A016 - Feedback and Escalation Mechanisms Framework
- Document Title: A016 - Feedback and Escalation Mechanisms Framework
- Version: 1.0
- Date: 2024-01-15
- Status: Active
- WBS: 1.1.2.2.4
- Document Owner: ICT Governance Council
- Framework Integration: ICT Governance Framework, Stakeholder Engagement Framework, Success Measurement Framework
Executive Summary
This framework establishes comprehensive feedback and escalation mechanisms for the ICT Governance Framework, providing structured processes and systems for collecting feedback, managing escalations, and ensuring timely responses to stakeholder concerns. The framework enables effective intake management and supports continuous improvement of governance processes through systematic feedback collection and escalation handling.
Table of Contents
- Introduction
- Feedback Collection System
- Escalation Procedures
- Response Protocols
- Service Level Agreements (SLAs)
- Technology Platform
- Governance and Quality Assurance
- Success Measurement
- Implementation Roadmap
Introduction
Purpose
This framework establishes systematic mechanisms for collecting feedback and managing escalations within the ICT Governance Framework. It ensures that stakeholder concerns, suggestions, and issues are effectively captured, processed, and resolved through structured processes with defined service levels and response protocols.
Scope
This framework applies to:
- All ICT governance processes and decisions
- Technology-related feedback and escalations
- Stakeholder concerns and suggestions
- Policy compliance issues and exceptions
- Service delivery problems and improvements
- Strategic governance recommendations
Key Objectives
- Systematic Feedback Collection: Establish multiple channels for stakeholder feedback
- Effective Escalation Management: Provide clear escalation paths and procedures
- Timely Response: Ensure prompt acknowledgment and resolution of issues
- Continuous Improvement: Use feedback to drive governance enhancements
- Stakeholder Satisfaction: Maintain high levels of stakeholder confidence
- Transparency: Provide visibility into feedback and escalation status
Core Principles
- Accessibility: Multiple channels accommodate diverse stakeholder preferences
- Responsiveness: Timely acknowledgment and action on all feedback
- Transparency: Clear communication about status and resolution
- Accountability: Defined ownership and responsibility for responses
- Continuous Learning: Regular analysis and improvement of processes
- Stakeholder-Centric: Focus on stakeholder needs and satisfaction
Feedback Collection System
1. Multi-Channel Feedback Collection
ICT Governance Feedback Portal
- Centralized web-based platform for all governance-related feedback
- Integration with existing governance systems and workflows
- Mobile-responsive design for accessibility across devices
- Anonymous and identified feedback options
- Real-time status tracking and notifications
Features:
- Categorized feedback submission (policy, process, technology, service)
- Attachment capabilities for supporting documentation
- Priority level selection and impact assessment
- Automated routing to appropriate governance teams
- Integration with Microsoft 365 and collaboration tools
Governance-Specific Feedback Widgets
- Embedded feedback collection within governance applications
- Context-aware feedback based on current governance process
- Quick rating systems and satisfaction surveys
- Process-specific feedback forms and templates
- Integration with governance analytics and reporting
1.2 Traditional Feedback Channels
Governance Council Sessions
- Dedicated feedback time during council meetings
- Stakeholder representation and voice
- Direct feedback to governance leadership
- Formal feedback recording and follow-up
- Integration with meeting minutes and action items
Stakeholder Advisory Committees
- Technology Innovation Advisory Committee feedback
- Business Value Advisory Committee input
- Risk and Compliance Advisory Committee concerns
- Regular feedback collection and synthesis
- Escalation to governance council when needed
Focus Groups and Listening Sessions
- Monthly governance-focused listening sessions
- Department-specific governance feedback groups
- Executive governance feedback sessions
- New stakeholder onboarding feedback
- Exit feedback from departing stakeholders
2. Feedback Categories and Classification
2.1 Primary Feedback Categories
Policy and Compliance Feedback
