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of 17 IM 9.0 Functional Escalation Process

IM 9.0 Functional Escalation Process

Purpose:

The purpose of this document is to define the process and tasks associated with ensuring that an

individual working on a ticket receives timely support to meet service levels by ensuring correct

support teams are engaged.

Scope:

Priority 1-4 Incidents requiring Functional Escalation

Out-of-Scope:

Transfers between teams of Infrastructure Change Tickets

Scope does not include any associated Change Management or Problem Management processes

http://imtdocs.alberta.ca/operations/585.aspx


Process Key:

Subprocess (IN) – Child process that performs work to return a value.

Subprocess(OUT) – Outcome of work provided to initiate the current process in use.

Process – Work being perform. Involves steps and actions taken place.

Decision Box – Indicates a question, often a branch in the flow chart that contains yes or no. Can also be used to depict several outcomes.

Flow Line – An arrow that connects objects based on the direction indicated by the arrow.

On page connector – A connector used to show a jump from one point to another point on the page. Usually labeled with alpha letters in caps.

Terminal Point (Trigger) – Initiates a trigger action that sets the process in motion.

Terminal Point (End) – Initiates an end to the process where no work is being performed.


Process Map:


Business Rules:

Service Desk will warm transfer all misrouted P1/P2 tickets to required support teams.

Service Provider Support Teams are responsible to make work log entries each time work is

performed.

Assigned Service Provider will validate status is correct each time work is performed.

Service Provider Support Teams are responsible for functional escalation requests.

Queue Managers and/or Support Team Members are responsible for functional escalation

acceptance.

CRQ tasks “Next-in-Queue” require an escalation to Target Queue Managers.

Communication between Support Teams must be direct and live (no email/voice mail).

Functionally Escalated Incidents are not to be assigned without acceptance.

If the source Team Incident Manager does not know who to engage, contact Corporate

Incident Management.

Corporate Incident Management to be engaged if Service Provider Incident Managers

cannot reach agreement.

All work done to support a ticket must be recorded, regardless of who ticket is currently

assigned to.

The team who resolves the root issue is also who resolves the ticket to aid in proper reporting.

Assigned Service Provider will validate status and priority is correct each time work is

performed.

Activities:

Table 1: Functional Escalation Process Activity Matrix

Activity Inputs Description Outputs

FEP 9.1

Hand Off?

Require

Consult?

Task Assist?

Incident Action

Required. Decision Point:

Source Service Provider

Support Team will

determine what action is

required for Incident.

If Hand Off: Move to FEP

9.2

If Require Consult: Move to

FEP 9.3

If Work Task: Move to FEP

9.4

Incident hand off to next

team.

Inter-team consultation.

External team assistance.



FEP 9.2

Hand Off to

Next Team

Incident hand off to

next team. Source Service Provider

Support Team hands off

Incident to Target Service

Provider Support Team.

Refer to Sub-Process

details.

Assigned Incident.

FEP 9.3

Require Inter-

Team Consult

Inter-team

consultation

CIM or Source Service

Provider Support Team

requires information from

Target Service Provider

Support Team(s) to resolve

issue. Typically Tier 2

requesting from Tier 3.

.

Additional Information.

Potentially Assigned

Incident

FEP 9.4

Require Task

Assistance

External team

assistance


Support Team requires task

assistance from Target Service

Provider Support Team to

resolve issue. Typically Tier 3

requesting from Tier 2.

Task Assistance.

ITSM Work Task created.

FEP 9.5

Further Action

Required?

Hand Off, Consult

or Task has been

completed.

Decision Point:


Support Team will

determine if additional

actions are required to

resolve the issue.

IF YES: Move to FEP 9.1

IF NO: go to the Incident

Lifecycle Process

Yes, additional work to be

done.

No, exit to the incident life

cycle process.


Sub-Process Map:


Sub-Process Activities:

Table 2: FEP 9.2 Sub-Process Activity Matrix


FEP 9.2.1

Contact Target

Queue

Manager

Hand Off Required.

Agreement with

rejection

justification.


Support Team contacts

Target Support Team Queue

Manager to inform that

Incident ready for Hand Off

Inter-team communication

Updated work log

FEP 9.2.2

Accept Hand

Off?

