ISSUE RESOLUTION & ESCALATION

Training Pack
 Aims and Objectives
Target Audience :

All Operations and Support Management Teams

Purpose of Module :

To understand the need for a consistent root cause problem resolution

process which encourages problem solving at every level.
To provide a framework for a common system to be utilised.

Aims & Objectives :

• Explain basic Problem Solving
• Importance of PDCA
• To explain the common framework enough for the team to
set one up unsupported

Duration : 1.5 hours

Attendees : 5-15
 Contents

• Why do we need an Escalation Process?

• Common Approach to All Issues

• Problem Solving

• Operations Issue Escalation

• Change Process Issue Escalation

• Quality Issue Escalation

• How to Complete an Issues Sheet

• How to Complete an Escalation Strip

Why do we Need an Escalation Process?
Why do we need an Escalation Process?

WE HAVE
• No visibility of actions or ownership.
• No formal containment/customer protection.
• No monitor of countermeasure effectiveness.
• No indication of when issues are closed.

WE WANT
• All issue escalation, across all functions and work streams
to be addressed in a consistent/standardised manner.
 Escalation
! Escalation is a last resort.
! Prior to escalation there must be the capability and the capacity to
attempt root cause problem solving.
! Ownership of the issue must be agreed at whatever level the issue is
raised, e.g. by engineer at team level or by EGL at department level.
! Progress of issues should be formal review at daily or weekly
sessions.
! Issues raised should not just be EXTERNAL, i.e. issues that are
judged to be “someone else’s fault!”
! Communication of progress is critical, particularly to those who raise
the issues initially (take them to see escalated strips if necessary).
Problem Solving
Problem Resolution

Detailed Problem Resolution

• Asking Why 5 times will only help
to identify a potential root cause.
• The ‘Strip’ is a summary of an
issue.
• The ‘Corrective Action Report’ is a
tool for ensuring more in depth,
problem resolution and Root
Cause Analysis.
• Evidence that systematic problem
solving has been attempted at
each level prior to escalation.
 Analysis of Problems

• Qualitative tools
– Tools which are used to obtain and structure ideas during the problem solving cycle

Flow Chart Cause and Effect Diagram

Environment Method Machinery

Out of
specification

Brain Storming !!! Man Materials

5x
WHY
 5 Why’s Example

1 2 3
Q : WHY has machine stopped ? Q : WHY overload trip ? Q : WHY Insufficient oil ?
A : Overload tripped out ! A : Insufficient oil on shaft ! A : Oil pump inefficient !

Root-cause

4
Q : WHY is pump not efficient ?
5
Q : WHY is this shaft worn ?
A : Pump drive shaft worn ! A : Oil filter blocked with swarf !
 Analysis of Problems

• Quantitative Tools
– Tools that are used to gather and analysis numerical data during the problem solving cycle.

Check Sheets Pareto

160

Defects Week No. 140

120
Welding
100

Grinding 80 Series1

60
Cleaning
40

Painting 20

0
Packing

Hole Dia
ST Contour
Workmanshi

Shaft Dia
Runout

Contour

Profile

Other
Fwd Shaft
Radius
p
 Analysis of Problems

• Quantitative Tools

Histograms
Control Charts
14
UCL 12

10

LCL 2

0 Series1
1 2 3 4 5 6 7 8 9 10

Scatter Diagram
12

10

8
Series1
6
Series2
4

0
0 1 2 3 4 5 6 7 8 9
 Problem Solving
The 5 Principles :-

• Problem Definition

• Identify Root Cause

• Customer Protection and Countermeasure(s)

• Confirm Effectiveness of Countermeasure

• Feedback / Feed forward

 Problem Solving Cycle

Problem Definition
Feedback /
Feed forward
Identify Root Cause

Act Plan

Check Do
Confirm Effectiveness Customer Protection and
Countermeasure
Issue Escalation
 Issue Escalation
Issue First Issue
Identified
Raised ? affecting Ops

Rank Issue (if required)

T/L, S/L
A Rank A or B
Protect Customer
Impacts on i.e. Chasing
(Get Job Going)
next the part via
process phone, fax,
feet or Write on Team Issues Board
Andon and
delivering it
B Rank late Monitor Occurrences
T/L
Will not impact (e.g. 4 weeks)
on next process

