© Crown Copyright 2012

GPSoC Problem Guidance for PCTs and End Users
NPFIT-FNT-IMD-SMG-1769.03
25/05/2009 Final V1
Glossary of Terms:
List any new terms created in this document. Mail the NPO Quality Manager to have these included in the master glossary above [1].
Term/Acronym
PCT
GPSoC
SDM
SLA
Definition
Primary Care Trust
GP System of Choice
Service Delivery Manager
Service Level Agreement
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GPSoC Problem Guidance for PCTs and End Users
NPFIT-FNT-IMD-SMG-1769.03
25/05/2009 Final V1
Contents
1 About this Document ........................................................................................... 4
1.1
Purpose ........................................................................................................ 4
1.2
Audience ...................................................................................................... 4
1.3
Standardised Definitions .............................................................................. 4
2 PCT/End User Guidance for Problem Management ............................................ 5
2.1
When an incident becomes a problem ......................................................... 5
2.2
Managing the Problem ................................................................................. 5
2.3
Obtaining Updates ........................................................................................ 5
2.4
NHS CFH Problem Management Contact Information ................................. 6
3 GPSoC Problem Guidance .................................................................................. 6
3.1
GPSoC Suppliers Standard Problem Management Processes .................... 6
3.2
GPSoC Suppliers Key Problem Management Activities ............................... 6
3.3
GPSoC Suppliers Problem Criteria Guidance .............................................. 7
3.4
GPSoC Suppliers Problem Management Contacts ...................................... 7
4 NHS CFH Problem Management ........................................................................ 8
4.1
Governance .................................................................................................. 8
4.2
NHS CFH Problem Management Overview ................................................. 8
4.3
NHS CFH Problem Management Key Activities ........................................... 9
5 NHS CFH GPSoC End to End Problem Management Process ......................... 10
5.1
End to End GPSoC Problem Management Process Steps ........................ 11
6 Appendices ........................................................................................................ 14
6.1
Appendix A - Problem Management Severity Guidelines ........................... 14
6.2
Appendix B - Master Problem Tracker ....................................................... 15
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GPSoC Problem Guidance for PCTs and End Users
NPFIT-FNT-IMD-SMG-1769.03
25/05/2009 Final V1
This document aims to provide advice and guidance on GPSoC Incident and
Problem Management.
Specifically, where an end-user has had an incident closed but there is an underlying problem affecting the system and corrective actions must take place to resolve the problem through the support processes GPSoC Suppliers have with NHS CFH
Service Management Problem Management Teams.
The purpose of the document is to ensure a standardised guidance for PCTs and end-users on how an incident that is not resolved and has become a problem will be corrected. This document covers GPSoC Services, Suppliers, PCT and GPSoC
Clinical System end-users only.
GP System of Choice Suppliers
Primary Care Trusts
National Service Desk
Service Bridge
GPSoC Programme Stakeholders
Service Management Problem Management
Service Management Incident Management
A problem is a condition often identified because of multiple incidents that exhibit common symptoms. Problems can also be identified from a single incident from which, for which the cause is unknown, but for which the impact is significant.
A known error is a condition identified by a successful diagnosis of the root cause of a problem and the subsequent development of a Work-around.
An incident is an event which is not part of the standard operation of a service and which causes or may cause disruption to or a reduction in the quality of services and customer productivity.
A defect is any flaw in a component or system that can cause the component or system to fail to perform its required function. Defects are identified during the testing cycle and managed with Deployment & Problem Management and will generally become a problem in their own right.
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GPSoC Problem Guidance for PCTs and End Users
NPFIT-FNT-IMD-SMG-1769.03
25/05/2009 Final V1
Problems are often the result of multiple incidents across common or multiple GPSoC systems that demonstrate the same symptoms. A problem may also be a high severity incident (single incident) for which the cause is unknown, but the impact is significant.
Known errors are conditions identified by a successful diagnosis of the root cause of a problem and the development of a work-around, which is usually temporary in nature until a permanent fix can be implemented either through a clinical patch or through a change to be implemented into the system. The benefits of using the correct Problem Management process eliminates the requirement to raise large amounts of individual incidents exhibiting the same characteristics (one parent incident can be raised an associated Problem Record can be raised.)
It also allows PCT Local Service Desks to address concerns by end-users that incidents have not been closed, or resolved, but are being dealt with under a common problem record.
For the management of incidents or high impacting incidents that are problems, it is imperative in the first instance that you ensure your GPSoC Supplier provides you with a Problem Reference Number and a work-around if it is a known error. The
Problem Reference Number should be recorded on the incident record itself, and the status of the incident should be set to a status ‘resolved with workaround’ should a temporary work around be available.
Where no temporary work-around is available, you must obtain a Problem Reference
Number from your GPSoC Supplier, and set the incident status to ‘open pending problem resolution’.
If a PCT/End-User requires updates on a problem that has been raised with your
GPSoC Supplier, in the first instance you should contact the relevant supplier.
Should you find that the problem has not been resolved in the timescales required under the GPSoC Framework Agreement, or you receive an unacceptable response from the Supplier, then you should escalate the issue by contacting the NHS CFH
Problem Management Analyst, detailed in the contact’s list.
At a minimum, you should receive communication regarding a problem on a weekly basis. If you find this is not the case in the first instance you should contact your
GPSoC Supplier, again if there is no response or the communication is not satisfactory, please escalate to the NHS CFH Problem Management Team.
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GPSoC Problem Guidance for PCTs and End Users
NPFIT-FNT-IMD-SMG-1769.03
25/05/2009 Final V1
NHS CFH Problem Management Team – cfh.problemmgmt@nhs.net
Under the Service Level Specification, all Suppliers are required to have processes that are ITIL Best Practice, for PCT Local Service Desks/End Users who wish to have a further understanding of the ITIL best practices that have been adopted, please refer to the sections below.
 GPSoC Suppliers have dedicated Problem Management Processes in place as part of the GPSoC Framework Agreement adhering to ITIL best practice standards. GPSoC Problem Management processes are available from the
GPSoC supplier.