Inter-team

communication

Updated work log

Decision Point:


Manager will decide if they

will accept Incident Hand

Off

If YES: Move to FEP 9.2.3

If NO: Move to FEP 9.2.5

Accepted Incident Hand Off

Rejected Incident Hand Off

Updated work log

FEP 9.2.3

Assign Incident

to Target

Support Team

Accepted Incident

Hand Off.

Updated work log.


Support Team will assign

Incident to Target Service

Provider Support Team.

Assigned Incident.

Updated work log.

FEP 9.2.4

Accept Incident

Assigned Incident.

Updated work log.


Support Team accepts Incident

and begins work.

Accepted Incident.

Updated work log.

FEP 9.2.5

Rejection w/

details?

Rejection

justification.

Decision Point:


Support Team will determine

if rejection justification is

valid.

If YES: Return to FEP 9.2.1


Agreement with rejection

justification.

Disagreement with rejection

justification.

Updated work log.

FEP 9.2.6

Contact Source

Incident

Manager

Disagreement with

rejection

justification.

Updated work log.


Support Team contacts Source

Incident Manager to provide

reason(s) for disagreement

with rejection justification.

Reason(s) for disagreement


Updated work log.

FEP 9.2.7

Contact Target

Reason(s) for

disagreement with

Source Incident Manager

contacts Target Incident

Inter-team communication.



Incident

Manager

rejection

justification.

Updated work log.

Manager to discuss Hand Off

rejection and provide

justification as to validity of

hand off.

Updated work log.

FEP 9.2.8

Accept Hand

Off?

Inter-team

communication.

Updated work log.

Decision Point:

Target Incident Manager will

determine if Hand Off is valid.



Accepted Incident Hand Off.

Rejected Incident Hand Off.

Updated work log.

FEP 9.2.9

Assigns

Incident to

Target Incident

Manager

Accepted Incident

Hand Off.

Updated work log.

Source Incident Manager will

assign Incident to Target

Incident Manager.

Assigned Incident.

Updated work log.

FEP 9.2.10

Accept Incident

Assigned Incident.

Updated work log.

Target Incident Manager

accepts Incident.

Accepted Incident.

Updated work log.

FEP 9.2.11

Rejection w/

details?

Rejection

justification.

Decision Point:


determine if rejection

justification is valid.




justification.


justification.

Updated work log.

FEP 9.2.12

Contact

Corporate

Incident

Management

Disagreement with

rejection

justification.

Updated work log.

Source and Target Incident

Managers contacts Corporate

Incident Management to

discuss Hand Off rejection.


Updated work log.

FEP 9.2.13

Determine

Target Team

Inter-team

communication.

Updated work log.

Corporate Incident

Management will determine

appropriate team to accept

Incident Hand Off.

Appropriate team to accept

Hand Off.

Updated work log.

FEP 9.2.14

Assign Incident

to Designated

Target Team

Appropriate team

to accept Hand Off.

Updated work log.


assigns Incident to team

decided upon by Corporate

Incident Management.

Assigned Incident.

Updated work log.



FEP 9.2.15

Contact Target

Queue

Manager

(Email)

Tier 1 knowledge

article directed

assignment.

Service Desk assigns Target

Support Team and

automated email includes

confirmed article instruction

for Hand Off.

Inter-team communication

via automation.

Updated work log.

Pre-validated assignment

detail for destination team.

FEP 9.2.16

Assign Incident

to Target

Support Team

Knowledge article

indicated a pre-

approved Incident

Hand Off for

destination team.

Automated

notification of

assignment.

Updated work log.

Service Desk assigns Target

Support Team and

automated email includes

confirmed article instruction

for that Hand Off.

Assigned Incident.

Updated work log.


Sub-Process Map:




FEP 9.3.1

Contact Target

Support Team

Consult required.

Information from

different team

required.

CIM or Source Service

Provider Support Team

contacts Target Service

Provider Support Team(s) to

request information to

resolve issue encountered.

*If the service manages the

suspect component, they

should manage the ticket.


Updated work log.

FEP 9.3.2

Provide

Consult

Inter-team

communication.

Updated work log.


Support Team will provide

available information

Information provided.

Updated work log.



related to issue experienced.

Response should be within

15 minutes.

