Yale University Incident Management Process Guide - V3 - Process Framework and Workflow

Sep 12, 2026

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Yale University incident management defines a standardized IT process for handling unplanned interruptions or quality degradations to technology services. It establishes clear objectives focused on rapid restoration, efficient and timely resolution, and minimized business impact. The guide sets incident reporting rules via the Service Desk as the single contact point, mandates logging, prioritization, and recording in the incident management system, and specifies escalation, ownership transfer for major incidents, and user-validated closure.

LanguageEnglish

CategoryPresentations

FormatPDF

Pages17

Reading Time6 min

AccessFree to download

Introduction

Purpose

Scope

Incident Management Overview

Incident Definition

Incident Management Objectives

Incident Management Policies

Incident Management Process Flow

Incident Identification Sources

Escalation and Major Incident Handling

Incident Management Roles

Role Descriptions

Incident Management RACI

Accountability and Ownership

1 of 17 Yale University Incident Management Process Guide Introduction Purpose This document will serve as the official process of Incident Management for Yale University. This document will introduce a Process Framework and will document the workflow, roles, procedures, and policies needed to implement a high quality process and ensure that the processes are effective in supporting the business. This document is a living document and should be analyzed and assessed on a regular basis. Scope The scope of this document is to define the Incident Management Process, and process inputs from, and outputs to, other process areas. Other service management areas are detailed in separate documentation. The following is a specific list of items that are in scope for this document. Other items not listed here are considered out of scope for this document. In scope: 􀁸 Incident Management Overview o Incident Definition o Incident Management Objectives o Incident Management Policies 􀁸 Incident Management Process Flow 􀁸 Incident Management Roles 􀁸 Incident Management RACI 􀁸 Incident Management Procedure Flows and Descriptions 􀁸 Incident Management Prioritization scheme 􀁸 Incident Management Service Categorization Model 􀁸 Incident Management Process Metrics Incident Management Overview Incident Definition An Incident is an unplanned interruption to a technology service or reduction in quality of a technology service. Failure of a Configuration Item or product that has not yet impacted service is also an incident (i.e. failure of one disk from a mirror set) . Incident Management Objectives The goal of Incident Management is to restore service operations as quickly as possible. Timely and efficient resolution will minimize business impact and increase productivity. Incident Management Policies | Incident reporting must go through the Service Desk, providing Users with a single point of contact | | --- | | All incidents must be logged, prioritized and solutions recorded in the Incident Management System | | One standard Incident Management Process is defined and used to support all IT Service users | | The Service Desk manages, tracks, escalates, closes and communicates status of all incident records and is responsible for all incident assignments | | The Incident Management Process is the conduit of communication of any degradation of service, to the affected users and IT personnel | | Closure of incidents is dependent on validating with the user that the incident has been resolved and service is restored | | The Service Desk will own all incidents that they themselves log or that are assigned to them from a Tier 2 provider. Ownership will transfer to the Incident / Situation Manager for major incidents | | Once a major incident has been validated by the Service Desk, escalation and communication protocols for high-priority incidents are initiated and managed by the Service Desk | Incident Management Process Flow |
V3 Incident Management Process | | | | | | | | | | | | | | | | | | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | | | | | | | | | | | | | | | | | | | | Cal ler / Customer |
Incident Identification
Sources:
Event Mgt, Email, Self-Service, Phone Call, Tech Staff (Tier 2 / Walkup)

Hierarchic
Escalation
| | | | | | | | | | | | | | | | |
Incident / Situat ion Manager | | | | | | | | | | Needed? | | | | | | | |
Funct ional Group-Queue Manager | | Ye | | | 9.0 Major Incident Process | | | | N | o | | | | | | | | | | | s | | | | | | | | 6.0 | | | | | | |
Funct ional Group – Tier 2+ Analyst |
1.0

Incident Logging
2.0 Incident Categorization | | | | | | | | | | Investigation & Diagnosis | | | | | | | | | | | 4.0
Initial Diagnosis | | | | | | | | | | 7.0 | | | | Service

FAQs

What is an incident under the Yale University process guide?

An incident is an unplanned interruption to a technology service or a reduction in service quality. It also includes certain configuration item or product failures that have not yet impacted service.

How must users report incidents?

Incident reporting must go through the Service Desk, which provides users with a single point of contact.

When do incident responsibilities transfer for major incidents?

Ownership remains with the Service Desk for incidents they log or that are assigned from a Tier 2 provider. For major incidents, ownership transfers to the Incident/Situation Manager after validation by the Service Desk, which then initiates escalation and communication protocols.

Sep 12, 2026

Upload by Adam