Occurrences
Sign-off board
No (e.g. 5)

Yes
Problem Solving
lead at Team Level

AP
CD
Problem
Yes
Monitor Solved by
Team

Sign-off
Successful?
board Yes No
(Re-Issue or
Escalate?)
Escalate Strip
 Stakeholders Involved

Operators

Functional Representatives Team Leaders

Cell Leaders

Product Unit Managers

Direction
Of Functional manager Assembly Manager
Escalation

Head of Business
Involvement in exceptional circumstances
Key Involvement / Responsibilities / SLA
Involvement when earlier process exhausted MMT
or in case of MAJOR issue
 Operator
Stakeholders Process Raises Any issues
to TL
TL
Attempts to address himself firstly •They are cause for ANDON signal
Natural Work Group Function Rep if unable raises to escalation sheet. • There has been an accident or near miss on section
Accepts tel call & attends board with TL • There is a repeating cause of disruption
Assigns support owner then calls • The issues lead to a concession
& assess issue. Signs sheet, accepts them to attend board • The issue leads to scrap/rework
issue & enters countermeasure. Works • The issue impedes Program achievement

to resolve issue, if not within remit gives

issue back to TL
CL
•Resolution is not progressing as planned
communicate any issues to current TL & ensure • A customer protection action must be relayed to
If department has no responsibility for the
issue hand issue back to production.i.e. new ones are recorded during shift. Make sure natural opposite shift
assigned to wrong area of support. • An owner has not visited the board during the shift
Keep Department up to speed with resolution of issue,
work groups have signed for issues & ensure • A countermeasure has failed when monitored
using status Quadrant on escalation sheet. countermeasure is implemented and check current • The issue has prevented productivity achievement
for the shift
status. Contact function rep if no action taken to get • There has been an accident or near miss on section
addressed & invite to IPT to address

Natural Work Group Function Head

Assume overall responsibility for
countermeasure & resolution of issue.
Attend HOB meeting & ensure review of any
strip highlighting help is needed within any Pum
function is addressed. Hold weekly review with function heads/reps
review resolution progress & identify where •Counter measures have failed on more than one occasion.
• The issue owner has not visited the board during week.
Attended weekly by HOB, Assembly Manager extra support is needed, tasking functions • Implementation dates have been missed on more than one
and Stakeholders from natural work groups.
To present strips to senior team, seek
with this. Determine issues that need occasion.
• More than 1 shifts productivity has been impeded by the issue.
support and accountability from them. escalating to HOB strip meeting • An accident has occurred on section.
Discuss aspects that are appropriate for
senior level review.
Record actions on strip and seek to ensure
review of the Escalation strip outside of the meeting.

Assembly Manager
Review with pum and Escalate any strips to •Anowner hasnot signedfor theissue2weeksafter it israised.
HOB meeting. Pin under department responsible • Counter measures havefailedonthreeoccasions.
HOB • Timingtoimplement counter measureshavefailed
Chair Friday meeting,with ass manager on strip board. At meeting seeks review on strip onthreeoccasions.
& natural work group heads. outside meeting. • TheNatural WorkGroupdoesnot havetheresource
toaddress theissuesatisfactorily.
• At PUM’sdiscretionastoseverityof effects.
 Escalation process
Stage 1
Once an abnormality is identified it is escalated to the Team Leader
to resolve it. The Issue is not escalated beyond this point until the
Team Leader has tried everything in his power to resolve the issue
If TL cannot resolve it, then, and only then raise it to Shift Leader.

