Page 1 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
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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.
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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.
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Activity Inputs Description Outputs
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
Source Service Provider
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:
Source Service Provider
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.
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Sub-Process Activities:
Table 2: FEP 9.2 Sub-Process Activity Matrix
Activity Inputs Description Outputs
FEP 9.2.1
Contact Target
Queue
Manager
Hand Off Required.
Agreement with
rejection
justification.
Source Service Provider
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:
Target Support Team Queue
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.
Source Service Provider
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.
Target Service Provider
Support Team accepts Incident
and begins work.
Accepted Incident.
Updated work log.
FEP 9.2.5
Rejection w/
details?
Rejection
justification.
Decision Point:
Source Service Provider
Support Team will determine
if rejection justification is
valid.
If YES: Return to FEP 9.2.1
If NO: Move to FEP 9.2.6
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.
Source Service Provider
Support Team contacts Source
Incident Manager to provide
reason(s) for disagreement
with rejection justification.
Reason(s) for disagreement
with rejection justification.
Updated work log.
FEP 9.2.7
Contact Target
Reason(s) for
disagreement with
Source Incident Manager
contacts Target Incident
Inter-team communication.
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Activity Inputs Description Outputs
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.
If YES: Move to FEP 9.2.9
If NO: Move to FEP 9.2.11
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:
Source Incident Manager will
determine if rejection
justification is valid.
If YES: Return to FEP 9.2.1
If NO: Move to FEP 9.2.12
Agreement with rejection
justification.
Disagreement with rejection
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.
Inter-team communication.
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.
Source Incident Manager
assigns Incident to team
decided upon by Corporate
Incident Management.
Assigned Incident.
Updated work log.
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Activity Inputs Description Outputs
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.
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Sub-Process Map:
Sub-Process Activities:
Table 3: FEP 9.3 Sub-Process Activity Matrix
Activity Inputs Description Outputs
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.
Inter-team communication.
Updated work log.
FEP 9.3.2
Provide
Consult
Inter-team
communication.
Updated work log.
Target Service Provider
Support Team will provide
available information
Information provided.
Updated work log.
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Activity Inputs Description Outputs
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:
Source Service Provider
Support Team will determine
if information provided is
sufficient to resolve issue.
If YES: Move to FEP 9.3.4
If NO: Move to FEP 9.3.1
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.
Source Service Provider
Support Team utilizes
information provided toward
resolution issue.
Fuctional Escalation returns
to lifecycle with updated
work log.
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Sub-Process Activities:
Table 4: FEP 9.4 Sub-Process Activity Matrix
Activity Inputs Description Outputs
FEP 9.4.1
Contact Target
Queue
Manager
Task Assistance
Required.
Agreement with
rejection
justification.
Source Service Provider
Support Team contacts
Target Support Team Queue
Manager to request Task
Assistance.
Inter-team communication.
Updated work log.
FEP 9.4.2
Accept
Assistance
Request?
Inter-team
communication.
Updated work log.
Decision Point:
Target Support Team Queue
Manager will decide if they
will accept Assistance
Request.
If YES: Move to FEP 9.4.3
If NO: Move to FEP 9.4.5
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.
Source Service Provider
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.
Target Service Provider
Support Team accepts Task
and begins work.
Accepted Task.
Updated work log.
FEP 9.4.5
Rejection w/
details?
Rejection
justification.
Decision Point:
Source Service Provider
Support Team will determine
if rejection justification is
valid.
If YES: Return to FEP 9.4.1
If NO: Move to FEP 9.4.6
Agreement with rejection
justification.
Disagreement with rejection
justification.
Updated work log.
FEP 9.4.6
Contact Source
Incident
Manager
Disagreement with
rejection
justification.
Updated work log.
Source Service Provider
Support Team contacts Source
Incident Manager to provide
reason(s) for disagreement
with rejection justification.
Reason(s) for disagreement
with rejection justification.
Updated work log.
FEP 9.4.7
Contact Target
Reason(s) for
disagreement with
Source Incident Manager
contacts Target Incident
Inter-team communication.
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Activity Inputs Description Outputs
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.
If YES: Move to FEP 9.4.9
If NO: Move to FEP 9.4.11
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.
Source Incident Manager will
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:
Source Incident Manager will
determine if rejection
justification is valid.
If YES: Return to FEP 9.4.1
If NO: Move to FEP 9.4.12
Agreement with rejection
justification.
Disagreement with rejection
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
Inter-team communication.
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.
Source Incident Manager
assigns Task to team decided
upon by Corporate Incident
Management.
Assigned Task.
Updated work log.
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Activity Inputs Description Outputs
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 9.2.11 Rejection w/ details? 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 9.2.15 Contact Target Queue Manager R,A C,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
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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 9.4.1 Contact Target Queue Manager R,A C,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 9.4.5 Rejection w/ details? R,A
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 9.4.11 Rejection w/ details? 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
Page 17 of 17 IM 9.0 Functional Escalation Process
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