De-escalation Training Section 4 What works? Using functional analysis to problem solve.
Title: PROBLEM MANAGEMENT CALL REFERRAL AND ESCALATION ... · Problem Notification is the process...
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Category: Help Desk Policy Number: HD-010 Original Effective Date: Revised Effective Date: HD-010 Call Escalation Procedures 9/8/2015 Page 1 of 20 Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION POLICY: __________ / __________ / __________ associates will effectively utilize the following Problem Management escalation/notification procedures to support timely and efficient problem resolution, critical stakeholders communications, SLA compliance and consistent customer management. Problem Notification is the process of informing affected parties of an issue that cannot be resolved by the Help Desk. Problem escalation is the process of intensifying the notification steps to upper management ensuring that appropriate steps are being taken to resolve a high priority IS issue. The need for problem escalation typically result from a combination of the following scenarios: Help Desk First Call Resolution cannot be achieved and the problem must therefore be referred for additional assistance. The end user/__________ customer is unsatisfied with either the quality or timeliness of the intervention. The problem is of a high priority and management needs to be informed ensuring all resources can be applied to resolve the issue. After the initial intervention is attempted, it is determined that the problem is more severe than originally thought, requiring further escalation/intervention. SCOPE: This policy/procedure applies to all __________ / __________ / __________ associates who provide support for __________ IS systems. DEFINITIONS: The following terms are defined to remove ambiguity from the policy. 1. __________/ __________ Executive On-Call: This is a rotating pager support function staffed by a member of the __________ and __________ senior management providing a 24X7 escalation point for all critical __________ support issues. 2. OCIO Executive On-Call: This is a rotating pager support function staffed by a member of the __________ OCIO management providing a 24X7 escalation point for all critical __________ support issues. 3. __________ Application Directors: This is a rotating pager support function staffed by members of the Senior Application Management to provide 24x7 escalation points for critical __________ application support issues. 4. IS Department On-Call: This is a pager support function staffed by department member to provide 24x7 technical support for critical __________ support issues. 5. IS Department Manager: This is a pager support function staffed by department manager to provide 24x7 technical support for critical __________ support issues.
Transcript of Title: PROBLEM MANAGEMENT CALL REFERRAL AND ESCALATION ... · Problem Notification is the process...
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 1 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
POLICY:
__________ / __________ / __________ associates will effectively utilize the following Problem Management escalation/notification procedures to support timely and efficient problem resolution, critical stakeholders communications, SLA compliance and consistent customer management.
Problem Notification is the process of informing affected parties of an issue that cannot be resolved by the Help Desk. Problem escalation is the process of intensifying the notification steps to upper management ensuring that appropriate steps are being taken to resolve a high priority IS issue. The need for problem escalation typically result from a combination of the following scenarios:
Help Desk First Call Resolution cannot be achieved and the problem must therefore be referred for additional assistance.
The end user/__________ customer is unsatisfied with either the quality or timeliness of the intervention.
The problem is of a high priority and management needs to be informed ensuring all resources can be applied to resolve the issue.
After the initial intervention is attempted, it is determined that the problem is more severe than originally thought, requiring further escalation/intervention.
SCOPE:
This policy/procedure applies to all __________ / __________ / __________ associates who provide support for __________ IS systems.
DEFINITIONS:
The following terms are defined to remove ambiguity from the policy.
1. __________/ __________ Executive On-Call: This is a rotating pager support function staffed by a member of the __________ and __________ senior management providing a 24X7 escalation point for all critical __________ support issues.
2. OCIO Executive On-Call: This is a rotating pager support function staffed by a member of the __________ OCIO management providing a 24X7 escalation point for all critical __________ support issues.
3. __________ Application Directors: This is a rotating pager support function staffed by members of the Senior Application Management to provide 24x7 escalation points for critical __________ application support issues.
4. IS Department On-Call: This is a pager support function staffed by department member to provide 24x7 technical support for critical __________ support issues.
5. IS Department Manager: This is a pager support function staffed by department manager to provide 24x7 technical support for critical __________ support issues.
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 2 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
PROCEDURE:
Follow these steps to ensure that problem calls are referred and/or escalated in a consistent manner:
ACTION RESPONSIBLE PARTY
1. Log call (reference Policy # X.X.X: Help Desk – Problem Call Logging).
2. Assign Priority Level if not pre-defined in the Priority Matrix.
3. Attempt to resolve the call at the Help Desk.
4. Can the Help Desk Analyst resolve the call?
a. If yes, resolve problem by following problem closure procedures (reference Policy # X.X.X: Help Desk - Problem Ticket Closure). Process ends here.
b. If no,
i. Collect the appropriate triage information based on call type.
ii. Give user ticket number.
iii. Assign the problem ticket to the appropriate support group.
