Nokia RCA Template

Root Cause Analysis For Use within Nokia
Attached to this RCA template is a comprehensive checklist with guidance (does and don’ts) on how to properly
complete the RCA document. The checklist contains examples and should be referenced as you write the RCA
document. PRIOR to distributing the RCA document for review, please verify its contents against the checklist to ensure
proper level of quality. This checklist must be reviewed PRIOR to delivering the RCA document to Nokia for review.
Short Problem Title:
Problem Number Date of RCA request

Service Now problem #
RELATED INCIDENT
Incident Date Incident Number Incident Priority Classification

Service Now incident #
CURRENT RCA VERSION
RCA Version Date RCA Version Number Summary of updates Author
RCA VERSION HISTORY -Version history of final RCA documents (version 1.0 and higher)
RCA Version Date RCA Version Number Summary of updates Author
Ecosystem Integrator Nokia - RCA Template (May 2017) Page 1 of 19

Contents
1. Executive Summary............................................................................................................................. 3
2. Incident History.................................................................................................................................. 7
3. Root Cause Analysis............................................................................................................................8
3.1 Outage Detection.............................................................................................................................. 8

3.2 Outage Duration................................................................................................................................ 9
3.3 Outage Prevention / Prevention of Business Impact...........................................................................9
4. Root Cause(s) categories for breakdown / disturbance......................................................................10

5. Problem Resolution List (Corrective Actions).....................................................................................11
6. Lessons Learned from this Root Cause Analysis (Advice to Others)....................................................12
7. Abbreviations....................................................................................................................................12
8. Questions to be asked for Problem Closure Review...........................................................................13

1. Executive Summary
Complete after completing Incident History, Root Cause Analysis, Root Cause Categories and Problem Resolution List
Brief Description:
(Of the Incident and its resolution based on
information in the incident ticket.)
Description of Customer Impact:

(How did the Incident(s) affect the Customer’s
business)
Affected Service(s) / Application(s):

Related Supply Offering in Service Now
Contract Group / Number: optional
Service / Application Owner:
Affected Department(s): optional
Affected Location(s): optional
Affected number of Users:
Summary Incident Time Line:
Monitoring Event Date / Time stamp
Start Date / Time of incident:
Start Date / Time of Critical Impact:
End Date / Time of incident:
End Date / Time of Critical Impact:
Duration time incident during service hours:
Critical duration time incident:
Service Level/Violation: optional
INTERFACES TO OTHER SERVICE MANAGEMENT PROCESSES

Event ticket number Change / Release / Repeat Problem? Capacity Resilience Other Issue(s)
(Evidence of detection by Service Request related (Include original Breach Issue Please specify
monitoring) problem number(s) if Yes/No Yes/No
Yes, else put No)
(Include change or release
number if Yes, else put No)
Key Findings (causes): – based on information in Section 4
Initiating Root Cause Description:

(Usually technical – what created the original
Incident.)
Initiating Cause Code and CI Type / Process:

Application Software Hardware Network Environmental CI-type/Process
Choose an item. Choose an item. Choose an item. Choose an item. Choose an item. Choose an item.
Contributory Causes:
(What allowed or encouraged the Initiating Root
Cause or affected the size of the impact.)
Workaround (optional):
(Documented workaround to decrease Time to Act
and Time to Solve in case of future incidents)
Key actions to ELIMINATE causes found: - based on main information in Section 5

(Don’t include incident resolution actions)
Initiating Root Cause:
Contributory Causes:
PROPOSED MITIGATIONS – NON COVERED BY CONTRACT
Yes/No Owning Organization Reference to RCA Risk or

Proposal Action
Service Risk to be handled *

(e.g. Root Cause not known, Problem Solution
not available, Single Point of Failure (SPOF),

Product End of Life, Wrong Service Levels, etc.)
Service Proposal required **

(to implement Problem Resolution)
* Service Risk procedure must be initiated when a Risk is identified

** Service Proposal can be to enhance Service Levels (e.g. increase support hours) or mitigate Risks (e.g. eliminate SPOF)

ROLES
Person Name Organization or Function
Problem Coordinator
(Name of the person who requested this RCA)
Problem Analyst – Name Provider -
(Name Provider responsible for RCA)
Problem Analyst
(Name of the person who constructed this RCA)
Name of RCA Participants:

(Name of the person(s) / team(s) who
contributed to this RCA)
RCA REVIEW
Person Name, Role and Review Date
Company
Name Service Manager

Ecosystem Provider:
RCA Reviewed By Ecosystem Integrator:

(RCA Reviewed by EI for all P1 RCAs)
RCA Reviewed By Nokia:

(Review of selected RCAs by Nokia)

RCA DISTRIBUTION LIST
Organization Individual details
Customer Name Email id Function