GPSoC Suppliers maintain a known-error database, a log containing records of all known-errors (and where applicable known defects). The known-error database is held locally on the GPSoC Suppliers Service Desk, and where appropriate made available to PCTs with Local Service Desks in place.

Well defined escalation process to escalate problems within the GPSoC
Suppliers Service Support Team.
 Well defined interfaces into NHS CFH Problem Management in order to facilitate end to end Problem Management.
 Provision of Problem control, identification, recording, classification and progression of problems through investigation and diagnosis until either known-error status is confirmed or an alternative reason for the problem is identified.
 Provide error control encompassing identifying, recording, classifying and progressing that extend to resolution of problems through either a change or patch to the clinical system leading to the closure of linked problems and known error records.
 Proactive management of problems with adequate effort focused on identifying and resolving problems and known errors before incidents occur.
 Conduct regular Problem Reviews following the resolution of problems with high user impact evaluating all the resolving actions undertaken and establishing lessons learnt ensuring the maturity of Problem Management
Processes.
 Provide regular Management Information on Problem Management Service
Level Agreements and Key Performance Indicators.
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GPSoC Problem Guidance for PCTs and End Users
NPFIT-FNT-IMD-SMG-1769.03
25/05/2009 Final V1
When raising a problem the following criteria guidance applies:
 Is there a work-around in place? Ideally, before a problem record is raised for an incident there should be a proven work-around in place. Any work-around must be reliable and replicable in all situations for that particular incident.
Generic work-around descriptions, such as ‘restart server’ should be avoided.
 Where no viable work-around is available, the number of times the incident has occurred in a given space of time must be taken into consideration.
Where an incident is occurring repeatedly with no definite fix or workaround a problem record must be raised to ascertain the root cause of the incident.
 Severity of Incident – In certain circumstances, a problem record will need to be raised for incidents that have a high impact on the end-users, even when a permanent fix has been implemented, for the purposes of ensuring that a repeat of this incident does not occur again.
 Have a status for incidents that is ‘resolved – pending fix or permanent workaround’
Each GPSoC Supplier has a dedicated Problem Management contact. These contacts are available direct from your supplier or alternatively contact the Service
Desk with your Problem Reference Number and they will be able to route your call to the Problem Management Contact within your suppliers’ organisation.
SUPPLIER
EMIS
SERVICE DESK
08451 222 333 # 61
EMAIL csasupport@e-mis.com
helpline.support@inps.co.uk
/ www.inps.co.uk
iASSIST@isoftplc.com
support@microtest.co.uk
InPS iSoft
Microtest
NHS CFH Problem
Management
© Crown Copyright 2012
020 7501 7105
0870 609 5530
0845 345 1600 cfh.problemmgmt@nhs.net
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GPSoC Problem Guidance for PCTs and End Users
NPFIT-FNT-IMD-SMG-1769.03
25/05/2009 Final V1
NHS CFH Service Management has the responsibility for managing and ensuring that GPSoC Suppliers deliver services to the required performance and quality.
Occasionally Service Management including Problem Management will be required to co-ordinate and facilitate the activities of GPSoC Suppliers to ensure that Service
Quality is not compromised.
The governance role performed by NHS CFH Service Management ensures that suppliers are following Service Management best practice. For purposes of this document “best practice” is defined by the Service Management Practices laid out in the IT Infrastructure library.
The governance role within Service Management is primarily facilitating co-ordination and communication across the Supplier and Key Stakeholder base. CFH NHS
Problem Management’s end goal is to ensure satisfactory resolutions are achieved for key services issues (problems). Problem Management through liaising with
GPSoC Suppliers aim to ensure that resolution is provided for and implemented for all problems, and once a permanent fix has been confirmed to ensure that any lessons learnt and root cause analysis are documented and shared.
NHS CFH Problem Management is a centralised function responsible for end-to-end monitoring and management of all CFH related problems (including GPSoC
Problems). NHS CFH is not accountable for the resolution of outstanding issues;
Suppliers are responsible for the implementation of workarounds and permanent fixes for all Problem Records raised against the GPSoC infrastructure and services.
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GPSoC Problem Guidance for PCTs and End Users
NPFIT-FNT-IMD-SMG-1769.03
25/05/2009 Final V1
NHS CFH Problem Management’s Key activities:
 Liaising with Suppliers to ensure the emphasis and focus is placed on high impact and high severity problems.
 Facilitation and co-ordination of problem management activity between multiple Suppliers
 Interaction with Suppliers to ensuring Problem Management processes and procedures are followed and that best practice is shared and adopted across all organisations
 Monitoring Supplier Problem Management Service Levels and process Key
Performance indicators

Tracking Supplier Process Improvement activity
 Interaction with Suppliers to ensure that focus is maintained on the user experience and that potential impacts are mitigated as soon as practicable
 Central monitoring and analysis of problem management data