Operator

Team Leader

Shift Leader

HELP! PUM SUPPORT

Mgr
 Protecting the Customer

• Agree with suppliers an agreed level of support (Service Level Agreements). Might include:-
– Response times.
– Attendance at issue escalation meetings, i.e. IPT, Ops Reviews, etc.
• Ensure expected levels of service are clearly communicated and visible, i.e. what is
acceptable!
• Ensure an effective communications system, e.g. “hot lines”, radios, Andon Signals.
• Approach suppliers/support with a consistent system, i.e. agreed standards.
• Ensure the root cause is understood! Do not pass on issues that you could be unwittingly
causing yourself….
Natural Workgroups
Fully supported by SLA’s

TEAM
LEADER
& TEAM

Logistics OPS Support Lean Engineering MM Test Dept

Name Name Name Name Name Name Name
Tel: 1234 Tel: 1234 Tel: 1234 Tel: 1234 Tel: 1234 Tel: 1234 Tel: 1234
Manager Manager Manager Manager Manager Manager Manager

Department contact/Representatives
 Issue Escalation
Escalate Strip

Issue First Present Strip

Present at Shift
Strip at IPTIPT
Raised ?
Agree that it can’t be
! Raise the issue at the point inatthe
resolved Team process
level that you have the
capacity to problem solve at!
Establish Issue Owner

Yes Root Cause

Monitor Countermeasure
! Problem solve at the higher level if the issues are highly visible.
Established

Yes No
Sign-off
Successful?
board/strip No
(Re-Issue or
! Only when the “bigger” issues
Escalate?)
Escalate
have
EscalatetotoWeekly
Dept.
been removed can this give
the team and team leadersDept.
the
OpsOps capacity
Review
Review to problem solve.
Establish Issue Owner

! Since those “smaller” Yes

issuesRootare
Cause not as visible at a higher level, the
Monitor Countermeasure
ability for the team and teamEstablished
leaders to address is critical.
No
Sign-off Yes
Successful?
board/strip No
(Re-Issue or Escalate to Model
Escalate?) Line Review
Issue Resolution Sheet - Process

TEAM LEADER NUMBERS AND DATES

THE ISSUE, THIS WILL BE SPECIFIC
TO A UNIT
Issue Resolution Sheet - Process

THE ISSUE RAISER ENTERS HIS /

HER NAME IN THE RAISED BY BOX
Issue Resolution Sheet - Process

A CUSTOMER PROTECTION IS PUT IN

PLACE BY THE TEAM LEADER, ALONG
WITH THE NAME OF THE RESPONSIBLE PERSON
Issue Resolution Sheet - Process

THE DEPARTMENT RESPONSIBLE IS IDENTIFIED

WITH A NUMBER / COLOUR CODED CIRCLE
Issue Resolution Sheet - Process

THE PERSON RESPONSIBLE IS CALLED TO THE

BOARD TO SIGN, ACKNOWLEDGING THE ISSUE
AND ACCEPTING RESPONSIBILITY TO RESOLVE
Issue Resolution Sheet - Process

THE PERSON RESPONSIBLE ENTERS THE

COUNTERMEASURE TO BE TAKEN. PROGRESS
IS TRACKED USING THE STATUS QUADRANT
Issue Resolution Sheet - Process

THE DATE THAT THE COUNTERMEASURE IS TO

BE PUT IN PLACE IS ENTERED (OR UNIT No IF
ITS AN ENGINEERING CHANGE)
Issue Resolution Sheet - Process

UPON THE DATE ARRIVING, THE

PERSON RESPONSIBLE COMPLETES THE
TRACKER BOX FOR 5 UNITS
GREEN – OK, RED – NOT OK
Issue Resolution Sheet - Process

WHEN THE PERSON HAS SATISFACTORILY

TRACKED 5 UNITS THEY COMPLETE THE
SIGN OFF BOX TO STATE THE RESOLUTION WAS
EFFECTIVE, AND HAS PROVED ROBUST
….if the countermeasure fails, the issue is re-raised using the old number,
prefixed by R. (R is for REPEAT issue)
 Escalation process
Stage 2
Once all effort to solve the problem have been exhausted at Team
Leader level, the problem is escalated to the highest level to avoid
non completion of a Work package or avoidance of program slip.

Operator

Team Leader

Shift Leader

PUM

HELP! Mgr SUPPORT

IPT or Operations Issue Board - Example
IPT ISSUES BOARD Measure
ISSUES

ISSUES Top 10 Issues Monitored

Escalated Issues

Closed Issues

PRD
File
 Issue Escalation

Model Line Review

Establish Issue Owner

Yes Root Cause

Monitor Countermeasure
Established

No
Sign-off Yes
Successful?
board/strip No
(Re-Issue or
Escalate?)