Nokia Service Owner(s)
Business Service Manager Name Email id Function

Ecosystem Integrator
Service Manager Name Email id Function

Ecosystem Provider
Problem Coordinator(s) Name Email id Function

Ecosystem Provider
Problem Analyst(s) Name Email id Function

Ecosystem Provider

2. Incident History
This is a summary of the main activities, actions and communications which took place during the Incident.
Copy the timeline from Critical Incident Review report if available. Include also the end date / time of the critical impact
and the date/time of the incident resolution (in case these are different). Include also the Time Zone used (default CET).
Include date/time of monitoring event if applicable.
In case the incident was triggered by a change include the change implementation date/time and change number.
The information in this section should be analyzed when completing Section 3.2 Outage Duration, therefore, provide as
much detail as required in this incident timeline.
Incident Timeline Incident activities , actions and communications during incident resolution
Date: Time zone used:

Incident Timeline Incident activities , actions and communications during incident resolution

3. Root Cause Analysis

Problem Statement:
What is the Problem being analyzed, define as
Object has Defect with Modifiers. Use Problem
Statement in first preventive WHY question.
(This section may be replaced or enhanced by a Cause-and-Effect Tree Diagram if applicable)

 Questions – Based on “5 Why’s” methodology (The 5 whys work on the principle that only by asking “why?” 4-5 times (or more) can you
delve deep enough into a problem to understand the ultimate root cause?)
 Answers - Repeat Questions based on Answers (Turnaround Questions); ask WHAT ELSE questions (Questioning to the Void). A question
can have multiple answers and when it does, each answer should result in its own turnaround question.
 Actions (if applicable and based on the answers) – Number the actions and take actions forward to the table in Section 5 “Problem
Resolution List”.
 Check the logic from probable root cause to incident:
 If the probable root cause is eliminated or corrected, would it prevent the problem from existing or occurring?
 When the probable root cause occurs, does the problem occur?
 Summarize Initiating and/ or Contributory Cause(s) in section 4
 Please see the checklist mentioned at the beginning of the template as it provides guidance on proper application
(does and don’ts) of the “5 Why’s” methodology with examples.
3.1 Outage Detection
How could we have detected this quicker? (To decrease Time to Act in case of future incidents by implementing /
improve monitoring or improve reaction time based on monitor event)
Question Was the incident detected in time? If not, how could we have detected this quicker?
Include event ticket as evidence in case incident was detected by monitoring
Answer
Action
Question
Answer
Action
Repeat this section as necessary to investigate all issues related to outage detection and reaction

3.2 Outage Duration
How could we have resolved this quicker? (To decrease incident resolution time in case of future incidents)
Question Was the incident solved in time? If not, how could we have solved this quicker?
Answer
Action
Question
Answer
Action
Repeat this section as necessary to investigate all issues related to outage duration
3.3 Outage Prevention / Prevention of Business Impact
How can we prevent this from happening again? Use problem statement in first preventive WHY question.
This should be based on an analysis of the information in Section 2 Incident History.
Question WHY
Answer
Action
Question WHY
Answer
Action
What else contributed to the issue?

Question
Answer
Action
Repeat this section as necessary to investigate all issues related to outage prevention (ask also the question “What else
contributed to the issue?”).

4. Root Cause(s) categories for breakdown / disturbance

Summary of the initiating and contributory root causes as result of the Root Cause Analysis in section 3.
Document per Root Cause found one Cause and Sub Cause code and one CI Type:
 Select the Root Cause Originator (not always the same as the RCA Owner)
 Select the cause code Application, Software, Hardware, Network or Environmental and use the drop down menu to select the sub cause
code.
 Select the CI-Type or Process
o Select the CI-Type when a technical sub cause is selected.
o Select the specific process when a process sub cause is selected (Process - Failed to Follow; Process - Incorrect; Process –
None Available).
Cause type Cause Description
Initiating
Initiating Cause Originator Name Primary CI
Name Provider (if applicable include: SLA Service Class, ISAE3402 control, …)
Application Software Hardware Network Environmental CI-type or

Process
Choose an Choose an Choose an Choose an Choose an Choose an
item. item. item. item. item. item.
Contributory
Contributory Cause Originator Name Primary CI

Process
Contributory
Root Cause Originator Name Primary CI

Process


Repeat this section as necessary to investigate all Cause types

5. Problem Resolution List (Corrective Actions)

The Problem Analyst will complete this list based on actions defined in section 3 “Root Cause Analysis” (use the same numbering of actions).
Action Category: Capacity, Change, Class Action (Action for Wider Community), Configuration, Documentation, Further Investigation, Known Error, Obsolete Product,
Resilience, Security, Service Proposal, Service Risk, Training, Other.
Each Action Statement must have a corresponding PTASK created in Service Now after the approval of the RCA is granted.
No. Action Statement Action Deliverable Action Action Action Owner Action Owner Target Date Completion
(Produce effect by taking action) (Mandatory to review Category Priority (Name Team) (Name Person) Mmm.dd,yyyy Date
output of action (see above) (Critical, Mmm.dd,yyyy
before action closure) Short Term,
Long Term)
1. Choose an pick from Choose an

item. listChoose item.
an item.
Action Completed:

an item.
Action Completed:

an item.

