a busy, frenetic workplace it can be tempting to treat the symptoms of a problem. RCA forces you to keep investigating until you find the underlying reason for what might be a number of different symptoms. For example, an IT system may be very slow at particular times. If IT support increase system resources they will temporarily ease the problem, but they won't solve the underlying problem (often badly written code or poorly constructed queries).

Unlike superficial methods that address only immediate symptoms, RCA delves deeper, aiming to prevent recurring problems by addressing their origin. This approach not only fosters long-term solutions but also promotes a culture of continuous improvement and accountability. By adopting RCA, organizations can move beyond temporary fixes to implement changes that lead to sustainable growth and improvement.

The 5 Root Cause Analysis Categories

• Hardware: Issues related to physical components of the IT system.
• Software: Issues related to the software applications, including bugs, incompatibility, or misconfiguration.
• Human Factors: Issues related to human error, lack of training, or miscommunication.
• External Factors: Issues related to external sources such as power outages, cyber-attacks, or third-party service failures.
• Environmental: Issues related to the physical environment, such as temperature, humidity, or dust.

Root Cause Analysis Tools

1. The 5 Whys Technique

• Description: The 5 Whys technique is a simple but effective method used to uncover the underlying cause of a problem. By asking "Why?" multiple times (typically five), you peel away the layers of symptoms that can lead to the root cause of an issue. This iterative questioning process helps ensure that the symptoms of a problem are not mistaken for the root cause.
• Application: Start with the initial problem statement and ask why the problem occurred. Record this answer. If the answer provided does not identify the root cause, ask "Why?" again, using the response as the new problem statement. Continue this process until the root cause is identified. This method is best used for straightforward problems and is particularly effective when problems involve human factors or interactions.
• Example: If a server crashes frequently, asking "Why?" repeatedly could reveal a deeper issue like outdated firmware, which could then be addressed to prevent future crashes.

2. Fishbone Diagram (Ishikawa Diagram)

• Description: The Fishbone Diagram, also known as the Ishikawa or Cause and Effect Diagram, is a tool that helps identify, sort, and display possible causes of a specific problem or quality characteristic. It visually organizes potential causes into categories, making it easier to explore and identify root causes. The diagram looks like a fish's skeleton with the problem at the head and the causes extending to the left as fishbones.
• Application: To use the Fishbone Diagram, start by writing the problem statement at the head (or mouth) of the fish. Draw a horizontal line from the problem statement across the paper; this represents the spine. Branch off this line to create categories of potential causes (such as People, Processes, Technology). Under each category, list possible causes of the problem. Continue to branch off each cause until the root causes are identified.
• Example: In the case of slow network performance, categories might include Hardware, Software, User Actions, and External Factors, with more specific potential causes listed under each category.

3. Fault Tree Analysis (FTA)

• Description: Fault Tree Analysis is a top-down, deductive analysis method used to identify the various combinations of hardware, software, environmental, and human errors that could lead to undesirable events (faults). It uses a graphical representation (tree structure) to show the logical relations between sub-systems and events leading to a top event (system failure).
• Application: Begin with the main problem (top event) and work downwards, identifying all possible causes and sub-causes that could lead to this top event. Each branch of the tree represents a fault pathway, and logical symbols (AND, OR) are used to show the relationship between different causes. This method is particularly useful for complex systems where multiple factors can lead to a failure.
• Example: In an analysis of data loss incidents, the top event might be "Data Lost." Subsequent levels of the tree could explore hardware failures, software issues, human errors, and external threats, breaking down each category into more specific events.

Each of these tools can be applied depending on the nature and complexity of the problem to be solved. They are valuable in promoting systematic thinking and ensuring that the analysis covers all possible dimensions of a problem.

Why you need this template

The aim of this template is to ensure a meticulous and fact-based approach to problem-solving, facilitating thorough documentation and analysis of incidents impacting IT system performance and functionality. By utilizing this template, teams can ensure a coordinated effort towards diagnosing the root cause of an issue, implementing appropriate fixes, and verifying the effectiveness of those solutions to prevent future occurrences.