Escalate to Ops
Centre
 Issue Escalation
Escalate to Ops Centre

Monday 10.00am MMTOps Review

Issues Escalation
Priority Issues :
Logistics Facilities
• Prioritise and ask whether the Ops Review is the right vehicle
• Need ownership / champion
• Added to Issues & Actions Register, RAG status, etc.
Human Resources Engineering
• HOBs to ensure communication of status back to team level

Outstanding Issues :
• Are owned
Procurement Finance
• Still open as no countermeasure in place
(issues at this level could be open for a number of months)

Lean Quality
Closed Issues ? :
• Countermeasure in place
• Being monitored for 5 Units before removed from board
• Closure of issues communicated back to Team level
 Stakeholder responsibilities
TEAM
LEADER
& TEAM

Logistics OPS Support Lean Engineering MM Test Dept

Name Name Name Name Name Name Name
Tel: 1234 Tel: 1234 Tel: 1234 Tel: 1234 Tel: 1234 Tel: 1234 Tel: 1234
Manager Manager Manager Manager Manager Manager Manager

Team Leader;
•Enters issue raised by operator onto board as he deems necessary
•Dates and numbers the issue
•Determines the natural work group owner of the resolution
•Determines Customer Protection action
•Calls owner from natural workgroup, requests that the board is visited in a timely manner (before
the end of the shift). If problem is urgent then assistance may be required immediately
•Reviews actions planned and checks progress with owners as appropriate. Update the board
during shift with Natural Work Group Owners
 Stakeholder responsibilities

Shift Leader;
•Ensures that issues from previous shifts are communicated to current T/L
• Ensures that new issues are recorded appropriately during shift
•Ensures that the natural work group owners have signed to accept issues by end of shift.
•Ensures that countermeasures due to be implemented during the current shift are checked for
status
•Ensures that issues on monitor are assessed by the T/L on shift
•Reviews status of problems with the Team Leaders daily (5 mins before Pum Go & See)
•Assists teams with issue resolution
•Raises any escalated issues through daily IPT meeting
 Stakeholder responsibilities

Product Unit Manager;

Friday 8.30-9.30am
•Attends IPT meeting once weekly to review outstanding issues with operational equivalents/
reps from the supporting departments by EXCEPTION.
•Reviews resolution progress as presented by the Shift leader.
•Identifies areas where extra support is required
•Tasks operational equivalents/reps for support departments to provide appropriate support
where it is required
•Determines with the PUM team any issues that require escalation
•Raises ‘Escalation Strips’ as appropriate
 Stakeholder responsibilities

The Assembly Manager/HOB

Thursday 10.30am
•Attends weekly ‘Strip Meeting’ with Head Of Business for all stakeholders in the Natural Workgroup
•Presents ‘Escalation Strips’ to senior team
•Pins strip under the department responsible on the ‘Strip Board’
•Seeks support and accountability from Senior Team
•Does not discuss individual issues, but aspects that are appropriate for senior level review
•Records actions on strip, and seeks review of the ‘Escalation Strip’ outside of the meeting
•If Non attendance/action take’s place by support function then issue may be raised at MMT
 Stakeholder responsibilities
TEAM
LEADER
& TEAM

Logistics OPS Support Lean Engineering MM Test Dept

Name Name Name Name Name Name Name
Tel: 1234 Tel: 1234 Tel: 1234 Tel: 1234 Tel: 1234 Tel: 1234 Tel: 1234
Manager Manager Manager Manager Manager Manager Manager

Support Head/Representative of Function ;