5. Is the Call a Priority Level 1?
a. If no, go to Step 7.
b. If yes, page Department On-Call.
6. Has the Department On-Call responded to page?
a. If yes,
i. Collect necessary information for notification pages:
1. Affected systems.
2. Number of affected users.
3. Preliminary resolution time.
ii. Contact __________, __________, and __________ management based on the Notification Matrix.
iii. Go to Step 10.
b. If no,
i. Follow escalation procedure based on the Escalation Matrix.
Helpdesk Analyst
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 3 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
ACTION RESPONSIBLE PARTY
ii. Repeat Step 6
7. Is the Call a Priority Level 2?
a. If no, go to Step 9.
b. If yes, page Department On-Call.
8. Has the Department On-Call responded to page?
a. If yes,
i. Collect necessary information for notification pages
1. Affected systems
2. Number of affected users
3. Preliminary resolution time
ii. Contact __________, __________, and __________ management based on the Notification Matrix.
iii. Go to Step 10.
b. If no,
i. Follow escalation procedure based on the Escalation Matrix.
ii. Repeat Step 8.
9. Assign Priority 3 or 4 calls to the appropriate support group. Process ends here.
10. Phone user and verify nature of the problem.
11. Is the Priority Level correct?
a. If yes, go to Step 15.
b. If no, update Priority Level.
12. Is the Call a Priority Level 1?
a. If no, Go to Step 13.
b. If yes, call Helpdesk and provide necessary information for notification pages:
i. Affected systems
ii. Number of affected users
iii. Preliminary resolution time
13. Is the Call a Priority Level 2?
IS Department On-Call
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 4 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
ACTION RESPONSIBLE PARTY
a. If no, Go to Step 14.
b. If yes, call Helpdesk and provide necessary information for notification pages:
i. Affected systems.
ii. Number of affected users.
iii. Preliminary resolution time.
14. Inform Helpdesk that Call has been downgraded Priority Level 3 or 4.
15. Is the Call a Priority Level 1 or 2?
a. If no, go to Step 16.
b. If yes, contact __________, __________, and __________ management based on Notification Matrix.
c. Contac User stakeholders based on User Notification Matrix and Go to Step 17.
16. Contact __________, __________, and __________ management of Priority Level downgrade to 3 or 4 based on Notification Matrix.
Helpdesk Analyst
17. Attempt to resolve problem.
a. Is problem successfully resolved?
i. If yes,
1. Follow problem closure procedures (reference Policy # X.X.X: Problem Ticket Closure).
2. Send resolution to __________ Users based on User Notification Matrix.
3. Send resolution to __________, __________, and __________ management based on Notification Matrix.
4. Process ends here.
ii. If no, go to step 18.
18. Inform user that further intervention is needed.
19. Involve other parties (IS departments, vendors, etc.) as needed.
20. Call the Help Desk and report need for further intervention.
IS Department On-Call
21. Update involved parties. Help Desk Analyst
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
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Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
ACTION RESPONSIBLE PARTY
a. Update __________, __________, and __________ management based on Notification Matrix.
b. Update users based on User Notification Matrix.
c. Modify phone system with Helpdesk message with outage summary.
22. Provide decision support to Department On-Call.
23. Maintain IS ownership of problem.
24. Remove roadblocks.
25. Coordinate end user communication.
26. Ensure appropriate __________ / __________ / __________ response.
__________/__________ Executive On-Call
OCIO Executive On-Call
__________ Application Directors
IS Department Managers
27. Go to Step 17. IS Department On-Call
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 6 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
PRIORITY MATRIX:
This first chart defines the guidelines used by the Helpdesk to classify user issues. The second chart details the anticipated response and resolution times for each priority level.
PROBLEM SEVERITY LEVEL DEFINITIONS
Level 1 TOTAL system, network, or major application outage.
Degraded system, network, or application performance to the point that it is non-functional
All or most users are affected.
There are NO workarounds.
The problem critically affects patient care/patient safety OR critical business deadlines that may result in significant financial losses.
Telecommunications: Campus Repair (Outage)
Examples would include: E-mail is down across all sites, PCOSS is down, STEP is down at month-end close.
Level 2 A component of a major application system or network is down, degraded, or unusable;
the service may be functional, but a primary component is impaired.
A large number of users are affected.
Serious problem, but does not critically affect patient care or patient safety.
Serious problem but does not critically affect business deadlines or financials.