Providing intervention and pro-active problem management activity within NHS
CFH
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GPSoC Problem Guidance for PCTs and End Users
NPFIT-IMD-FNT-
Version 1.0 – Problem Management Process
2.0 High
Severity
3.0 Follow
Escalation
Procedures
Problem Management Process
5.0 Add Problem
Record to HP
Openview and advise Supplier
Problem
Management identified Problem
6.0 Root Cause
Investigation
8.0 Update
Problem Record on HP Openview
1.0 Problem
Identified
*As a result of
Multiple
Incidents
*Highlighted by the GPSoC
Supplier
*Identified by the
PCT/End User
Ensure Incident
not closed until advised
4.0 Add Problem
Record to Tracker and advise PCT or
End User
Obtain Problem
Record Reference from GPSoC
Supplier
Mark incident as resolved with work-around, or pending problem closure and add problem record details to incident
7.0 Update NHS
CFH Problem
Management
9.0 Escalation
15/05/2009 Draft V0.4
11.0 Resolve
Problem
13.0 Service
Management advise problem resolved
If a work around has been supplied until the problem can be resolved ensure that relevant details have been provided to the Supplier to communicate to the PCT Service Desk/End-Users
10.0 Service
Delivery Manager engaged
12.0 Service
Delivery Manager advised problem resolved
NHS CFH Problem Management Generic Email for Escalations – cfh.problemmgmt@nhs.net – Only for use if all GPSoC Suppliers options have been exhausted, or no satisfactory response has been received
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GPSoC Problem Guidance for PCTs and End Users
NPFIT-IMD-FNT- 5/05/2009 Draft V0.4
Interface
Process Step
When
Detail
Identifying a Problem
Upon identification of a new problem.
The Supplier is responsible for the allocation of a Problem Severity, before logging the problem and notifying NHS CFH Problem Management. It should be noted that if a Problem is identified by an end-user or PCT, the Supplier must allocate a Problem Reference Number and Severity to the PCT/End-
User as well as notifying NHS CFH Service Management.
Please see Appendix A: Problem Management Severity Guidelines
The allocated severity will be determined based on the impact and urgency of the problem, and will determine the priority and focus given by the
Supplier to its resolution.
Email: cfh.problemmgmt@nhs.net
Interface
Process Step
When
Detail
Notify CFH of a new Problem
Weekly (Friday)
The Supplier is responsible for providing NHS CFH Problem Management with details of all new Problem records on (at a minimum) weekly usually on a Friday.
The update will be provided in the Supplier Weekly Problem Management
Tracker Report. The Problem Management Tracker should be updated on a weekly basis in the following format.
Please see Appendix B: Problem Management Tracker Report
NHS CFH will log the information provided in the tracker onto HP Openview
(Service Management Tool) to allow internal monitoring and reporting of
Problem Management issues.
On occasion, NHS CFH Problem Management may be aware of a problem before the supplier; in these circumstances, NHS CFH will notify the Supplier via their nominated Problem Management contact and will provide the
Supplier with the Problem Information available at the time. The Supplier should make the GP/PCT practice aware of these Problems as soon as they are made available.
Email: cfh.problemmgmt@nhs.net
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GPSoC Problem Guidance for PCTs and End Users
NPFIT-IMD-FNT- 5/05/2009 Draft V0.4
End to End GPSoC Problem Management Process Steps (continued)
Process Step
When
Detail
Interface
Notify CFH of a new High Severity Problem
Immediately upon identification of a new High Severity Problem
The supplier is responsible for providing NHS CFH Problem Management immediately of a new High Severity problem and should follow NHS CFH
Problem escalation procedures.
Once notified of a high severity service issue, NHS CFH Problem
Management will assist the supplier in the co-ordination and resolution and mitigation activities that may be required. NHS CFH Problem Management will also manage the relevant internal communications and work with the