FEP 9.3.3

Consult

Sufficient to

Resolve Issue?

Information

provided.

Updated work log.

Decision Point:



if information provided is

sufficient to resolve issue.



Information sufficient to

resolve issue.

Information insufficient to

resolve issue.

Updated work log.

FEP 9.3.4

Continue Work

and Resolve

Issue

Information

sufficient to resolve

issue.

Updated work log.


Support Team utilizes

information provided toward

resolution issue.

Fuctional Escalation returns

to lifecycle with updated

work log.


Sub-Process Map:





FEP 9.4.1

Contact Target

Queue

Manager

Task Assistance

Required.

Agreement with

rejection

justification.


Support Team contacts


Manager to request Task

Assistance.


Updated work log.

FEP 9.4.2

Accept

Assistance

Request?

Inter-team

communication.

Updated work log.

Decision Point:


Manager will decide if they

will accept Assistance

Request.



Accepted Assistance

Request.

Rejected Assistance

Request.

Updated work log.

FEP 9.4.3

Assign Task to

Target Support

Team

Accepted

Assistance Request.

Updated work log.


Support Team will assign Task

to Target Service Provider

Support Team.

Assigned Task.

Updated work log.

FEP 9.4.4

Accept Task

Assigned Task.

Updated work log.


Support Team accepts Task

and begins work.

Accepted Task.

Updated work log.

FEP 9.4.5

Rejection w/

details?

Rejection

justification.

Decision Point:



if rejection justification is

valid.




justification.


justification.

Updated work log.

FEP 9.4.6

Contact Source

Incident

Manager

Disagreement with

rejection

justification.

Updated work log.


Support Team contacts Source

Incident Manager to provide

reason(s) for disagreement


Reason(s) for disagreement


Updated work log.

FEP 9.4.7

Contact Target

Reason(s) for

disagreement with


contacts Target Incident




Incident

Manager

rejection

justification.

Updated work log.

Manager to discuss Assistance

Request rejection and provide

justification as to validity of

hand off.

Updated work log.

FEP 9.4.8

Accept

Assistance

Request?

Inter-team

communication.

Updated work log.

Decision Point:

Target Incident Manager will

determine if Assistance

Request is valid.



Accepted Assistance

Request.

Rejected Assistance

Request.

Updated work log.

FEP 9.4.9

Assigns Task

to Target

Incident

Manager

Accepted

Assistance Request.

Updated work log.


assign Task to Target Incident

Manager.

Assigned Task.

Updated work log.

FEP 9.4.10

Accept Task

Assigned Task.

Updated work log.

Target Incident Manager

accepts Task.

Accepted Task.

Updated work log.

FEP 9.4.11

Rejection w/

details?

Rejection

justification.

Decision Point:


determine if rejection

justification is valid.




justification.


justification.

Updated work log.

FEP 9.4.12

Contact

Corporate

Incident

Management

Disagreement with

rejection

justification.

Updated work log.

Source and Target Incident

Managers contacts Corporate

Incident Management to

discuss ticket assignment


Updated work log.

FEP 9.4.13

Determine

Target Team

Inter-team

communication.

Updated work log.

Corporate Incident

Management will determine

appropriate team to assist with

completion of Task.

Appropriate team to assist

with completion of Task.

Updated work log.

FEP 9.4.14

Assign Task to

Designated

Target Team

Appropriate team

to assist with

completion of

Task.


assigns Task to team decided

upon by Corporate Incident

Management.

Assigned Task.

Updated work log.



Updated work log.

Roles and Responsibilities:

