Problem Management Policy

Effective Date: [Insert Date]
Last Reviewed: [Insert Date]
Owner: [Owner Name, e.g., Problem Management Lead]
Reviewed By: [Reviewing Team/Department]

1. Purpose

The purpose of this policy is to outline the processes for identifying, classifying, monitoring, and managing problems within [Organization Name]. By addressing the root causes of recurring incidents, the Problem Management Policy aims to prevent future disruptions, improve system reliability, and ensure a proactive approach to operational stability.

2. Scope

This policy applies to all systems, applications, and services managed by [Organization Name]. It includes processes for identifying problems, conducting root cause analysis (RCA), and implementing permanent solutions to prevent recurrence.

3. Definitions

• Problem: An underlying cause of one or more incidents that requires further investigation and resolution. Problems are often identified after analyzing patterns of incidents or when an incident cannot be permanently resolved.
• Root Cause Analysis (RCA): A systematic process for identifying the primary cause(s) of a problem to prevent recurrence.
• Known Error: A problem that has been analyzed but not yet permanently resolved. A workaround may be in place until a permanent solution is implemented.

4. Problem Classification

Problems are categorized based on their impact on operations and the urgency of finding a resolution. The classification helps prioritize resources and ensure critical problems are addressed promptly.

• Critical Problems: Issues that have a significant impact on operations or pose a high risk of recurring incidents. These problems require immediate investigation and resolution.
• High Problems: Problems with a substantial impact on business functions but with some workarounds available. These are prioritized for resolution based on their potential impact.
• Medium Problems: Issues that have a moderate impact on operations and may have limited or temporary workarounds. These problems are managed as part of regular maintenance.
• Low Problems: Problems with minimal impact and no immediate risk to service operations. These are addressed as time and resources allow.

5. Problem Lifecycle

The problem management process follows a structured lifecycle to ensure consistent and efficient handling of problems.

1. Identification and Logging:
   • Problems can be identified through recurring incidents, analysis of monitoring data, or proactive assessments.
   • All problems are logged in the [Problem Management System] with details, including description, impact, severity, and initial analysis.
2. Problem Analysis:
   • Conduct an initial assessment to determine the nature and scope of the problem.
   • Gather data from affected systems, incident reports, and logs to aid in analysis.
   • Document all findings and update the problem record accordingly.
3. Root Cause Analysis (RCA):
   • Perform RCA using established methodologies, such as the “5 Whys” or fishbone diagrams, to determine the underlying cause of the problem.
   • Identify contributing factors and analyze how they led to the incidents or issues.
4. Known Error Management:
   • If the problem cannot be immediately resolved, classify it as a known error.
   • Develop and document workarounds to mitigate the impact while working on a permanent solution.
5. Resolution and Recovery:
   • Develop and implement corrective actions to eliminate the root cause of the problem.
   • Test the solution in a controlled environment before deployment to production.
   • Update the problem record with resolution details and any changes made to the system.
6. Closure:
   • Verify that the problem has been resolved and that no further incidents occur as a result.
   • Conduct a review to ensure the corrective actions were effective.
   • Close the problem record and update documentation, including lessons learned.

6. Monitoring and Proactive Problem Management

• Monitoring: Use monitoring tools and analytics to detect patterns that may indicate potential problems. Implement proactive measures to address issues before they escalate.
• Trend Analysis: Regularly review incident data to identify trends or patterns that require further investigation.

7. Roles and Responsibilities

• Problem Manager:
  • Oversees the problem management process and ensures problems are prioritized and addressed.
  • Conducts and documents root cause analyses.
  • Works with teams to implement corrective actions and ensure permanent resolutions.
• Technical Teams:
  • Provide expertise for problem investigation and analysis.
  • Implement and test solutions as directed by the Problem Manager.
  • Assist with data collection and impact assessment.
• Incident Manager:
  • Works with the Problem Manager to escalate recurring incidents and identify potential problems.
  • Provides incident data and support for problem analysis.
• Operations Manager:
  • Ensures problem management processes are integrated with other operational practices.
  • Reviews problem management reports and approves resource allocation for problem resolution.

8. Post-Resolution Review

• Conduct a review for major problems to analyze the effectiveness of corrective actions.
• Document lessons learned and update the Problem Management Policy and response procedures.
• Use findings to improve overall system reliability and prevent similar issues in the future.

9. Supporting Tools and Resources

• Problem Management System: [Specify the tool used, e.g., Jira, ServiceNow]
• Root Cause Analysis Tools: [e.g., AWS QuickSight for data visualization]
• Monitoring Tools: [e.g., Amazon CloudWatch, AWS Systems Manager]

10. Continuous Improvement

The problem management process will be reviewed regularly and updated based on lessons learned from problem resolutions, feedback from technical teams, and changes in the operational environment.