Service Delivery Manager to resolve the issue as quickly as possible.
Notification should be given to NHS CFH via email and phone. The Supplier should ensure that NHS CFH is provided with as much information as possible about the issue and its associated impact.
High Severity progress updates should be given to the NHS CFH Problem
Management contact at regular and appropriate intervals. NHS CFH will maintain an open and constant dialogue with the Supplier whilst the Problem remains open or at a high severity status.
Email: cfh.problemmgmt@nhs.net
Process Step
When
Detail
Interface
Update NHS CFH of existing Problem Progress
Weekly every Friday (minimum)
The Supplier is responsible for updating NHS CFH Problem Management with details of resolution progress for all existing problem records on (at a minimum) a weekly basis.
The update will be provided in the in the Supplier Weekly Problem
Management Tracker Report (also used to inform NHS CFH of new issues)
The Problem Management Tracker should be updated on a weekly basis in the following format.
Appendix B. Problem Management Tracker Report
NHS CFH will log the information provided in the tracker onto HP OpenView
(Service Management Tool) to allow internal monitoring and reporting of
Problem Management issues.
NHS CFH may contact the supplier at any time to either validate the information on the progress of a problem record.
Email: cfh.problemmgmt@nhs.net
Process Step
When
Detail
Managing a Problem
As Appropriate
During the ongoing management of a problem, the supplier may be required to attend NHS CFH led Problem Management Conference Calls to provide additional information and updates.
Email: cfh.problemmgmt@nhs.net
Interface
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GPSoC Problem Guidance for PCTs and End Users
NPFIT-IMD-FNT- 5/05/2009 Draft V0.4
End to End Problem Management Process Steps (continued)
Process Step
When
Detail
Interface
Notify CFH of implementation of a fix
Weekly every Friday (minimum)
The is responsible for updating NHS CFH Problem Management with details of Permanent Fixes for all existing Problem records on (at a minimum) weekly. If appropriate or in the event of High Severity Problems the Supplier should undertake additional efforts to update NHS CFH at shorter intervals.
The update will be provided in the Supplier Weekly Problem Management
Tracker report (also used to inform NHS CFH of new issues) which is required by NHS CFH every Friday by email.
Appendix B. Problem Management Tracker Report
NHS CFH will log the information provided in the tracker onto HP OpenView
(Service Management Tool) to allow internal monitoring and reporting of
Problem Management issues.
Email: cfh.problemmgmt@nhs.net
Process Step
When
Detail
Interface
Closing a Problem
As Appropriate
Upon the implementation of a fix by a supplier, NHS CH Problem
Management will validate the success of the fix. If the fix is verified as successful, NHS CFH will instruct the Supplier to close the problem record if the fix is unsuccessful, NHS CFH will instruct the Supplier to re-open the problem and continue to manage the issue to resolution.
A problem should only be closed with the authorisation of NHS CFH Problem
Management. The closure of all Problems will be recorded by the Supplier on the weekly Problem Management Tracker Report. All problems will be updated in NHS CFH Service Management’s HP Openview instance.
Email: cfh.problemmgmt@nhs.net
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GPSoC Problem Guidance for PCTs and End Users
NPFIT-IMD-FNT- 5/05/2009 Draft V0.4
Impact Description Severity Used
Problems which have the potential to:
 Have Critical adverse impact on the provision of the Service to End Users; or
 Have Critical adverse impact on the delivery of patient care; or
 Cause significant financial loss and/or disruption to the Authority, an Authority Service
Recipient or an Authority Party; or
 Result in any material loss or corruption of Authority Data, or in the provision of incorrect
Authority to an End-User
 Generally Problems relating to incidents of Severity Level 1 (Schedule 1.2, Service Level
Specification and Performance Monitoring)

