9436-Quick Reference Escalation Process~1.pdf

QUICK REFERENCE: ESCALATION PLAN AND PROCESS

As detailed in IT Vendor Managed Services Agreement #9436

In accordance with agreement subsections 2.3.1 B Quality Management and 2.44 Dispute Resolution Procedure, the following 3 Tier escalation plan and process is designed to:

i. Help resolve issues at an early stage and escalate them to an appropriate level quickly and efficiently.

ii. Promote communications and documentation throughout the process to help eliminate avoidable disputes.

iii. Use a methodology that is fact-based and work to resolve the root cause of disputes.

At any time an Authorized Purchaser (AP) may complete and submit a Performance Report (Exhibit F) in order to notify Contractor and DAS Procurement Services on issues that arise under the Program and Work Order Contracts and initiate the escalation process.

Official communications between the parties or notices must be in accordance with agreement subsection 2.38.

Tier-1

i. Authorized Purchaser’s project manager and Contractor’s Key Person(s) shall make a good faith effort to resolve all disputes by negotiations.

ii. If the issue is resolved at Tier-1, no further action is required.

iii. If a mutually agreeable resolution cannot be reached within 5 business days of commencement of negotiations, or within such time frame as mutually agreed to in writing between the parties, the matter will be elevated to Tier-2.

Tier-2

i. Authorized Purchaser complaints or issues must be communicated to DAS Procurement Services and Contractor via submittal of a Performance Report to DAS Procurement Services at DAS.PS.ContractServices@oregon.gov and to Contractor at customercare@covendis.com.

ii. Contractor issues a unique tracking number to each Performance Report which is time and date-stamped and assigned to one of Contractor’s Oregon Management Team.

iii. DAS Procurement Services and Contractor will work with the AP and Subcontractor for resolution.

iv. If the issue is resolved at Tier-2, a final copy of the Performance Report will be distributed to the Key Person(s) for the parties and Contractor as well as documented in DAS Procurement Services File.

v. If a mutually agreeable resolution cannot be reached within 5 business days of the escalation to Tier-2, the matter will be elevated to Tier-3.

Tier-3

i. If a dispute is not resolved at the Tier-2 level:

a. State Agencies: the dispute will be escalated to Contractor’s Oregon Management Team and for the State Agency, the Authorized Purchaser’s Agency Director and the State Chief Procurement Officer (CPO). Copies of the Performance Report and all supporting facts and information will be provided for review.

b. Non-State Agencies: the dispute will be escalated to Contractor’s Oregon Management Team and for the Authorized Purchaser, the Authorized Purchaser’s applicable Executive(s) and the State Chief Procurement Officer (CPO). Copies of the Performance Report and all supporting facts and information will be provided for review.

ii. Contractor shall use commercially reasonable efforts to coordinate and schedule a mediation session(s) that includes its Subcontractor and Key Persons, the AP Agency Director, Executive or Delegate and relevant staff, the CPO or Delegate, and DAS Procurement Services Authorized Representative to:

1. Discuss the issue;

2. Review the facts and information; and

3. Facilitate a resolution or settlement of the issue (including when appropriate WOC amendments) that may include but is not limited to an action plan, steps required to resolve the issue and a schedule for completion.

iii. If the issue is resolved at Tier-3, a final copy of the Performance Report will be distributed to the project managers for the parties and Contractor as well as documented in DAS Procurement Services File.

The parties involved shall include key decision makers that are able to obligate their respective parties to the agreed solution.

If a situation is not resolved during Tier 1, Tier 2 or Tier 3, the parties are free to pursue any remedy available under this agreement or at law or equity.

As applicable to an issue, the parties shall adhere to the provisions in the agreement regarding Events of Default, remedies, Non-Acceptance and Performance Warranties.