- Policy clarity and applicability concerns
- Compliance burden and process efficiency
- Exception request feedback and suggestions
- Regulatory alignment and interpretation
- Policy conflict identification and resolution
Process Improvement Feedback
- Governance process efficiency and effectiveness
- Workflow automation opportunities
- Decision-making speed and quality
- Communication and transparency improvements
- Stakeholder engagement enhancements
Technology and Platform Feedback
- Governance tool usability and functionality
- Integration and connectivity issues
- Performance and reliability concerns
- Feature requests and enhancements
- Training and support needs
Service Delivery Feedback
- Response time and quality concerns
- Support effectiveness and availability
- Communication clarity and timeliness
- Stakeholder satisfaction and experience
- Service level agreement performance
2.2 Feedback Priority Classification
Critical (Priority 1)
- Governance failures affecting business operations
- Security or compliance violations
- System outages or critical functionality issues
- Regulatory or audit findings
- Executive escalations
High (Priority 2)
- Significant process inefficiencies
- Policy conflicts or ambiguities
- Stakeholder satisfaction issues
- Resource allocation concerns
- Strategic alignment problems
Medium (Priority 3)
- Process improvement suggestions
- Feature requests and enhancements
- Training and documentation needs
- Communication improvements
- General satisfaction feedback
Low (Priority 4)
- Minor usability improvements
- Cosmetic or convenience features
- General suggestions and ideas
- Informational feedback
- Appreciation and recognition
3. Feedback Processing Workflow
3.1 Intake and Initial Processing
Automated Intake Process
- Receipt and Registration
- Automatic acknowledgment within 15 minutes
- Unique tracking number assignment
- Initial categorization and priority assessment
- Stakeholder notification and confirmation
- Initial Triage and Routing
- Automated routing based on category and priority
- Assignment to appropriate governance team
- Escalation trigger assessment
- Resource allocation and scheduling
- Stakeholder Communication
- Confirmation of receipt and initial assessment
- Expected timeline and next steps
- Contact information for follow-up
- Status tracking portal access
3.2 Analysis and Response Development
Detailed Analysis Process
- Impact Assessment
- Business impact evaluation
- Stakeholder impact analysis
- Resource requirement assessment
- Risk and compliance implications
- Solution Development
- Root cause analysis
- Alternative solution evaluation
- Implementation planning
- Stakeholder consultation
- Review and Approval
- Governance team review
- Stakeholder validation
- Leadership approval when required
- Final solution documentation
Escalation Procedures
1. Escalation Triggers and Criteria
1.1 Automatic Escalation Triggers
Time-Based Escalations
- Priority 1: No response within 2 hours → Escalate to Domain Owner
- Priority 2: No response within 8 hours → Escalate to Domain Owner
- Priority 3: No response within 24 hours → Escalate to Technology Steward
- Priority 4: No response within 72 hours → Escalate to Technology Steward
Impact-Based Escalations
- Business-critical system impacts → Immediate escalation to ICT Governance Council
- Regulatory compliance violations → Immediate escalation to Compliance Officer
- Security incidents → Immediate escalation to Security Steward
- Multi-domain impacts → Escalation to ICT Governance Council
Stakeholder-Initiated Escalations
- Unsatisfactory response quality
- Missed SLA commitments
- Inadequate resolution
- Communication breakdowns
- Resource allocation disputes
1.2 Escalation Hierarchy
Level 1: Technology Custodians
- Initial response and basic issue resolution
- Standard process execution
- Documentation and tracking
- Escalation when needed
Level 2: Technology Stewards
- Complex issue resolution
- Cross-functional coordination
- Policy interpretation and guidance
- Resource allocation decisions
Level 3: Domain Owners
- Strategic decision making
- Resource prioritization
- Policy exceptions and approvals
- Stakeholder relationship management
Level 4: ICT Governance Council
- Framework-level decisions
- Strategic escalations
- Executive-level issues
- Organizational impact resolution
Level 5: Executive Leadership
- Business-critical escalations
- Regulatory and compliance issues
- Strategic alignment problems