Each section of this template prompts the user to provide specific, actionable information, from detailing the problem and its impact to outlining the steps required to rectify the issue. This methodical approach encourages clear communication, efficient resolution strategies, and a collaborative effort towards maintaining optimal system performance and reliability.

The contents of the Root Cause Analysis template

Incident details

• Reported prepared by:
  • Name
  • Email
  • Phone

  

  • System Name
  • URL/Location
  • System Admin
  • Client System Admin

  

  Problem statement

  Describe the issue with the system, including what is occurring, where, and its impact. Try to keep it precise and factual and avoid emotive language.

  Example 1
  Intermittent performance issue reported by users in multiple locations. Month end forms slow to refresh and submit. This could delay the completion of the month end process.

  Example 2
  Error message received when users try to search in the companies module. Error reads ‘Error 43 syntax error row 3531 expected end statement’. This is causing delays in call handling while agents manually look up company details.

  Timeline of Events

  Provide a brief chronology of events, including any recent changes in the system.

  • Xx/xx/xxxx 00:00 – problem reported by London office.
  • Xx/xx/xxxx 00:00 – reports from India office.
  • Xx/xx/xxxx 00:00 – Incident logged.
  • Xx/xx/xxxx 00:00 – Investigation started.
  • Xx/xx/xxxx 00:00 – Fix identified.

  Steps to Replicate

  Give clear steps to replicate the issue including any logins and data that is needed to trigger the problem.

  1. Login as testuser124
  2. Open Month End menu and select submit data.
  3. Use sample month end data in appendix.
  4. Complete Month End form and click submit.
  5. Repeat steps 2 – 4 until performance is reduced.

  Details of investigation

  Describe what you have done to find the root cause. Include any possible causes that you have ruled out and why.

  1. Alongside replication we:
     1. Checked error logs.
     2. Monitored CPU, memory, garbage collection etc
     3. Monitored users logged.

     Root cause

     Describe the root cause of the issue as precisely as possible. If further work is needed to pin down the exact root cause you can describe that here.

     1. SQL query to fin-db slowing submission because it doesn’t handle NULL values.

     Steps to

     Document the steps that will be taken to fix the cause of the problem. You can include technical details like code here or in an appendix.

     1. Re-write SQL query to handle NULL values. See Appendix for SQL.

     Who will fix?

     Give the name of the person or team who will implement the fix

     Timeline for fix

     Describe when the fix will be implemented. Include any downtime and testing time.

     How the fix will be tested

     Document the steps that will be taken to test that the fix has worked.

     1. Users login and submit test end test data at times they normally would.
     2. Support monitor logs, cpu etc.
     3. Users observe whether performance has improved.

     Approval and sign-off

     List the people who will need to approve this root cause analysis.
     

     

     Optional sections

     1. Corrective Action Plan: Outline specific actions that will be taken to address the identified root cause. This should include who is responsible for each action, the deadline for completion, and any resources required.
     2. Preventive Measures: Detail steps that will be taken to prevent the issue from happening again in the future. This might include changes to processes, training, checks, or balances.
     3. Follow-up Actions and Monitoring: Describe how the effectiveness of corrective and preventive measures will be monitored over time. This could include scheduled reviews, metrics to be tracked, and who will be responsible for this monitoring.
     4. Impact Analysis: Provide an analysis of the issue's impact, including the extent to which it affected systems, processes, customers, and financials.
     5. Documentation and Record Keeping: Specify how and where the findings, actions, and outcomes of the RCA will be documented and stored for future reference.
     6. Lessons Learned: Reflect on the incident and the RCA process to identify any lessons learned that can be applied to improve future RCA efforts or prevent similar issues.
     7. Executive Summary: Provide a concise summary of the issue, its root cause, the impact, and the key corrective and preventive measures to be taken.

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