SOP: TQM Form Submission & Escalation Process

Purpose

The purpose of this SOP is to ensure that all escalations — including early concerns and “FYI-only” situations — are properly documented, reviewed, and addressed through a consistent and accountable process. This allows leadership to stay informed, respond appropriately, and prevent issues from escalating unexpectedly.

When to Submit a TQM Form

All escalations must be submitted through a TQM Form.

This includes:

• Active escalations
• Issues that require immediate action or leadership involvement
• Concerns that may escalate
• Situations that could impact clients, residents, vendors, or internal operations
• “FYI Only” items that leadership should be aware of

If you are unsure whether something qualifies as an escalation, submit the TQM Form anyway. Early visibility helps prevent leadership from being blindsided later.

FYI vs. Action Needed

TQM Forms should be submitted for both:

1. Items That Need Action or Leadership Involvement Now

These are issues that:

• Require immediate guidance or a decision
• Involve upset owners, residents, or vendors
• Could impact compliance, finances, or reputation
• Have already escalated

2. “FYI Only” – Awareness Without Immediate Action

These are situations that do not require immediate action, but leadership should still be aware of them.

Examples include:

• A resident or owner expressing growing frustration
• A recurring issue that hasn’t escalated yet
• A situation that feels “off” or could become a problem
• A policy concern that may cause future pushback
• Early warning signs of dissatisfaction

“FYI Only” submissions are meant to keep leadership informed so we are not caught off guard if the situation escalates later.

If you’re thinking:

“This doesn’t need action right now, but leadership should probably know…”

Then it belongs in a TQM Form as FYI Only.

Early awareness allows management to:

• Track patterns
• Prepare responses
• Support teams proactively
• Prevent bigger issues down the road

If you are ever unsure whether something is “FYI” or “Action Needed,” submit the TQM Form anyway.

Submission Process

1. The team member completes and submits a TQM Form with all relevant details.
2. The form is routed for leadership review.
3. Escalations should not be handled informally outside of this process.

Review & Assignment

• All submitted TQM Forms are reviewed by the Vice President of Operations.
• The VP of Operations assigns the escalation to the most appropriate manager based on:
  • The nature of the issue
  • Department involvement
  • Manager availability

The assigned manager is responsible for handling the escalation.

Escalation Management

The assigned manager will:

• Communicate with all necessary parties
• Address the issue appropriately
• Determine next steps and resolution
• Ensure professionalism and compliance throughout the process

Documentation & Closure

• All outcome notes and resolution details are documented in Help Scout.
• Once the escalation is fully addressed and documented, it is officially closed in Help Scout.

Important Process Rules

No Informal Escalations

Escalations must not be handled through direct emails, Teams messages, or side conversations with leadership or managers.

Do not:

• Email or message a manager directly about an escalation
• Assume who the VP of Operations will assign
• Skip the TQM Form process

All escalations must go through the TQM Form so they can be properly tracked, assigned, and documented.

Why This Matters

Using the TQM process ensures:

• Leadership has full visibility
• Issues are handled consistently
• The right manager is assigned
• Nothing falls through the cracks
• We are not blindsided by developing situations

Early reporting is encouraged and expected.