- Organizational change requirements
2. Escalation Process Workflow
2.1 Escalation Initiation
Automatic Escalation Process
- Trigger Detection
- System monitoring for escalation triggers
- Automatic escalation initiation
- Stakeholder notification
- Escalation tracking activation
- Escalation Notification
- Immediate notification to next level
- Context and history provision
- Urgency and impact communication
- Resource requirement identification
- Handover Process
- Complete case file transfer
- Stakeholder introduction
- Timeline and expectation setting
- Continuity assurance
2.2 Escalation Management
Escalation Tracking and Monitoring
- Real-time escalation status tracking
- Stakeholder communication updates
- Progress monitoring and reporting
- SLA compliance tracking
Escalation Resolution Process
- Assessment and Planning
- Comprehensive situation assessment
- Resolution strategy development
- Resource allocation and scheduling
- Stakeholder communication plan
- Implementation and Monitoring
- Resolution plan execution
- Progress tracking and reporting
- Stakeholder updates and feedback
- Continuous monitoring and adjustment
- Closure and Follow-up
- Resolution validation and confirmation
- Stakeholder satisfaction assessment
- Lessons learned documentation
- Process improvement recommendations
Response Protocols
1. Response Framework
1.1 Response Standards
Acknowledgment Standards
- All feedback acknowledged within 15 minutes (automated)
- Personal acknowledgment within SLA timeframes
- Clear communication of next steps and timeline
- Contact information for follow-up questions
- Status tracking portal access provision
Communication Standards
- Clear, professional, and empathetic communication
- Regular status updates per SLA requirements
- Proactive communication of delays or changes
- Multiple communication channel options
- Stakeholder preference accommodation
Resolution Standards
- Comprehensive problem analysis and solution development
- Stakeholder involvement in solution validation
- Clear implementation timeline and milestones
- Post-resolution follow-up and satisfaction assessment
- Documentation and knowledge sharing
1.2 Response Templates and Guidelines
Standard Response Templates
- Initial acknowledgment templates by category
- Status update templates for different scenarios
- Resolution communication templates
- Escalation notification templates
- Closure and follow-up templates
Communication Guidelines
- Tone and style standards
- Technical language simplification
- Cultural sensitivity considerations
- Accessibility requirements
- Multi-language support when needed
2. Response Quality Assurance
2.1 Quality Standards
Response Quality Criteria
- Accuracy and completeness of information
- Clarity and understandability of communication
- Timeliness and SLA compliance
- Stakeholder satisfaction and feedback
- Resolution effectiveness and sustainability
Quality Monitoring Process
- Regular response quality audits
- Stakeholder satisfaction surveys
- Peer review and feedback
- Continuous improvement initiatives
- Training and development programs
2.2 Continuous Improvement
Response Process Improvement
- Regular analysis of response effectiveness
- Stakeholder feedback integration
- Best practice identification and sharing
- Training and capability development
- Technology and tool enhancement
Service Level Agreements (SLAs)
1. SLA Framework
1.1 Response Time SLAs
| Priority Level |
Initial Acknowledgment |
First Response |
Resolution Target |
Escalation Trigger |
| Critical (P1) |
15 minutes |
2 hours |
8 hours |
2 hours (no response) |
| High (P2) |
15 minutes |
8 hours |
24 hours |
8 hours (no response) |
| Medium (P3) |
15 minutes |
24 hours |
5 business days |
24 hours (no response) |
| Low (P4) |
15 minutes |
72 hours |
10 business days |
72 hours (no response) |
1.2 Quality SLAs
Stakeholder Satisfaction SLAs
- Overall satisfaction rating: ≥85%
- Response quality rating: ≥90%
- Resolution effectiveness rating: ≥85%
- Communication clarity rating: ≥90%
- Timeliness satisfaction rating: ≥95%
Process Efficiency SLAs
- First-contact resolution rate: ≥70%
- Escalation rate: ≤15%
- SLA compliance rate: ≥95%
- Feedback processing accuracy: ≥98%
- Response template usage: ≥80%
2. SLA Monitoring and Reporting
2.1 Real-Time Monitoring
SLA Dashboard Metrics
- Current SLA performance by priority level
- Response time distribution and trends
- Escalation rates and patterns
- Stakeholder satisfaction scores