Require Urgent attention, and
 Work-around or temporary fix available
Problems which have the potential to:

Have a significant (but not Critical) adverse impact on the provision of the Service to End-
Users; or
 Have a significant (but not Critical) adverse impact on the delivery of patient care; or
 Cause a financial loss/or disruption to the Authority, an Authority Service Recipient or an
Authority Party which is more than trivial but less severe than the financial loss described in the definition in the definition of a Severity 1 Problem
 Generally problems relating to incidents of Severity Level 2 (Schedule 1.2, Service Level
Specification and Performance Monitoring
 Require Urgent Attention
 Work-around or temporary fix available
Problems which have the potential to:
 Have a moderate adverse impact on the provision of the Service to end-users
 Have a moderate adverse impact on the delivery of patient care
 Generally problems relating to Severity Level 3 (Schedule 1.2, Service Level Specification and Performance Monitoring
 Require attention when resources become available
 Work-Around or temporary fix available
1
2
Problems which have the potential to:


Have a minor adverse impact on the provision of Service to End Users;
Have a minor adverse impact on the delivery of patient care
 Generally problems relating to Severity Level 4 (Schedule 1.2, Service Level Specification and Performance Monitoring
 Requires attention when resources become available

Work-around or temporary fix available
Problems which related to a cosmetic flaw:
 Generally problems relating to Service Failures of Severity Level 5 (Schedule 1.2, Service
Level Specification and Performance Monitoring)

Requiring attention when resources become available
 Work around or temporary fix available
5
4
3
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GPSoC Problem Guidance for PCTs and End Users
NPFIT-IMD-FNT- 5/05/2009 Draft V0.4
The attached Problem Management Tracker is supplied to NHS CFH Service
Management and details the information that is required for problem management.
As part of the GPSoC Framework Agreement this information is supplied to CFH
Problem Management on a weekly basis.
S:\High Level
Contracts\ITSM\GPSO
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