Escalation Path Document Example

Document Date: November 7, 2024
Author: Kevin McCaffrey

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Purpose

The Escalation Path Document defines clear procedures for escalating high-impact events to ensure timely and effective responses. This document outlines escalation criteria, contacts, and roles responsible for decision-making and intervention.

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Escalation Criteria

Events should be escalated when they meet the following criteria:

1. Critical (High Impact) Events
   • Immediate threats to life, safety, or the physical security of facilities.
   • Severe financial impact or risk of substantial revenue loss.
   • Significant breaches of sensitive information or security protocols.
   • System-wide outages or service disruptions affecting critical operations.
2. Major (Medium Impact) Events
   • Issues causing considerable operational disruption but with no immediate safety concerns.
   • Ongoing or worsening events that could escalate to critical if left unresolved.
   • Performance issues impacting a large number of users or key business processes.
3. Escalation Trigger Points
   • Time-Based Escalation: If an event is not resolved within a predefined timeframe.
   • Impact-Based Escalation: If an event’s impact increases or spreads to additional systems.
   • Resource Escalation: If available resources are insufficient to manage the incident effectively.

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Escalation Tiers and Roles

Escalation follows a structured approach based on severity and complexity:

1. Initial Response Team (Tier 1)

• Responsibilities:
  • Assess the event and apply initial mitigation measures.
  • Notify stakeholders if the event meets the escalation criteria.
• Roles:
  • Incident Responder: Performs immediate actions and collects relevant data.
  • Operations Specialist: Provides initial support and diagnostics.
• Escalation Trigger:
  • If the incident cannot be resolved within 30 minutes or the impact worsens, escalate to Tier 2.

2. Incident Management Team (Tier 2)

• Responsibilities:
  • Take over the incident from the Initial Response Team and coordinate a more extensive response.
  • Involve specialized teams if necessary.
  • Provide regular updates to stakeholders.
• Roles:
  • Incident Manager: Oversees the response and coordinates efforts across teams.
  • Subject Matter Expert (SME): Provides technical expertise specific to the incident.
• Escalation Trigger:
  • If the event remains unresolved after 2 hours or shows signs of escalation, engage Tier 3.

3. Executive Response Team (Tier 3)

• Responsibilities:
  • Manage incidents with significant business impact or requiring executive decisions.
  • Communicate with external partners, clients, or the public if needed.
  • Approve emergency resource allocation and strategic decisions.
• Roles:
  • Operations Manager: Makes final decisions on resource allocation and business continuity measures.
  • Chief Information Officer (CIO): Provides high-level oversight and interfaces with external entities.
  • Public Relations Officer: Manages external communication and media inquiries (if applicable).
• Escalation Trigger:
  • Continuous impact on safety, security, or financial stability, or if stakeholders require immediate executive involvement.

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Contact Information

• Initial Response Team (Tier 1) Contacts:
  • Incident Responder: [Name] | Phone: [Number] | Email: [Email]
  • Operations Specialist: [Name] | Phone: [Number] | Email: [Email]
• Incident Management Team (Tier 2) Contacts:
  • Incident Manager: [Name] | Phone: [Number] | Email: [Email]
  • SME: [Name] | Phone: [Number] | Email: [Email]
• Executive Response Team (Tier 3) Contacts:
  • Operations Manager: [Name] | Phone: [Number] | Email: [Email]
  • CIO: [Name] | Phone: [Number] | Email: [Email]
  • Public Relations Officer: [Name] | Phone: [Number] | Email: [Email]

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Escalation Procedures

1. Identify the Event:
   • Use monitoring tools and initial diagnostics to categorize the event.
2. Engage Tier 1:
   • Notify the Initial Response Team immediately. Provide a summary, impact analysis, and any available diagnostics.
   • If resolved, document the incident and notify stakeholders. If not, proceed to Tier 2.
3. Engage Tier 2:
   • The Incident Manager assesses the situation and coordinates the response.
   • Notify the Operations Manager of the ongoing issue. If the event escalates, engage Tier 3.
4. Engage Tier 3:
   • Executive decision-makers convene to allocate additional resources and manage external communication.
   • Implement business continuity plans if necessary.

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Communication Protocols

• Internal Communication:
  • Use secure communication channels (e.g., Slack, Microsoft Teams) for updates and coordination.
  • Ensure all teams are updated at regular intervals.
• External Communication:
  • Engage the Public Relations Officer for incidents requiring external notification.
  • Prepare public statements and client updates if the event has significant visibility.

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Escalation Path Flowchart

1. Event Occurs
   ↓
2. Tier 1: Initial Response
   • Assess and mitigate if possible.
   • If unresolved, escalate to Tier 2.
     ↓
3. Tier 2: Incident Management
   • Coordinate resources and involve SMEs.
   • If unresolved or worsening, escalate to Tier 3.
     ↓
4. Tier 3: Executive Response
   • Manage strategic decisions and external communications.
   • Initiate continuity plans if necessary.