How do you collaborate with other teams and external parties in root cause analysis?

1 Define the scope and objectives

Before you start your RCA, you need to define the scope and objectives of your investigation. What is the incident that you are analyzing, and what are the expected deliverables and timelines? Who are the stakeholders and decision-makers that you need to report to or consult with? What are the criteria and methods that you will use to identify and verify the root causes? Having a clear and agreed-upon scope and objectives will help you focus your efforts, communicate your progress, and avoid scope creep or conflicts.

2 Identify the relevant teams and parties

Depending on the nature and impact of the incident, you may need to collaborate with different teams and parties in your RCA. For example, you may need to work with IT, development, operations, legal, compliance, audit, or customer service teams within your organization. You may also need to coordinate with external parties such as vendors, partners, regulators, law enforcement, or third-party experts. You should identify the relevant teams and parties early on, and establish the roles and responsibilities of each. You should also determine the communication channels, frequency, and format that you will use to share information and feedback.

3 Gather and analyze data

One of the main tasks in RCA is to gather and analyze data from various sources that can help you understand the incident and its causes. You may need to collect data such as logs, alerts, reports, tickets, backups, configurations, code, or forensic evidence. You may also need to interview or survey people who were involved in or affected by the incident. You should collaborate with other teams and parties to access, validate, and interpret the data that you need. You should also document your data sources, methods, and findings, and share them with your collaborators for review and verification.

4 Generate and test hypotheses

Based on the data that you have gathered and analyzed, you should generate and test hypotheses about the possible root causes of the incident. You should use a structured and logical approach such as the 5 Whys, fishbone diagrams, or fault tree analysis to identify the causal factors and relationships. You should also collaborate with other teams and parties to get their input, feedback, and validation on your hypotheses. You should avoid jumping to conclusions, blaming individuals or groups, or ignoring alternative explanations.

5 Recommend and implement solutions

Once you have identified and verified the root causes of the incident, you should recommend and implement solutions that can prevent or mitigate similar incidents in the future. You should prioritize the solutions based on their feasibility, effectiveness, cost, and impact. You should also collaborate with other teams and parties to get their buy-in, approval, and support for your solutions. You should document your recommendations, actions, and results, and share them with your collaborators and stakeholders.

6 Learn and improve

The final step in RCA is to learn and improve from the incident and the analysis. You should conduct a post-mortem or a lessons learned session with your collaborators and stakeholders to review the incident, the RCA process, the solutions, and the outcomes. You should identify what went well, what went wrong, and what can be improved. You should also document and communicate the key findings, insights, and recommendations from your RCA. You should also update your policies, procedures, tools, and training to reflect your learnings and improvements.

7 Here’s what else to consider

This is a space to share examples, stories, or insights that don’t fit into any of the previous sections. What else would you like to add?