ISSUE MANAGEMENT PROCESS MONTH DAY, YEAR

Purpose The Issue Management Process ensures: a structured approach for identification, communication, tracking, escalation and resolution of project issues a means to assure all issues are visible to the entire team and all team members can share accountability in issue resolution a mechanism to ensure consistency and reliability of issue tracking across the program

Definitions An issue is defined as problem which has occurred that can have an adverse impact on the success of the project. Any problem that cannot be resolved quickly and/or during the normal course of project mechanics should be logged as an issue. There are several criticalities to issues: Critical Significant impact on the project; the consequences may affect other projects or halt the implementation; requires immediate resolution High Impacts several areas of the project; Leadership intervention required Medium Cannot complete phase without resolution, but does not need to be addressed immediately; may or may not require Leadership invention Low Does not impact resources and schedule but requires resolution; may or may not require Leadership intervention

Definitions To ensure consistency, it is important to understand issues vs. non-issues. The Project Manager will provide ongoing guidance. What is an Issue? Example Disposition A problem which cannot be resolved during the normal course of project activity and for which there is no known course of action The budget does not appropriately account for the inclusion of Vertex software for Phase 1 Log Issue A problem which requires escalation and cannot be resolved by the person(s) raising the issue OR may impact multiple teams/program as a whole Need to determine the approach for material number format. Decision needs to be made at an executive level as it is high impact, strategic and sensitive. Log & Escalate Issue A scope decision/question that is being raised after Blueprinting What is the scope of Treasury for Phase 1 What is Not an Issue? An action item/task/question that arises throughout the project by which a course of resolution or action plan is known Need to determine an approach for the Center of Excellence ; Need a follow up meeting resulting from a workshop Log as a task within the team workplan and/or meeting minutes action plan

Guiding Principles To ensure efficiency in the process, the following will serve as guiding principles: Issues should be proactively entered by all Team Members Team Leads will be responsible for review and acceptance of issues The Project Manager will serve as champion to ensure compliance of issue management across the project Issues should focus on key project impacts such as process, policy, technology, data, scope, resources, budget, change/communication Issues should be proactively managed for resolution based on criticality. Issues opened longer than 14 days should be reviewed as the validity of the issues

Issue Management Process

Process Steps Ref ID Process Step Description Input/Output Time Horizon Owner 1 Identify the Issue As the project progresses, it will be the responsibility of all team members to actively identify issues Input: N/A Output: Identified issue Any time Project Team 2 Log the Issue Once the issue has been identified, it should be immediately logged in the issue log (Excel – short term or Document Repository Tool - long term) for tracking. To minimize access to the log, a coordinator (and backup) will be designated , per team, to enter issues. Note: When assigning an issue to another assignee, particularly from another team, the assignee should be notified via email of the assignment Input: Identified Issue Output: Logged Issue Project Team (Coordinatory) 3 Qualify the Issue The Project Manager will qualify the issue. If it is valid, the issue will continue into management (step 5). If the issue does not qualify as it issue, proceed to step 4 Input: Logged Issue Output: Issue Confirmed Project Manager 4 Track as Workplan Task/Action Item and Close Issue If the issue does not qualify as it issue, it should be entered as a workplan task, action item or other, next steps documented in the issue log and finally, the issue closed Input: Unqualified Issue Output: Closed Issue 5 Manage the Issue Once an issue is qualified, it must be “worked” in order to drive to resolution. The proper resolution of an issue will vary depending on the circumstances of the issue. It is key that all impacted parties should be involved in reaching proper closure to an issue. This involves completing Impact Assessments as necessary. If at anytime, escalation is required to resolve an issue, the status of the issue will change to escalated and issue management will continue. If no escalation is required, the issue will move forward for disposition (step 6) Input: Qualified Issue Output: Managed Issue

Process Steps (continue) Ref ID Process Step Description Deliverable I/O Time Horizon Owner 6 Issue Disposition There are several potential dispositions to an issue: Resolution (step 7), Tracking as an Change Request (step 9), or Track as a Risk (step 10). Input: Managed Issue Output: Managed Issue Any time Project Team 7 Resolve Issue In resolving an issue, it is important to involve all impacted parties in the resolution process to minimize additional problems downstream. The resolution should be clearly documented in the issue log. The resolution of an issue typically results in the following impacts: 40%: Functional/Technical development 30%: Integration development 15%: Hardware 15%: Software Output: Resolved Issue 8 Close Issue & Execute Resolution Next Steps Once the resolution has been documented, the issue will be updated with next steps and the status changed to ‘closed’. The next steps will then be executed outside of the issue process. Such next steps may include: Update workplan/action item plans Conduct follow up meetings/review sessions with impacted parties (i.e. Technical, Data, etc) Identify/update relevant key deliverables based on resolution Input: Resolved Issue Output: Closed Issue 9 Close Issue & Log Change Request During the management of an issue, the problem may escalate to a change request. At this point, the resolution should be updated (closed and CR opened), the status changed to ‘closed – CR initiated’ and a new CR opened Output: New Change Request

Process Steps (continue) Ref ID Process Step Description Deliverable I/O Time Horizon Owner 10 Close Issue & Log Risk During the management of an issue, it may be discovered that the problem has not yet occurred and is better tracked as a risk. The resolution should be documented, the issue closed and a new risk logged Input: Managed Issue Output: New Risk Any time Project Team 11 Update the Issue with Decision Data If the issue and its resolution is deemed to be a key decision that will have a significant impact on the project/implementation, the issue log should be update to reflect it is a key issue. Additionally, the key decision makers should be noted at that time. If the Project Manager wishes to later view all key decisions, the log will be filtered accordingly. Output: Key Decision Project Manager

Issue Management Forums There will be several meetings throughout the week where issues will be discussed and managed. Meeting Issue Mgmt Activities Weekly Project Team Meeting Review/update of ALL CRITICAL and HIGH team level issues for accuracy Drive resolution Overdue Issues Update (exception basis for teams with Overdue items) Review/update action plans for ALL OVERDUE issues

Key Roles & Responsibilities There are several key roles and responsibilities necessary to ensure effectiveness of the Issue Management Process. Role Responsibility Project Manager Qualify issues Ensure proper logging of issues Drive tracking and resolution Manage issue escalation Team Members Identify and log issues Project Executive Review Critical/High issues Assist in issue escalation where applicable

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