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Control 3.4: Incident Reporting and Root Cause Analysis - Troubleshooting

This playbook provides troubleshooting guidance for Control 3.4.

Common Issues and Resolutions

Issue: Incidents Not Auto-Assigning

Symptoms: New incidents remain unassigned

Resolution:

  1. Check Power Automate flow is enabled
  2. Verify on-call assignment logic
  3. Confirm user accounts exist in lookup
  4. Check flow run history for errors

Issue: SLA Alerts Not Triggering

Symptoms: Overdue incidents not generating alerts

Resolution:

  1. Verify scheduled flow is running
  2. Check SLA threshold configuration
  3. Confirm email delivery settings
  4. Test with shorter SLA for validation

Issue: RCA Template Not Saving

Symptoms: Root cause analysis forms fail to save

Resolution:

  1. Check required field validation
  2. Verify user has Contribute permissions
  3. Ensure document library is not locked
  4. Check for character limit issues

Issue: Regulatory Notification Workflow Not Triggering

Symptoms: Incidents with regulatory impact not flagged

Resolution:

  1. Verify RegulatoryImpact field is set correctly
  2. Check notification workflow conditions
  3. Confirm compliance team distribution list
  4. Test workflow with manual trigger

Diagnostic Commands

# Check for open incidents past SLA
$openIncidents = Get-PnPListItem -List "AI Agent Incidents" -Query "<View><Query><Where><Neq><FieldRef Name='Status'/><Value Type='Text'>Closed</Value></Neq></Where></Query></View>"

foreach ($incident in $openIncidents) {
    $hoursOpen = ((Get-Date) - [DateTime]$incident["ReportedDate"]).TotalHours
    Write-Host "$($incident['IncidentID']): $([math]::Round($hoursOpen, 1)) hours open - $($incident['Severity'])"
}

# Check Power Automate flow status
Get-AdminFlow -EnvironmentName "Default" | Where-Object { $_.DisplayName -like "*Incident*" }

Escalation Path

Issue Severity Escalate To Response Time
Critical incident stuck CISO Immediate
SLA system failure IT Operations 1 hour
Notification failures Platform Admin 4 hours
Reporting inaccuracies AI Governance Lead 24 hours

Next Steps

Updated: January 2026 | Version: v1.2