•Ensures that a you respond to call to visit department Board in a timely manner I.e. within the shift.
(or immediately if the issue is urgent)
• Be responsible for the issue by signing the sheet & accepting responsibility and customer protection action.
•Ensures that countermeasures due to be implemented during the current shift are checked for status.
•Reviews actions planned and checks progress with Customer as appropriate. Update the board during shift
with customer.
•Rep/Head of function to attend weekly meeting with Pum for department (Friday 8.30am IPT)
to address any issues with appropriate support where required.
•Head of function to attend weekly HOB meeting(Thursday 1.15pm) on specific Strip issues to discuss aspects
that are appropriate for senior level review.
Escalation Criteria / process
1.Issues are raised on the board when;
• There has been an accident or near miss on section
• There is a repeating cause of disruption
• The issues lead to a Defect
• The issue leads to scrap/rework
• The issue impedes Program achievement

2.Issues are flagged to Shift leader when;

• Resolution is not progressing as planned
• A customer protection action must be relayed to
opposite shift
• An owner has not visited the board during the shift
• A countermeasure has failed when monitored
• The issue has prevented productivity achievement
for the shift
• There has been an accident or near miss on section
•All attempts to resolve have failed and action is
required Urgently - FAST TRACK the issue
Escalation Criteria / process Cont;
3.Issues are raised to PUM Level When;

• Counter measures have failed on more than one occasion.

• The issue owner has not visited the board during week.
• Implementation dates have been missed on more than one
occasion.
• More than 1 shifts productivity has been impeded by the issue.
• An accident has occurred on section.
•All attempts to resolve have failed and action is
required Urgently - FAST TRACK the issue

4. Issues are Now raised at Support Review

• Support Stakeholders to address any issues Highlighted

at this stage.
Escalation Criteria / process Cont;
5.Issues are Escalated to Assembly Manager when;
• An owner has not signed for the issue 2 weeks after it is raised.
• Counter measures have failed on three occasions.
• Timing to implement counter measures have failed
on three occasions.
• The Natural Work Group does not have the resource
to address the issue satisfactorily.
• All attempts to resolve have failed and action is
required Urgently - FAST TRACK the issue
6. Head Of Business (strip) meeting ;
• Attended weekly by HOB, Assembly Manager and Stakeholders
from natural work groups.
• To present strips to senior team, seek support and accountability
• Discuss aspects that are appropriate for senior level review.
• Record actions on strip and seek to ensure review of the
Escalation strip outside of the meeting.
• Failure of stakeholder to attend over an issue may cause issue
to be raised at Manufacturing Management Team review.(MMT)
 Review Structure for Escalation
Daily TL
TL and Operators raise Daily- SL
issues to Issues sheet 5 minutes prior to
Board Mtg, with Daily Part of Go
each TL run & See
through any Pum & SL
escalation issues propose,debate
strips to escalate
to next level
Friday IPT 8.30-9.30
Pum holds issue review with support
equivalents representatives from
natural work groups in IPT.
Determines what to escalate to
assembly manager

THURSDAY drumbeat WEDNESDAY afternoon

HOB chairs meeting, Assembly manager & Assembly Manager and
stakeholders from natural work Groups attend. Pum review strips for
Strips put on issues board.Assembly Manager escalation to Thursday
Seeks support & accountability from senior meeting
team Records actions on strip, and seeks to
ensure review of the ‘Escalation Strip’ outside of
the MONDAY
Strips raised at MMT meeting
meeting.
 FAST TRACK Structure for Escalation

•If an issue arises that requires URGENT attention and is obviously outside
your scope of authority, raise it verbally with your immediate senior. Then
raise it as an issue on the sheet for a follow up and to receive feedback.
•Common Sense MUST Prevail !
•If Joe Bloggs breaks his leg in the pit, you wouldn’t just write it on the Issues
sheet.
•Good verbal communication is essential, the issue escalation process does
not replace this.
 ERRORS & DEFECTS / Unit
50

Errors

40

30
Defects

20

10

DATE 10/11 11/11 12/11 13/11 14/11 15/11 16/11 17/11 18/11 12/11 20/11

MSN 1234 1235 1236 1237 1238 1239 1240 1241 1242 1243 1244
 Team Boards - Example
TEAM BOARD : STATION 99
QUALITY COST DELIVERY PEOPLE
SCRAP PRODUCTIVITY TAKT ADHERENCE SKILLS MATRIX

CONCESSIONS / DISRUPTIONS CURRENT ATTENDANCE

DEFECTS

ISSUES RESOLVED HEALTH & SAFETY

PREVIOUS

LOCAL INFORMATION SIGN OFF 5C

SHIFT : TEAM LEADER :