Workaround exists but is not a viable option for any sustained period of time.
Telecommunications: Campus Repair (Cosmetic)
Examples would include: PCOSS is down on a single nursing unit, Scheduling does not accommodate block-time changes.
Level 3 One component (ex. 1 workstation, printer, etc.), minor application, or procedure is down or difficult to use.
Small number of users are affected.
Service is functional; the impaired component is not required for primary or secondary business operations
Workaround is an acceptable alternative.
Telecommunications: Remote Repair (Outage)
Examples would include: Individual user's printer is jammed, slow application response time (ex. between screen flips), etc.
Level 4 Miscellaneous category for capturing calls coming to the Help Desk in regard to service requests or general information needs.
Telecommunications: Remote Repair (Cosmetic)
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 7 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
PRIORITY
LEVELS PROPOSED INITIAL RESPONSE
TIMES PROPOSED PROBLEM RESOLUTION
TIMES
Level Target Expectation Target Expectation
1 10 mins 20 mins 1 hours 2 hours
2 30 mins 1 hour 2 hours 4 hours
3 1 hour 2 hours 8 hours 24 hours
4 2 hours 4 hours 7 days 14 days
NOTIFICATION MATRIX:
The following chart lists the personnel to be notified by the Help Desk in response to an issue. Refer to Appendix A and the On-Call Schedules for specific contact information.
PRIORITY LEVELS PERSONNEL
REFER TO ON-CALL SCHEDULES
METHOD
Level Time
1 24/7 __________ / __________ Executive On-Call __________ Application Directors IS Department On-Call IS Department Manager
Pager
OCIO Executive On-Call ONLY FOR ISSUES INVOLVING GREATER THEN 2 HOURS OF DOWNTIME!!!
Pager
2 6 AM – 8 PM
__________ / __________ Executive On-Call OCIO Executive On-Call __________ Application Directors IS Department On-Call IS Department Manager
Pager
2 8 PM – 6 AM
__________ Application Directors IS Department On-Call IS Department Manager
Pager
__________ / __________ Executive On-Call OCIO Executive On-Call
Email and voicemail
3 6 AM – 8 PM
Standard Problem Logging
None
4 6 AM – 8 PM
Standard Problem Logging
None
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 8 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
ESCALATION MATRIX:
The following chart describes the parameters followed by the Helpdesk to escalate a high priority call to ensure that proper resources are being brought to bear to ensure resolution.
PRIORITY
LEVELS INITIAL CALL
IS DEPARTMENT ON-CALL
MANAGER ESCALATION CALL
IS DEPARTMENT MANAGER
EXECUTIVE ESCALATION CALL
__________ / __________ EXECUTIVE ON-CALL
Person Response Time
Repeat Parameters
Person Response Time
Repeat Parameters
Person Response Time
Repeat Parameters
1 IS Department On-Call
10 minutes
- Repeat until obtain response - Attempt alternate (Home/Cell Phone) - Escalate after two attempts
IS DepartmentManager
10 minutes
- Repeat until obtain response - Attempt alternate (Home/Cell Phone) - Escalate after two attempts
__________ / __________ Executive On-Call
10 minutes
- Repeat until obtain response - Attempt alternate (Home/Cell Phone)
2 IS Department On-Call
20 minutes
- Repeat until obtain response - Attempt alternate (Home/Cell Phone) - Escalate after three attempts
IS Department Manager
20 minutes
- Repeat until obtain response - Attempt alternate (Home/Cell Phone) - Escalate after three attempts
__________ / __________ Executive On-Call
20 minutes
- Repeat until obtain response - Attempt alternate (Home/Cell Phone)
3 None None None None None None None None None
4 None None None None None None None None None
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 9 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
APPLICATION/AREA MATRIX:
This following chart lists the Department On-Call along with the appropriate manager to contact for the critical IS applications and departments affecting __________.
CURRENTLY UPDATING LIST
APPLICATION/AREA IS DEPARTMENT ON-CALL
PHONE # IS DEPARTMENT
MANAGER PHONE #
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
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Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
APPLICATION/AREA IS DEPARTMENT ON-CALL
PHONE # IS DEPARTMENT
MANAGER PHONE #
USER NOTIFICATION MATRIX:
The following chart lists the key users to contact in case of a major outage to a critical __________ application.
