Content: 10.2 Issues, Escalation and Closure of Alerts

Content

10.2 Issues, Escalation and Closure of Alerts

10.2.1 Yellow (Level 1) Alert

Overview

Item	Description
Purpose	To alert a PIA regarding occurrence of default(s) To provide an opportunity to the PIA to address the default(s)
Reference to guidelines	Not applicable
Prerequisite/s	Occurrence of default
Time for completion	As per the activity table
Resources	SF 10.2A: Monthly Statement of Alerts SF 10.2B: Yellow (Level 1) Alert SF 10.2C: Response to Yellow (Level 1) Alert
Process owners	CTSA for YPS SRLM for APS

Activities

Step no.	Actor	Action	Time for completion[1]	Relevant documents
1.	SRLM for APS and CTSA for YPS	Issue Yellow Alert	8^th of the month for the previous month	SF 10.2A: Monthly Statement of Alerts SF 10.2B: Yellow (Level 1) Alert
2.	PIA	Address the default and complete the relevant task Inform the Alert issuing authority of action taken	18^th of the month in which Yellow Alert is received	SF 10.2C: Response to Yellow (Level 1) Alert
3.	SRLM for APS and CTSA for YPS	Verify that corrective action is satisfactory If so, no further action is necessary OR Action as per 10.2.2	28^th of the month in which response to Yellow Alert is received or supposed to be received

10.2.2 Red (Level 2) Alert

Overview

Item	Description
Purpose	To alert a PIA regarding occurrence or continuance of default(s) To provide an opportunity to the PIA to address the default(s)
Reference to guidelines	Not applicable
Prerequisite/s	No action/ incomplete action in response to Yellow Alert OR Default is such that issue of Red Alert directly is warranted as per SRLM/CTSA
Time for completion	As per the activity table
Resources	SF 10.2A: Monthly Statement of Alerts SF 10.2D: Red (Level 2) Alert SF 10.2E: Response to Red (Level 2) Alert SF 10.2F: Closure of Red (Level 2) Alert
Process owners	CTSA for YPS SRLM for APS

Activities

Step no.	Actor	Action	Time for completion[2]	Relevant documents
1.	SRLM for APS and CTSA for YPS	Issue Red Alert · if there is no response to Yellow Alert or · if corrective action in response to Yellow Alert is not satisfactory or · default is such that issue of Red Alert directly is warranted	8^th of the month for the previous month	SF 10.2A: Monthly Statement of Alerts SF 10.2D: Red (Level 2) Alert
2.	PIA	Address the default and complete the relevant task Inform the Alert issuing authority of action taken and provide explanation for occurrence of default	18^th of the month in which Red Alert is received	SF 10.2E: Response to Red (Level 2) Alert
3.	SRLM for APS and CTSA for YPS	Examine PIA’s explanation and corrective action If they are satisfactory, send closure notice to PIA OR Action as per 10.2.3 or 10.3	28^th of the month in which response to Red Alert is received or supposed to be received	SF 10.2F: Closure of Red (Level 2) Alert

10.2.3 Escalation to Penalty Process (for YPS only)

Overview

Item	Description
Purpose	To make a recommendation to MoRD for initiation of penalty proceedings against a defaulting PIA To inform the PIA of CTSA’s recommendation to MoRD
Reference to guidelines	Not applicable
Prerequisite/s	Non-satisfactory or no explanation and/or no action/ incomplete action in response to Red Alert OR Decision by CTSA that penalty proceedings should be initiated
Time for completion	As per the activity table
Resources	SF 10.2G: Recommendation for Initiation of Penalty Proceedings SF 10.2H: Penalty Recommendation Intimation SF 10.2I: Action on Penalty Initiation Recommendation
Process owner	CTSA

Activities

Step no.	Actor	Action	Time for completion[3]	Relevant documents
1.	CTSA	Recommend to MoRD that penalty proceedings be initiated against a PIA · If there is no action in response to Red Alert or · If corrective action and explanation in response to Red alert are not accepted or · If CTSA decides that penalty proceedings should be initiated against the PIA at any point (whether an Alert has been issued or not) Inform the PIA about the Penalty Recommendation to MoRD	28^th of the month in which response to Red Alert is received or supposed to be received	SF 10.2G: Recommendation for Initiation of Penalty Proceedings SF 10.2H: Penalty Recommendation Intimation
2.	MoRD	Decide whether penalty proceedings should be initiated against the PIA Inform the PIA in case no penalty proceedings are to be initiated or if decision is deferred OR Action as per 10.3	Within 30 days of receipt of CTSA’s recommendation (if there is delay, then intimate the status of the case at least once in 30 days)	SF 10.2I: Action on Penalty Initiation Recommendation

Step no.

Actor

Action

Time for completion[3]

Relevant documents

CTSA

Recommend to MoRD that penalty proceedings be initiated against a PIA

· If there is no action in response to Red Alert or

· If corrective action and explanation in response to Red alert are not accepted or

· If CTSA decides that penalty proceedings should be initiated against the PIA at any point (whether an Alert has been issued or not)

Inform the PIA about the Penalty Recommendation to MoRD

28^th of the month in which response to Red Alert is received or supposed to be received

SF 10.2G: Recommendation for Initiation of Penalty Proceedings

SF 10.2H:

Penalty Recommendation Intimation

MoRD

Decide whether penalty proceedings should be initiated against the PIA

Inform the PIA in case no penalty proceedings are to be initiated or if decision is deferred

Action as per 10.3

Within 30 days of receipt of CTSA’s recommendation (if there is delay, then intimate the status of the case at least once in 30 days)