- Team performance and workload
Alert and Notification System
- SLA breach warnings and alerts
- Escalation trigger notifications
- Performance threshold alerts
- Stakeholder communication reminders
- Management reporting triggers
2.2 SLA Reporting
Daily SLA Reports
- SLA performance summary
- Breach incidents and causes
- Escalation activity summary
- Team performance metrics
- Improvement recommendations
Weekly SLA Analysis
- Trend analysis and patterns
- Root cause analysis for breaches
- Stakeholder feedback summary
- Process improvement opportunities
- Resource allocation recommendations
Monthly SLA Review
- Comprehensive SLA performance assessment
- Stakeholder satisfaction analysis
- Process effectiveness evaluation
- SLA target adjustment recommendations
- Strategic improvement planning
3. SLA Governance
3.1 SLA Management Process
SLA Review and Updates
- Quarterly SLA performance review
- Annual SLA target assessment and adjustment
- Stakeholder input on SLA appropriateness
- Industry benchmark comparison
- Continuous improvement integration
SLA Exception Management
- Documented exception approval process
- Impact assessment and mitigation
- Stakeholder communication and agreement
- Exception tracking and reporting
- Lessons learned and process improvement
3.2 SLA Accountability
Role-Based SLA Accountability
- Technology Custodians: Operational SLA delivery
- Technology Stewards: SLA monitoring and improvement
- Domain Owners: SLA governance and exceptions
- ICT Governance Council: SLA framework oversight
- Executive Leadership: Strategic SLA alignment
Unified Feedback Management System
- Centralized feedback collection and processing
- Multi-channel integration and aggregation
- Automated routing and assignment
- Real-time tracking and monitoring
- Comprehensive reporting and analytics
Escalation Management Engine
- Automated escalation trigger detection
- Escalation workflow orchestration
- Stakeholder notification and communication
- Escalation tracking and monitoring
- Resolution validation and closure
Communication and Collaboration Platform
- Integrated communication channels
- Stakeholder collaboration tools
- Document sharing and management
- Video conferencing and screen sharing
- Mobile accessibility and notifications
1.2 Integration Architecture
Microsoft 365 Integration
- Teams integration for collaboration
- SharePoint for document management
- Power Platform for workflow automation
- Outlook for communication and scheduling
- Power BI for analytics and reporting
Governance System Integration
- ICT Governance Framework integration
- Policy management system connectivity
- Compliance monitoring integration
- Asset management system linkage
- Security information system integration
2.1 Real-Time Analytics
Feedback Analytics Dashboard
- Real-time feedback volume and trends
- Category and priority distribution
- Response time and SLA performance
- Stakeholder satisfaction metrics
- Team performance and workload
Escalation Analytics Dashboard
- Escalation volume and trends
- Escalation path and resolution analysis
- Time-to-resolution metrics
- Stakeholder impact assessment
- Process effectiveness measurement
2.2 Predictive Analytics
Trend Analysis and Forecasting
- Feedback volume prediction
- Escalation pattern identification
- Resource requirement forecasting
- Stakeholder satisfaction prediction
- Process improvement opportunity identification
Risk Assessment and Early Warning
- SLA breach risk assessment
- Escalation likelihood prediction
- Stakeholder satisfaction risk identification
- Process failure early warning
- Resource constraint identification
Governance and Quality Assurance
1. Framework Governance
1.1 Governance Structure
Feedback and Escalation Governance Committee
- Chair: ICT Governance Council Representative
- Members: Domain Owners, Technology Stewards, Stakeholder Representatives
- Frequency: Monthly meetings, quarterly strategic reviews
- Responsibilities: Framework oversight, policy development, performance monitoring
Operational Management Team
- Lead: Technology Steward (Feedback and Escalation)
- Members: Technology Custodians, Process Specialists
- Frequency: Weekly operational reviews, daily stand-ups
- Responsibilities: Day-to-day operations, SLA monitoring, process improvement
1.2 Policy and Standards Management
Framework Policies
- Feedback collection and processing policies
- Escalation procedures and protocols
- Response standards and guidelines
