Issue and Escalation Process

REVISION 2: 02/12/2021

1. INTRODUCTION
1.1     PURPOSE
1.2     SCOPE
1.3     REFERENCES
1.3.1     SafePass Management Systems
1.3.2     Project Issue Database
1.3.3     Project Document Repository
1.3.4     Other References
1.4     GLOSSARY AND ACRONYMS
1.5     DOCUMENT MAINTENANCE
2. PARTICIPANTS ROLES AND RESPONSIBILITIES
2.1     PROJECT DIRECTOR
2.2     PROJECT MANAGER
2.3     ISSUE MANAGER
2.4     PROJECT STAFF MEMBERS
2.5     EXECUTIVE STEERING COMMITTEE
2. ISSUE AND ESCALATION APPROACH
3.1     IDENTIFICATION
3.2     VALIDATION AND PRIORITIZATION
3.3     ISSUE ANALYSIS
3.4     TRACKING AND REPORTING
3.5     ESCALATION PROCESS
3.6     RESOLUTION & CLOSURE
3.6.1     Resolution
3.6.2     Closure
APPENDIX A: SAMPLE FORMS
APPENDIX B: ISSUES AND RESOLUTIONS DATABASE INSTRUCTIONS

List of Figures
FIGURE 1. ISSUE AND ESCALATION PROCESS FLOW CHART
FIGURE 2. RESPONSE TIME AND RESOLUTION TIME CHART
FIGURE 3. ESCALATION TIME CHART

1.   INTRODUCTION

1.1      PURPOSE

This document describes the Issue and Escalation Process.  The purpose of the process is to ensure unanticipated issues and action items are assigned to a specific person for action and are tracked to resolution.   However, when a resolution cannot be reached, the item should be escalated to ensure a decision is made before it causes impact to the project.  The escalation process documents how to raise an issue to a higher-level of management for resolution, particularly when resolution cannot be reached at the project level.

1.2      SCOPE

The Issue and Escalation Process identifies the procedures used to manage issues, action items, and escalation throughout the project life cycle.  The process documents the approach to issue identification and analysis, the approach to escalation and how resolutions are documented.

1.3      REFERENCES

1.3.1             SafePass Management Systems

For guidance on the management systems of SafePass, Inc. please contact Company President.

1.3.2             Project Issue Database

The current list and status of project issues are kept in an issues database.

1.3.3             Project Document Repository

The project uses Google Drive as their document repository for all project-specific documentation.

1.3.4             Other References

  • Customer License and Services Agreement
  • Customer Project Plan

1.4      GLOSSARY AND ACRONYMS

Action Item An assigned task (usually related to project management concerns) assigned to a person for resolution which can be completed and has a defined deadline for completion.  Action items may be a subset of an issue or may be a stand-alone item (e.g., an assignment as a follow-up to a meeting discussion).
Escalation An issue that is elevated to a higher level of authority.  Escalation should only occur when all avenues to resolution have been exhausted at the lowest possible levels within the project.
Issue A point or matter in question or in dispute, or a point or matter that is not settled and is under discussion or over which there are opposing views or disagreements.  An issue is a statement of concern or need:

(1)    whose resolution is in question or lacking agreement among stakeholders
(2)    that is highly visible or involves external stakeholders such as requests from control agencies
(3)    which has critical deadlines or timeframes that cannot be missed
(4)    that results in an important decision or resolution whose rationale and activities must be captured for historical purposes or
(5)    with critical deadlines that may impede project progress.

An issue is a situation which has occurred or will definitely occur, as opposed to a risk which is a potential event.  Items that are “normal” day-to-day tasks related to a person’s normal job duties are not considered issues or action items.

1.5      DOCUMENT MAINTENANCE

This document will be reviewed annually and updated as needed, as the project proceeds through each phase of the system development life cycle.

This document contains a revision history log.  When changes occur, the version number will be updated to the next increment and the date, person making the change, and change description will be recorded in the revision history log of the document.

2.   PARTICIPANTS ROLES AND RESPONSIBILITIES

2.1      PROJECT DIRECTOR

The Project Director will participate in issue and action item resolutions.  If an issue could not be resolved at the project level, the Project Director will escalate the issue to the Executive Steering Committee for resolution.

2.2      PROJECT MANAGER

The Project Manager has overall responsibility for driving, participating, and managing the overall issue resolution and escalation process at the project level.  The Project Manager will escalate the issue to the Project Director level for resolution when necessary.

2.3      ISSUE MANAGER

The Issue Manager is responsible for overseeing the issue and action item management process and for periodic reporting on issue status and process metrics.  The Issue Manager generates reports for weekly project team review meetings.  The Issue Manager also monitors due dates and escalates issues and action items to the Project Manager, as appropriate.

2.4      PROJECT STAFF MEMBERS

Any staff member or stakeholder may generate an issue or action item.  Typically, issues and actions are only assigned to project staff to ensure proper visibility and tracking.  Other stakeholders may be asked to assist with analysis and review of proposed issue and/or action item resolutions, when appropriate.

2.5      EXECUTIVE STEERING COMMITTEE

The Executive Steering Committee is a governing organization that is comprised of members of executive level who will discuss status, issues and concerns related to the Customer project.  The Executive Steering Committee will resolve escalated issues and provide direction to the Project Director.  Refer to Customer Project – SafePass Governance Plan for list of Executive Steering Committee members.