PRD
File
How to Complete an Escalation Strip
 Escalation Strip
Number and Rank Countermeasure Who Resp Sign Off
•Rank A, B, (if required) •Who has taken ownership for the issue
•Identified root cause and •Signed by the customer of
Date resulting countermeasure(s) •What function is responsible for the the countermeasure
•Date escalated strip countermeasure •Only after being monitored
produced •Colour Code/Dept. No, etc. for agreed period

W/P Number Monitor When

Issue
•The number of the Workpackage •Tracking the •Planned date for
•Description of issue and its impact introduction of
where the issue originated success of a
i.e. part not delivered on time countermeasure countermeasure
•State unit being
Customer Protection measured, i.e. Unit
No., days, shifts, etc.
•What can be done to protect the QCDP until a
Date raised on Issues Board root cause countermeasure is in place? •Mark number of
successful
•Date the issue was first logged, i.e. •What can be done to minimise the impact of an
periods/Unit
on team issues board. issue?
•What can be done to ensure that potential Raised By
previous units are not affected? •Who originally logged the
issue on the Team Board
 Escalation Strip - Back
Ask Why 5 times
•Basic technique to identify
the actual root cause

Customer Protection /
Root Cause Containment
•Root cause demonstrated through clear process
•The Unit No. the defect was
identified on and all current
WIP checked for conformance
to standards.

NOTE:- USE AS A SUMMARY ONLY OF MORE COMPLEX PROBLEMS

 STAKEHOLDER REVIEWS

ISSUE REVIEW

Issues are raised on the Escalation Sheet when;

• There has been an accident or near miss on section

• There is a repeating cause of disruption
• The issues lead to a Defect
• The issue leads to scrap/rework
• The issue impedes Program achievement

Frequency- As required

Attendance- Team Leader, Operator

DAILY SL,TL REVIEW
Issues are flagged to Shift leader when;

• Resolution is not progressing as planned.

• A customer protection action must be relayed to
opposite shift.
• An owner has not visited the board during the shift.
• A countermeasure has failed when monitored.
• The issue has prevented productivity achievement
for the shift.
• There has been an accident or near miss on section.

Frequency- 7.45am Daily

Location- PMS Board / IPT meeting
Attendance- Shift Leader, Team Leader
DAILY GO & SEE
Issues are raised to PUM Level When;

• Counter measures have failed on more than one

occasion.
• The issue owner has not visited the board during week.
• Implementation dates have been missed on more than
one occasion.
• More than 1 shifts productivity has been impeded by
the issue.
• An accident has occurred on section.

Frequency- 7.50am Daily

Location- PMS Boards
Attendance- Pum, Shift Leader
WEEKLY OPS/SUPPORT REVIEW

• Issues are Now raised at Support Review

• Support Stakeholders Reps to address any issues with
appropriate support where required.

Frequency- Friday 8.30-9.30

Location- Review Office
Attendance- Pum, Shift Leader, Support Representative.
WEEKLY MANAGEMENT REVIEW
Issues are Escalated to Assembly Manager when;

• An owner has not signed for the issue 2 weeks after it is raised.
• Counter measures have failed on three occasions.
• Timing to implement counter measures have failed on three
occasions.
• The Natural Work Group does not have the resource to address the
issue satisfactorily.
• At PUM’s discretion as to severity of effects.

Frequency- Wednesday 10.30am

Location- conference room
Attendance- Pum, Assembly Manager
WEEKLY HOB REVIEW
Head Of Business (strip) meeting ;

• Attended weekly by HOB, Assembly Manager and

Head Stakeholder from natural work groups.
• To present strips to senior team, seek support and
accountability from them.
• Discuss aspects that are appropriate for senior level
review.
• Record actions on strip and seek to ensure review
of the Escalation strip outside of the meeting.
• Failure of stakeholder to attend over an issue may cause
issue to be raised at MMT review.

Frequency- Thursday 1.15pm

Location- conference Room
Attendance- HOB, Assembly Manager, Head of Support Function