- SLA management and governance
- Quality assurance and improvement
Standards and Guidelines
- Communication standards and templates
- Process documentation standards
- Technology platform standards
- Training and competency standards
- Performance measurement standards
2. Quality Assurance Framework
2.1 Quality Monitoring
Process Quality Audits
- Monthly process compliance audits
- Quarterly comprehensive quality reviews
- Annual framework effectiveness assessment
- Continuous monitoring and improvement
- External validation and benchmarking
Response Quality Assessment
- Regular response quality sampling
- Stakeholder feedback analysis
- Peer review and validation
- Training needs identification
- Best practice documentation
2.2 Continuous Improvement
Improvement Process
- Regular process effectiveness assessment
- Stakeholder feedback integration
- Industry best practice adoption
- Technology enhancement evaluation
- Training and development programs
Innovation and Enhancement
- Emerging technology evaluation
- Process automation opportunities
- Stakeholder experience enhancement
- Integration and connectivity improvements
- Predictive analytics development
Success Measurement
1.1 Operational KPIs
| KPI |
Description |
Target |
Measurement Method |
Frequency |
Owner |
| SLA Compliance Rate |
Percentage of responses meeting SLA targets |
≥95% |
Automated tracking system |
Daily |
Technology Stewards |
| First Contact Resolution Rate |
Percentage resolved without escalation |
≥70% |
Case management system |
Weekly |
Technology Custodians |
| Escalation Rate |
Percentage of cases requiring escalation |
≤15% |
Escalation tracking system |
Weekly |
Technology Stewards |
| Average Response Time |
Mean time from receipt to first response |
Per SLA targets |
Automated timing system |
Daily |
Technology Custodians |
| Average Resolution Time |
Mean time from receipt to resolution |
Per SLA targets |
Case management system |
Weekly |
Technology Stewards |
1.2 Quality KPIs
| KPI |
Description |
Target |
Measurement Method |
Frequency |
Owner |
| Stakeholder Satisfaction |
Overall satisfaction with feedback/escalation process |
≥85% |
Quarterly satisfaction survey |
Quarterly |
Domain Owners |
| Response Quality Rating |
Quality rating of responses provided |
≥90% |
Stakeholder feedback and peer review |
Monthly |
Technology Stewards |
| Resolution Effectiveness |
Effectiveness of solutions provided |
≥85% |
Post-resolution follow-up survey |
Monthly |
Technology Stewards |
| Communication Clarity |
Clarity and understandability of communications |
≥90% |
Communication assessment survey |
Quarterly |
Technology Custodians |
| Process Efficiency |
Efficiency of feedback and escalation processes |
≥80% |
Process efficiency assessment |
Quarterly |
Domain Owners |
2. Success Measurement Framework
2.1 Measurement Process
Daily Monitoring
- SLA performance tracking
- Response time monitoring
- Escalation activity tracking
- System performance monitoring
- Team workload assessment
Weekly Analysis
- Performance trend analysis
- Quality assessment review
- Stakeholder feedback analysis
- Process improvement identification
- Resource allocation optimization
Monthly Review
- Comprehensive performance assessment
- Stakeholder satisfaction evaluation
- Process effectiveness analysis
- Improvement initiative planning
- Strategic alignment review
Quarterly Assessment
- Framework effectiveness evaluation
- Strategic objective achievement assessment
- Stakeholder engagement analysis
- Technology platform assessment
- Annual planning and budgeting
2.2 Reporting and Communication
Real-Time Dashboards
- SLA performance dashboard
- Escalation activity dashboard
- Stakeholder satisfaction dashboard
- Team performance dashboard
- System health dashboard
Regular Reports
- Daily operational reports
- Weekly performance summaries
- Monthly comprehensive reports
- Quarterly strategic assessments
- Annual framework evaluation
Implementation Roadmap
1. Implementation Phases
1.1 Phase 1: Foundation (Months 1-3)
Objectives: Establish basic feedback and escalation capabilities
Key Activities:
- Deploy core feedback collection platform
- Establish basic escalation procedures
- Implement initial SLA framework
- Train core team members
- Begin basic monitoring and reporting
Deliverables:
- Feedback collection platform (basic functionality)
- Escalation procedure documentation
- Initial SLA framework
- Team training completion
- Basic monitoring dashboard
