Root cause codes: Level One: See Chapter 6 for a discussion of using hierarchical cause codes.

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1 Root cause codes: See Chapter 6 for a discussion of using hierarchical cause codes. Level one is where the cause is found, levels two and three are what the cause is, in increasing detail. While many level two and three codes can be used with any level one code, some are more specific and only match certain codes in the hierarchy. Matches should be obvious from their context. This list is not necessarily complete, but it is useful as it is. Note that many human factor codes are not listed. Several of the frameworks contain comprehensive human factor causes. Level One: ADDRESS RESOLUTION SYSTEMS APPLICATION CODE-BUSINESS-EXISTING APPLICATION CODE-BUSINESS-NEW APPLICATION CODE-WEB-EXISTING APPLICATION CODE-WEB-NEW APPLICATION OTHER AUTHENTICATION SYSTEMS BATCH BUSINESS OPERATIONS BUSINESS OTHER COOLING DATA FEEDS DATABASE DESKTOP DISASTERS-MAN-MADE DISASTERS-NATURAL FACILITIES OTHER FILESYSTEM Services such as DNS, DHCP, WINS etc. Code developed internally for business use, either directly by staff or indirectly from other applications, which has been unchanged in production for more than one release cycle Code developed internally for business use, either directly by staff or indirectly from other applications, which was released in the last release cycle Applies usually to applications that would be subject to internet specific issues, such as latency and load balancing, which has been unchanged in production for more than one release cycle Applies usually to applications that would be subject to internet specific issues, such as latency and load balancing, which was released in the last release cycle Services such as LDAP, Active Directory or OID. job or process developed internally for business use that runs under the control of a scheduler or robot Normal or abnormal business operations or processes Interruptions to internally managed HVAC and other cooling Data sources used directly for business operations or processed via applications Database components managed internally Desktop operating and applications of an end user computing nature Fire, large scale accidents, terrorist acts and other miscellaneous disasters that have occurred as the result of human action Fire, flood, and other miscellaneous disasters that have occurred naturally Directory structure, permissions, and security, for files stored on computer media

2 INFRASTRUCTURE OTHER MESSAGING , SMTP, and other methods to share electronic messages. Not for message bus or other queue management. See Middleware MIDDLEWARE Inter-system communications such as message bus and other queue management components managed internally NETWORK-CABLING Physical network cabling faults or errors NETWORK-CARDS Hardware, software or configuration related to network interface cards (NICs) NETWORK-FIREWALL Hardware, software or configuration related to firewalls NETWORK-OTHER NETWORK-ROUTER Hardware, software or configuration related to internal or external network routing that is internally managed (if carrier related, use External codes) NETWORK-SWITCH Hardware, software or configuration related to network switching POWER Power loss, UPS, generator and battery faults, and spikes and surges in power supplies for internally managed environments SERVER-LINUX Operating system software or configuration related to Linux SERVER-OTHER SERVER-UNIX Operating system software or configuration related to UNIX SERVER-WINDOWS Operating system software or configuration related to Windows STORAGE Hardware, software or configuration related to mass storage such as storage area networks. Do not use for disk drives on servers. THIRD PARTY-CARRIER Providers of communications connectivity THIRD PARTY-CLIENT Customer actions, omissions, processes, procedures etc. (i.e. something about how a service recipient used the service) THIRD PARTY-OTHER THIRD PARTY-SERVICE PROVIDER A provider of specific services under contract to the organization, such as SaaS, hosted data centre services and other managed services THIRD PARTY-VENDOR Specific packaged products and services such as third party software, where the cause is beyond the internal organisation's control boundary UNKNOWN The cause is not known - always have unknown at levels 2 and 3 as well VOICE Hardware, software or configuration related to voice infrastructure components, including switches, voice recorders and handsets Level Two CHANGE-DEPLOYMENT CHANGE-DESIGN Change deployment failure Design requirements during the Release lifecycle