No. Action Statement Action Deliverable Action Action Action Owner Action Owner Target Date Completion
(Produce effect by taking action) (Mandatory to review Category Priority (Name Team) (Name Person) Mmm.dd,yyyy Date
output of action (see above) (Critical, Mmm.dd,yyyy
before action closure) Short Term,
Long Term)
Action Completed:

an item.
Action Completed:

6. Lessons Learned from this Root Cause Analysis (Advice to

Others)
The Problem Analyst and / or the Problem Coordinator complete this section after completing the Problem Closure
Assessment in case of wider lessons for other Geographies / Business Services:
Solutions that may benefit State the condition found and the preferred solution.
other Geographies / Business Condition:
Services: Solution:
(Significant technical details that
others might need to know.)
7. Abbreviations
List any abbreviations used that might not be familiar to the target distribution.
Abbreviation Meaning

8. Questions to be asked for Problem Closure Review

Problem Closure Review done by Problem Manager when Problem is resolved (all RCA actions closed)
Problem Closure Review Checklist Comment Yes / No

(or N/A)
All corrective and preventive actions as defined in RCA

are completed including underpinning changes.
Confirmed that there were no repeating incidents last

days after completion of all problem resolution actions
-structural problem resolution implemented to prevent
the issue from recurring.
Root Cause Originator validated in section 4.
In case of Root Cause Inconclusive:

Improvements implemented to find root cause in case
of incident reoccurrence.
In case Root Cause Inconclusive or Solution not

implemented: Service Risk raised if applicable.
Is update of Knowledge / Known Error / Solution

Database required?
Name Service Manager Ecosystem Provider:

Optional
Name Problem Closure Reviewer

(Problem Coordinator Ecosystem Provider)
Date Problem Closure

(Mmm.dd,yyyy)
Problem Closure Code

Problem Closed - Solution implemented
Problem Closed - Solution not implemented
Problem Closed - Root Cause inconclusive


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Root Cause Analysis For Use within Nokia

Short Problem Title:

Problem Number Date of RCA request

Incident Date Incident Number Incident Priority Classification

CURRENT RCA VERSION

RCA Version Date RCA Version Number Summary of updates Author

RCA Version Date RCA Version Number Summary of updates Author

Ecosystem Integrator Nokia - RCA Template (May 2017) Page 1 of 19

3.1 Outage Detection.............................................................................................................................. 8

4. Root Cause(s) categories for breakdown / disturbance......................................................................10

Ecosystem Integrator Nokia - RCA Template (May 2017) Page 2 of 19

Description of Customer Impact:

Affected Service(s) / Application(s):

Contract Group / Number: optional

Service / Application Owner:

Affected Department(s): optional

Affected Location(s): optional

Affected number of Users:

Summary Incident Time Line:

Monitoring Event Date / Time stamp

Start Date / Time of incident:

Start Date / Time of Critical Impact:

End Date / Time of incident:

End Date / Time of Critical Impact:

Duration time incident during service hours:

Critical duration time incident:

Service Level/Violation: optional

INTERFACES TO OTHER SERVICE MANAGEMENT PROCESSES

Ecosystem Integrator Nokia - RCA Template (May 2017) Page 3 of 19

Key Findings (causes): – based on information in Section 4

Initiating Root Cause Description:

Initiating Cause Code and CI Type / Process:

Key actions to ELIMINATE causes found: - based on main information in Section 5

Initiating Root Cause:

PROPOSED MITIGATIONS – NON COVERED BY CONTRACT

Yes/No Owning Organization Reference to RCA Risk or

Service Risk to be handled *

Ecosystem Integrator Nokia - RCA Template (May 2017) Page 4 of 19

Product End of Life, Wrong Service Levels, etc.)

Service Proposal required **

* Service Risk procedure must be initiated when a Risk is identified

Ecosystem Integrator Nokia - RCA Template (May 2017) Page 5 of 19

Problem Analyst – Name Provider -

(Name Provider responsible for RCA)

Name of RCA Participants:

Name Service Manager

RCA Reviewed By Ecosystem Integrator:

RCA Reviewed By Nokia:

Ecosystem Integrator Nokia - RCA Template (May 2017) Page 6 of 19

RCA DISTRIBUTION LIST

Organization Individual details

Customer Name Email id Function

Business Service Manager Name Email id Function

Service Manager Name Email id Function

Problem Coordinator(s) Name Email id Function

Problem Analyst(s) Name Email id Function

Ecosystem Integrator Nokia - RCA Template (May 2017) Page 7 of 19

Date: Time zone used:

Ecosystem Integrator Nokia - RCA Template (May 2017) Page 8 of 19

Ecosystem Integrator Nokia - RCA Template (May 2017) Page 9 of 19

3. Root Cause Analysis

(This section may be replaced or enhanced by a Cause-and-Effect Tree Diagram if applicable)

3.1 Outage Detection