Success Criteria:
- Platform operational and accessible
- Basic escalation procedures functional
- Initial SLAs defined and monitored
- Team trained and competent
- Basic reporting available
1.2 Phase 2: Enhancement (Months 4-6)
Objectives: Enhance capabilities and improve processes
Key Activities:
- Implement advanced platform features
- Enhance escalation automation
- Refine SLA targets and monitoring
- Expand stakeholder engagement
- Develop comprehensive reporting
Deliverables:
- Enhanced feedback platform with automation
- Automated escalation workflows
- Refined SLA framework
- Stakeholder engagement program
- Comprehensive reporting suite
Success Criteria:
- Advanced platform features operational
- Escalation automation functional
- SLA targets being met consistently
- Stakeholder engagement active
- Comprehensive reporting available
1.3 Phase 3: Optimization (Months 7-12)
Objectives: Optimize processes and achieve target performance
Key Activities:
- Implement predictive analytics
- Optimize process workflows
- Achieve target SLA performance
- Enhance stakeholder satisfaction
- Establish continuous improvement
Deliverables:
- Predictive analytics platform
- Optimized process workflows
- Target SLA performance achievement
- High stakeholder satisfaction
- Continuous improvement framework
Success Criteria:
- Predictive analytics operational
- Process workflows optimized
- SLA targets consistently exceeded
- Stakeholder satisfaction ≥85%
- Continuous improvement active
1.4 Phase 4: Excellence (Year 2+)
Objectives: Achieve excellence and continuous innovation
Key Activities:
- Implement AI-powered capabilities
- Establish industry-leading practices
- Develop innovation programs
- Share best practices externally
- Maintain continuous excellence
Deliverables:
- AI-powered platform capabilities
- Industry-leading practices
- Innovation program
- External best practice sharing
- Sustained excellence
Success Criteria:
- AI capabilities operational
- Industry recognition achieved
- Innovation program active
- External sharing established
- Excellence sustained
2. Implementation Success Factors
2.1 Critical Success Factors
Leadership Commitment
- Strong executive sponsorship and support
- Clear accountability and ownership
- Adequate resource allocation
- Strategic alignment and priority
- Change management support
Stakeholder Engagement
- Active stakeholder participation
- Clear communication and expectations
- Regular feedback and input
- Training and support provision
- Continuous engagement maintenance
Technology Enablement
- Robust and scalable platform
- Integration with existing systems
- User-friendly interface and experience
- Reliable performance and availability
- Continuous enhancement and improvement
Process Excellence
- Well-defined and documented processes
- Clear roles and responsibilities
- Effective training and competency
- Continuous monitoring and improvement
- Quality assurance and validation
2.2 Risk Mitigation
Implementation Risks and Mitigation
- Technology Risk: Comprehensive testing and phased deployment
- Adoption Risk: Extensive training and change management
- Resource Risk: Adequate planning and resource allocation
- Quality Risk: Robust quality assurance and monitoring
- Stakeholder Risk: Active engagement and communication
Conclusion
The A016 Feedback and Escalation Mechanisms Framework provides a comprehensive foundation for systematic feedback collection and escalation management within the ICT Governance Framework. Through structured processes, clear SLAs, and robust technology platforms, this framework ensures that stakeholder concerns and suggestions are effectively captured, processed, and resolved.
The framework’s success depends on:
- Strong commitment to stakeholder-centric service delivery
- Systematic implementation of feedback and escalation processes
- Continuous monitoring of performance and stakeholder satisfaction
- Regular improvement of processes and capabilities
- Technology enablement to support efficient and effective operations
Through consistent application of this framework, the organization can achieve high levels of stakeholder satisfaction, effective governance, and continuous improvement of ICT governance processes and services.
Framework Owner: ICT Governance Council
Implementation Owner: Technology Stewards
Document Version: 1.0
Last Updated: 2024-01-15
Next Review: Quarterly Review Date
Approval Status: Pending ICT Governance Council Approval