Table 5: Functional Escalation Process RACI Matrix

Functional Escalation Process RACI Matrix

R = Responsible, A = Accountable, C = Consulted, I = Informed

Activity Ser

vic

e D

esk

Sou

rce S

ervic

e P

rovid

er S

up

po

rt

Tea

m

Targ

et S

ervic

e P

rovid

er S

up

po

rt

Tea

m

Targ

et S

ervic

e P

rovid

er Q

ueu

e

Man

ager

Sou

rce S

ervic

e P

rovid

er I

nci

den

t

Man

ager

Targ

et S

ervic

e P

rovid

er I

nci

den

t

Man

ager

Corp

ora

te I

nci

den

t M

an

ag

emen

t

Ser

vic

e D

eliv

ery M

an

ager

GO

A F

un

ctio

nal

Dir

ecto

r

FEP 9.1 Hand Off? Require Consult? Task Assist? R,A

FEP 9.2 Hand Off to Next Team R A I

FEP 9.2.1 Contact Target Queue Manager R,A C,I

FEP 9.2.2 Accept Hand Off? I R,A

FEP 9.2.3 Assign Incident to Target Support

Team

R,A I I

FEP 9.2.4 Accept Incident R,A I

FEP 9.2.5 Rejection w/ details? R,A

FEP 9.2.6 Contact Source Incident Manager C R,A I

FEP 9.2.7 Contact Target Incident Manager C R,A I

FEP 9.2.8 Accept Hand Off? I I C R,A

FEP 9.2.9 Assigns Incident to Target Incident

Manager

I I R,A I

FEP 9.2.10 Accept Incident I R,A


FEP 9.2.12 Contact Corporate Incident

Management

R,A I

FEP 9.2.13 Determine Target Team C C R,A

FEP 9.2.14 Assign Incident to Designated Target

Team

R,A I


FEP 9.2.16 Assign Incident to Target Support

Team

R,A I I

FEP 9.3 Require Inter-Team Consult R,A C

FEP 9.3.1 Contact Target Support Team R,A C


FEP 9.3.2 Provide Consult I R,A

FEP 9.3.3 Consult Sufficient to Resolve Issue? R A,I

FEP 9.3.4 Continue Work and Resolve Issue R,A

FEP 9.4 Require Task Assistance R,A I


FEP 9.4.2 Accept Assistance Request? I R,A

FEP 9.4.3 Assign Task to Target Support Team R,A I I

FEP 9.4.4 Accept Task R,A I


FEP 9.4.6 Contact Source Incident Manager C R,A I

FEP 9.4.7 Contact Target Incident Manager C R,A I

FEP 9.4.8 Accept Assistance Request? I I C R,A

FEP 9.4.9 Assigns Task to Target Incident

Manager

I I R,A I

FEP 9.4.10 Accept Task I R,A


FEP 9.4.12 Contact Corporate Incident

Management

R,A I

FEP 9.4.13 Determine Target Team C C R,A

FEP 9.4.14 Assign Task to Designated Target

Team

R,A I

FEP 9.5 Further Action Required? R,A

Measurements:

Every Process will have a balanced set of measurements (Key Performance Indicators) against

which its performance can be tracked, communicated and improved. As the process matures,

the KPI’s and review cycle may be modified based on the Process Owner’s discretion. The

tables below identify the KPI/report and the measurement criteria.

Table 6: Functional Escalation Process Measurements

Functional Escalation Process Report and Review Cycle

KPI/Report Da

ily

Wee

kly

Mo

nth

ly

Ev

ery

3 M

on

ths

Ev

ery

6 M

on

ths

Yea

rly

% of Incidents Assigned to multiple support teams X

% of Attained Incidents or Tasks that have been Escalated to

multiple support teams

X

Average time to resolve Functionally Escalated Incidents X


Associated Documents:

Document Review Schedule:

The Document Owner is accountable for managing revisions of this document.

Annual:

The document shall be reviewed for completeness and accuracy annually. Each review should be completed on or before the last day of the month shown in the document properties below.

Ad-hoc:

Ad-Hoc requests sent to SA Duty CIM <[email protected]> shall be reviewed.

Incident Lifecycle Process…………….….http://imtdocs.alberta.ca/operations/585.aspx

First Call Resolution Process……………. http://imtdocs.alberta.ca/operations/585.aspx

Incident Escalate Process…………………http://imtdocs.alberta.ca/operations/585.aspx

Incident Expedite Process…………..…… http://imtdocs.alberta.ca/operations/585.aspx

Visio Flowcharts………………………… http://imtdocs.alberta.ca/operations/585.aspx

Document Properties

Version 1.1 Effective Date 12/18/2017

Annual Review October Last Reviewed / Revised 07/04/2018 (MDY)

Revision Includes Replaced banner

Document Owner Lisa Fleming

Role Mgr. Incident & Problem Mgmt.

Document Location http://imtdocs.alberta.ca/operations/585.aspx

Document Sensitivity Unrestricted

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