Finance · Policies & Procedures
Escalation rules
A document setting out when and how staff must refer an issue up to a higher authority for review or approval.
What it usually contains
- trigger thresholds and conditions that require escalation
- escalation levels and who holds decision authority at each
- required timeframes for raising and responding to issues
- documentation and notification steps
- examples of common escalation scenarios such as breaches, limit excesses, or customer complaints
What the assistant uses it for
Use it to answer who must be notified when a transaction, risk limit, or complaint exceeds set thresholds, and how quickly. It also clarifies which approval level is needed before a decision can proceed.
How it is versioned
A document of this type has exactly one current version at a time. Upload a revision and it becomes the version that counts — the one before it is kept and dated, but is no longer what your assistant answers from. Nothing is ever deleted, so you can always show what this document said on a given date.
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