3.   ISSUE AND ESCALATION APPROACH

The issue and action item management process consist of six steps.

  • Identification
  • Validation and Prioritization
  • Analysis
  • Tracking and Reporting
  • Escalation (if needed)
  • Resolution and Closure

Figure 1.  Issue and Escalation Process Flow Chart

Figure 2.  Response Time and Resolution Time Chart

PRIORITY RESPONSE TIME RESOLUTION TIME PRIORITY DEFINITION
1. Critical 30 Minutes Four Hours SafePass Hosted Service completely unavailable.

Essential facilities/tools do not work.
2. Urgent One Hour Eight Hours Non-essential features and/or functionalities of the SafePass Hosted Service are unavailable or not fully functional, significantly impairing Customer’s ability to use the SafePass Hosted Service; issues that could weaken system integrity over a period of time; problems that can be ‘worked’ around in the short term but cause significant operational disruption the long term.
3. Important One Business Day Two Business Days Assistance required for technical or functional features of SafePass Hosted Service.  Problems that exist, which cause minor operational difficulties with the SafePass Hosted Service.
4. Monitor Two Business Days One Week General queries to SafePass.  Undefined problems that may cause minor operational difficulties.  Problems that require additional research and monitoring on the part of Customer and SafePass to define and resolve.
5. Information One Week When commercially feasible Comments or suggestions on services, technical features, design or other topics.

Figure 3.  Escalation Time Chart

PRIORITY ESCALATION TIME
1. Critical Every Eight Hours
2. Urgent Every 16 Hours
3. Important Every 4 Business Days
4. Monitor N/A
5. Information N/A

The issue and escalation process is initiated by Customer via the SafePass support phone number or support email address.  It is preferred that Customer contact SafePass via phone and speak to a live person in order to assist with the process flow and expedite the overall process.

3.1      IDENTIFICATION

Customer will call the 24-hour support hotline (888-559-0903 x 2) to speak with the On-Call Support Personnel and email [email protected] immediately upon discovery of an Issue.

3.2      VALIDATION AND PRIORITIZATION

During the initial support phone call with the On-Call Support Personnel, SafePass will confirm the validity of the Issue and determine the Priority Definition found on figure 2 above.  This is a critical step in ensuring the appropriate controls are put in place for the remainder of the process.

3.3      ISSUE ANALYSIS

During the initial discussion with Customer personnel the On-Call Support personnel will attempt to resolve the issue within ten minutes.  If unresolved within this time frame, the On-Call Support personnel will proceed to the next step.

3.4      TRACKING AND REPORTING

The On-call Support personnel enter the issue into the Issues and Resolutions Database.

3.5      ESCALATION PROCESS

If unable to resolve within 10 minutes, the following escalation criteria is followed:

  • Critical Issue – The On-Call Support personnel contacts the Issue Manager via cell phone or home phone until contact is made.  If unable to be reached immediately by phone, the On-Call Support personnel will contact the Project Manager in the same manner above.  If the project manager is not immediately available, the Project Director will be contacted via phone.
  • Urgent Priority – The On-Call Support personnel contacts the Issue Manager via cell phone or home phone until contact is made.  If unable to be reached immediately by phone, the On-Call Support personnel will contact the Project Manager in the same manner above.  If the project manager is not immediately available, the Project Director will be contacted via phone.
  • Important Priority – The On-Call Support personnel will immediately email the Issue Manager immediately during business hours.
  • Monitor Priority – The On-Call Support personnel will email and call the issue Manager within 24 hours during business hours.
  • Information Priority – The On-Call Support personnel will email and call the issue Manager within 24 hours during business hours.

The Escalation Process will be used to ensure critical issues are raised soon enough to prevent undesirable impacts to the Customer Project and to ensure the appropriate parties are informed and involved in critical decision-making.

3.6      RESOLUTION & CLOSURE

3.6.1           Resolution

The Customer Project Executive Steering Committee will be notified immediately after any Critical, Urgent or Important Issue has been resolved.  All documented Issues will be reviewed by the Customer Project Executive Steering Committee on a monthly basis during the Quality Assurance review meeting.  During this meeting, all issues will incorporate the following discussion and documentation.

  • Root Cause Analysis of Issue
  • Mitigating steps to avoid recurrence of the Issue
  • Notification of any Issues that are impacted with any regulatory agencies
  • Lessons Learned memorandum shared with Customer and any effected SafePass teams or other personnel
  • Plan any required training for Customer or SafePass personnel
  • Update any affected management system manuals to incorporate Lessons Learned and any mitigating actions

3.6.2           Closure

Upon successful completion and documentation of Resolution, the Customer Issues and Resolutions Database will be updated accordingly, and date of closure submitted to Customer quality assurance teams or other designated Customer personnel.

 

APPENDICES

 

APPENDIX A:  SAMPLE FORMS

Customer Issues and Resolutions Database:

APPENDIX B:  ISSUES AND RESOLUTIONS DATABASE INSTRUCTIONS

 

There are 6 primary fields required to be entered and kept updated.

  • Date of Issue
  • Priority
  • Key Personnel Notified
  • Time of Notification
  • Notes throughout Issue
  • Date/Time of Resolution

It is the responsibility of the Issue Manager to enter and maintain this database.