How do you create boundaries for root cause analysis?

1 Define the incident

The first step in RCA is to clearly define the incident that you want to analyze. This means describing what happened, when, where, how, and why, as well as the impact, severity, and scope of the incident. You can use a standard incident report template or a tool like postmortem to document the incident details. Defining the incident will help you focus on the relevant facts, avoid assumptions, and set the scope of your RCA.

2 Choose a method

The next step in RCA is to choose a method or framework that suits your needs and goals. There are many different methods for RCA, such as the 5 Whys, the Fishbone Diagram, the Fault Tree Analysis, and the Kepner-Tregoe Method. Each method has its own advantages and disadvantages, depending on the type, complexity, and context of the incident. You should choose a method that is simple, systematic, and logical, and that helps you identify the root causes, not just the symptoms or contributing factors.

3 Gather data

The third step in RCA is to gather data and evidence that support your analysis. This means collecting and reviewing logs, metrics, alerts, tickets, reports, interviews, surveys, and any other sources of information that can help you understand the incident. You should aim to gather data from multiple perspectives and sources, and verify its accuracy, completeness, and relevance. You should also organize and store your data in a way that is easy to access, analyze, and share.

4 Analyze data

The fourth step in RCA is to analyze the data and identify the root causes of the incident. This means applying your chosen method or framework to the data, and following a logical and rigorous process of questioning, testing, and validating your hypotheses. You should aim to find the root causes that are specific, actionable, and within your control, and that address the underlying problems, not just the immediate triggers or consequences. You should also document your findings and recommendations in a clear and concise way.

5 Communicate results

The fifth step in RCA is to communicate the results and recommendations of your analysis to the relevant stakeholders. This means presenting your RCA report or summary, explaining your methodology, findings, and suggestions, and answering any questions or feedback. You should aim to communicate your results in a timely, transparent, and constructive way, and to highlight the benefits and challenges of implementing your recommendations. You should also follow up on the progress and outcomes of your RCA.

6 Review process

The sixth step in RCA is to review the process and evaluate its effectiveness. This means reflecting on your RCA experience, identifying what worked well and what didn't, and learning from your successes and failures. You should aim to review your process regularly, and to seek feedback from others who were involved or affected by the incident. You should also update your RCA methods, tools, and best practices based on your lessons learned.

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?