SF 10.2I: Action on Penalty Initiation Recommendation

10.1.1 Yellow (Level 1) Alert

Overview

Item	Description
Purpose	To alert a PIA regarding occurrence of default(s) To provide an opportunity to the PIA to address the default(s)
Reference to guidelines	Not applicable
Prerequisite/s	Occurrence of default
Time for completion	As per the activity table
Resources	SF 10.2A: Monthly Statement of Alerts SF 10.2B: Yellow (Level 1) Alert SF 10.2C: Response to Yellow (Level 1) Alert
Process owners	CTSA for YPS SRLM for APS

Activities

Step no.	Actor	Action	Time for completion[1]	Relevant documents
1.	SRLM for APS and CTSA for YPS	Issue Yellow Alert	8^th of the month for the previous month	SF 10.2A: Monthly Statement of Alerts SF 10.2B: Yellow (Level 1) Alert
2.	PIA	Address the default and complete the relevant task Inform the Alert issuing authority of action taken	18^th of the month in which Yellow Alert is received	SF 10.2C: Response to Yellow (Level 1) Alert
3.	SRLM for APS and CTSA for YPS	Verify that corrective action is satisfactory If so, no further action is necessary OR Action as per 10.2.2	28^th of the month in which response to Yellow Alert is received or supposed to be received

10.1.2 Red (Level 2) Alert

Overview

Item	Description
Purpose	To alert a PIA regarding occurrence or continuance of default(s) To provide an opportunity to the PIA to address the default(s)
Reference to guidelines	Not applicable
Prerequisite/s	No action/ incomplete action in response to Yellow Alert OR Default is such that issue of Red Alert directly is warranted as per SRLM/CTSA
Time for completion	As per the activity table
Resources	SF 10.2A: Monthly Statement of Alerts SF 10.2D: Red (Level 2) Alert SF 10.2E: Response to Red (Level 2) Alert SF 10.2F: Closure of Red (Level 2) Alert
Process owners	CTSA for YPS SRLM for APS

Activities

Step no.	Actor	Action	Time for completion[2]	Relevant documents
1.	SRLM for APS and CTSA for YPS	Issue Red Alert · if there is no response to Yellow Alert or · if corrective action in response to Yellow Alert is not satisfactory or · default is such that issue of Red Alert directly is warranted	8^th of the month for the previous month	SF 10.2A: Monthly Statement of Alerts SF 10.2D: Red (Level 2) Alert
2.	PIA	Address the default and complete the relevant task Inform the Alert issuing authority of action taken and provide explanation for occurrence of default	18^th of the month in which Red Alert is received	SF 10.2E: Response to Red (Level 2) Alert
3.	SRLM for APS and CTSA for YPS	Examine PIA’s explanation and corrective action If they are satisfactory, send closure notice to PIA OR Action as per 10.2.3 or 10.3	28^th of the month in which response to Red Alert is received or supposed to be received	SF 10.2F: Closure of Red (Level 2) Alert

10.1.3 Escalation to Penalty Process (for YPS only)

Overview

Item	Description
Purpose	To make a recommendation to MoRD for initiation of penalty proceedings against a defaulting PIA To inform the PIA of CTSA’s recommendation to MoRD
Reference to guidelines	Not applicable
Prerequisite/s	Non-satisfactory or no explanation and/or no action/ incomplete action in response to Red Alert OR Decision by CTSA that penalty proceedings should be initiated
Time for completion	As per the activity table
Resources	SF 10.2G: Recommendation for Initiation of Penalty Proceedings SF 10.2H: Penalty Recommendation Intimation SF 10.2I: Action on Penalty Initiation Recommendation
Process owner	CTSA

Activities

Step no.	Actor	Action	Time for completion[3]	Relevant documents
1.	CTSA	Recommend to MoRD that penalty proceedings be initiated against a PIA · If there is no action in response to Red Alert or · If corrective action and explanation in response to Red alert are not accepted or · If CTSA decides that penalty proceedings should be initiated against the PIA at any point (whether an Alert has been issued or not) Inform the PIA about the Penalty Recommendation to MoRD	28^th of the month in which response to Red Alert is received or supposed to be received	SF 10.2G: Recommendation for Initiation of Penalty Proceedings SF 10.2H: Penalty Recommendation Intimation
2.	MoRD	Decide whether penalty proceedings should be initiated against the PIA Inform the PIA in case no penalty proceedings are to be initiated or if decision is deferred OR Action as per 10.3	Within 30 days of receipt of CTSA’s recommendation (if there is delay, then intimate the status of the case at least once in 30 days)	SF 10.2I: Action on Penalty Initiation Recommendation

Step no.

Actor

Action

Time for completion[3]

Relevant documents

CTSA

Recommend to MoRD that penalty proceedings be initiated against a PIA

· If there is no action in response to Red Alert or

· If corrective action and explanation in response to Red alert are not accepted or

· If CTSA decides that penalty proceedings should be initiated against the PIA at any point (whether an Alert has been issued or not)

Inform the PIA about the Penalty Recommendation to MoRD

28^th of the month in which response to Red Alert is received or supposed to be received

SF 10.2G: Recommendation for Initiation of Penalty Proceedings

SF 10.2H:

Penalty Recommendation Intimation

MoRD

Decide whether penalty proceedings should be initiated against the PIA

Inform the PIA in case no penalty proceedings are to be initiated or if decision is deferred

Action as per 10.3

Within 30 days of receipt of CTSA’s recommendation (if there is delay, then intimate the status of the case at least once in 30 days)

SF 10.2I: Action on Penalty Initiation Recommendation