3 CHANGE-DEVELOPMENT CHANGE-FUNCTIONAL REQUIREMENTS CHANGE-OTHER CHANGE-TESTING CONFIGURATION CONNECTIVITY DATA FEEDS DATA PROCESSING DATA REPLICATION ERROR FAILOVER-DR FIRMWARE HARDWARE-CPU HARDWARE-DISK HARDWARE-DISK ADAPTER HARDWARE-FIBER CABLE HARDWARE-INTERFACE CONVERTER HARDWARE-MEMORY HARDWARE-NIC HARDWARE-OTHER HARDWARE-SAN HARDWARE-STORAGE HARDWARE-SYSTEM BOARD HARDWARE-TRANSCEIVER HARDWARE-UPS OPERATING SYSTEM PERFORMANCE PROCESS-PROCEDURE PROJECT-DEPLOYMENT PROJECT-DESIGN PROJECT-FUNCTIONAL REQUIREMENTS PROJECT-OTHER PROJECT-TESTING PUBLIC FACILITIES SECURITY TABLE SPACE-QUOTA UNKNOWN UTILITY SOFTWARE Development issue during the Release lifecycle Functional requirements during the Release lifecycle The specific reason related to change is not defined Testing did not discover the failure type A configuration failure of any type A physical connection failed Data was not sent from or received by one application to another (or one batch job to another; one process to another; one function to another) Data was not fully processed through the normal steps. Data was not replicated, copied or migrated fully through the normal steps An application coding defect High availability or disaster recovery did not work as designed A firmware error (vendor supplied software code usually implemented on-chip or in static memory) CPU error or failure Disk error or failure Disk adapter error or failure Fibre Cable error or failure Interface Converter error or failure Memory error or failure NIC error or failure A hardware error or failure not covered by other categories SAN fabric error or failure Storage array error or failure System Board error or failure Transceiver error or failure Uninterruptable Power Supply (UPS) error or failure Operating System error or failure Performance not meeting specifications/expectations Process or procedure break Major release or project deployment failure Design requirements during the Release lifecycle Functional requirements related to a major release or project The specific reason related to a project is not defined Testing did not discover the failure type External utility error or failure Security compromised or breached The database did not have the correct table space or quota allocated The cause is not known Vendor-supplied utility software error or failure

4 Level Three BUG BUILD BUSINESS VOLUME CAPACITY CONFLICTS CORRUPTED MESSAGE DATA CORRUPTION DATA INTEGRITY DATA VALIDATION ERROR DATE-TIME ERROR DOS EXCEPTION PROCESSING EXTERNAL TO CONTROL INCORRECT INPUT INCORRECTLY DEFINED INCORRECTLY IMPLEMENTED KNOWN ISSUE LACK OF WARRANTY SUPPORT LATE FEED LOAD BALANCE LOGIC ERROR MALWARE MANUAL ENTRY ERROR MISINTERPRETED REQUIREMENTS MISSED FROM TEST SCOPE MISSED PEER REVIEW NO BACKOUT PLAN NO WARRANTY PERIOD The vendor has acknowledged a bug in their code A hardware of software build error The business did not provide IT with sufficient information and time to adjust capacity to account for added business volume IT was aware of the potential business volume maximums but did not adequately design the IT environment to handle this business volume Conflicts between to data sources or between data and other sources such as application processing or middleware A corrupted message could not be handled correctly Corrupted data was accepted and processed, leading to invalid output or a corrupted data input or file was received and could not be processed Invalid data was accepted and processed Application code allows data to be entered that should not be allowed or allows data to be processed that should not be process Application code allows invalid date/times be entered or does not properly handle valid date/times The security breach is specific to a Denial of Service attack Application code did not handle an exception correctly The cause is outside the control of the organisation. It can be mitigated with internal measures but not resolved Data entry was incorrect - business operations data entry Functional requirements incorrectly defined against specified business requirements The requirements were not implemented as specified Accepted known issue Post release support did not meet defined warranty service levels A data feed was received or sent late impacting dependent processing Performance degradation due to incorrect load balancing A logic error exists in application code did not handle standard operating processes The security breach relates to malicious software A process step or configuration entry is performed manually and there is insufficient error checking in place Business requirements misinterpreted when documenting requirements and design A situation arose in production that was not covered in the test plan Peer review not done or inadequate No back-out plan was provided or was insufficient to allow successful back-out There was no warranty provided post release

5 NON-COMPLIANT NON-PROD TO PROD ACCESS NOT DEFINED NOT DOCUMENTED NOT FOLLOWED OTHER PACKAGING PHYSICAL DISCONNECT PLANNING PROCESS NOT UPDATED RESOURCE CONSTRAINT SCHEDULING CONSTRAINT SCHEDULING ERROR SCRIPT ERROR SETTING SYNTAX ERROR TESTING FAILURE TESTING NOT COMPLETED TUNING UNKNOWN VERSION VIRUS The configuration item does not comply with current coding standards or lifecycle management plan A non-production environment is accessing data or services from a production environment or a production environment is accessing data or services from a nonproduction environment Requirements, configuration or processing steps do not exist or have not been defined Requirements, configuration or processing steps have not been documented Requirements, configuration or processing steps have not been followed The cause does not match any of the current codes - see root cause description for details Software packaging error Connection between two or more sites was lost A situation arose that was not anticipated in change or project planning and could not be overcome during deployment Process documentation is out of date or was not documented following a change or the process itself has not been updated Insufficient time and/or skilled resources were allocated for successful deployment The change could not proceed or had to be backed out because of scheduling conflict or constraint A processing or batch schedule is out of order, has missing steps or conflicts with other steps or schedules A script used to execute commands or process data contained error(s) A configuration setting is incorrect. E.g. memory allocation, swap space, file size, maximum number of connections etc. Any error where the syntax of commands was incorrect, e.g. Spelling, punctuation or use of comments A test case failed but the release was allowed to continue Testing was not completed and/or signed off and release was allowed to continue A setting or environment was not optimally configured The cause is not known Errors due to incompatible or incorrect versions of utility software, operating or firmware The security breach is specific to a virus attack Go to for updates and more information.