APPLICATION KEY USERS POSITION PHONE # OR EMAIL
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 11 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
APPLICATION KEY USERS POSITION PHONE # OR EMAIL
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 12 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
APPLICATION KEY USERS POSITION PHONE # OR EMAIL
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 13 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
APPLICATION KEY USERS POSITION PHONE # OR EMAIL
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 14 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
APPLICATION KEY USERS POSITION PHONE # OR EMAIL
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 15 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
PROCESS FLOW DIAGRAM:
Severity Level
Identified
Help Desk
contacts
appropriate On-
call personnel
Pager Receipt
Confirmed with
Help Desk
Escalation
Procedures are
Followed
Initial Analysis
Performed by
Functional Lead
Functional Lead
Provides Update
to Help Desk
Initial Update
Paged to
Management
Problem Notification and Escalation
Help Desk Pages
Management to
Confirm Functional
Lead Contacted
FCG MS
Management
Determines and
Approves
Customer
Communication
and Frequency
Help Desk
Composes Outage
Alert Message
HD Distributes
E-mail Outage
Message to
Appropriate
Group(s)
Functional Lead
Updates HD Every
Hour Until Problem
Resolved
HD Sends Page to
Group(s) With
Hourly Update
Information
HD Updates Voice
Mail Message
Hourly As Status
Changes
Repeat Outage
Process Details
Upon Receipt of
Additional
Information
HD Distributes
E-mail Update
Upon Final
Resolution
Help Desk Analyst identifies
issue(s) as potential Priority
1 or Priority 2 call.
Based on predefined
Notification Matrix
Recepients must call the HD
within 15 minutes or
escalation procedures are
followed
No
Page sent to FCGMS
Management confirming
Functional Lead page and
ETA if travel required
Functional Lead performs
initial analysis of problem and
confirms SL1 or SL2.
Identifies additional resource
needs from cross functional
teams and ETC for resolution,
if possible
Initial analysis and ETC
provided to Help Desk within
30 minutes of receipt of page
by Functional Lead
Page to FCGMS Management
identifying initial findings,
areas impacted and
confirmation of a SL1/2
occurance. Predefined
UPHS Management receive
initial page with status.
FCGMS Management
determines the need for, and
type of communication to be
made to customers.
Outage Alert message
created and reviewed by FCG
MS management for
distribution
E-mail sent to departments or
entities impacted. May
include a global e-mail if the
outage is spread out among
departments or buildings
Technical updates are given
to the HD every hour. FCG
MS Management will acquire
updates from the HD or
directly from the Functional
Lead
HD will continue to page
FCGMS Management and
identified UHHS Management
with updates every hour until
problem is resolved
HD Voice Mail is updated with
status each hour. Customers
can call as needed to get up-
to-date status of problem.
FCG MS Management is
available for detailed updates
as needed
Final E-mail notification sent
to all impacted customers
notifying them of outage
resolution
Based on
Escalation Matrix
Occurs within 30
minutes of
confirmed SL1 or
SL2
Initial Outage
Message Placed
on Help Desk
Voice Mail
Help Desk places outage
message on voice mail
system. Callers must listen to
message before getting live
agent
Elapsed time to this point:
15 - 45 minutes
Root Cause
Analysis
Functional Lead is
responsible for the creation
and review of the RCA
document pertaining to the
outage. Document to be
shared with IS staff as
requested
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 16 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
Appendix A – Executive Management Contact List
Please refer to Monthly On-Call Schedules
NAME POSITION PAGER OFFICE CELL HOME
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 17 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
Appendix B – PCOSS User Contact List
This following chart lists the PCOSS users that need to be paged in case of an unplanned outage.
CURRENTLY UPDATING LIST
NAME/DIVISION METHOD PHONE/PAGER/EMAIL
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 18 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
NAME/DIVISION METHOD PHONE/PAGER/EMAIL
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 19 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
POLICY EXCEPTIONS:
None
POLICY IDENTIFICATION:
Policy Title: Problem Management – Call Referral and Escalation
Category: Customer Service Management
Original Date:
Author:
Approved By: Title Signature
Stakeholder Representatives
__________ Executive
__________ Executive
REVIEW/REVISION HISTORY:
VERSIO
N DATE
CHANGES (Y
OR N)
DESCRIPTION OF
CHANGE (SECTION AND
DESCRIPTION)
REVISION(S) APPROVED BY
SIGNATURE
1.0 N/A
2.0 Y
3.0 Y
4.0 Y
5.0 Y
6.0 Y
7.0 Y
8.0 Y
9.0 Y
9.1 Y
9.2 Y
Category: Help Desk Policy Number: HD-010
Original Effective Date: Revised Effective Date:
HD-010 Call Escalation Procedures 9/8/2015 Page 20 of 20
Title: PROBLEM MANAGEMENT – CALL REFERRAL AND ESCALATION / NOTIFICATION
