SOP-073 — Escalation to the Principal

SOP · owner: COO. Layer: SOP/Runbook (docs/canon.md). The COO’s procedure for escalating a cluster issue to the Principal as a decision request, not a status report. The escalation policy (the standard for when an open finding becomes a COO-level then a Principal-level escalation) is COO-authored content at docs/sop/escalation-policy.md (create on first use; operational wiring/formatting handed to the Process Engineer) — this SOP is the procedure that runs against it.

Interface Contract

Inputs: unaddressed Critical / ignored arbitration call / cross-cluster structural risk ← from <cluster Director / SOP-071 / SOP-072> · trigger: review requested
Inputs: cross-C-suite conflict position ← from CPTO / CGEO · trigger: architecture decision notified
Outputs: escalation decision brief → to PA (for the Principal) · trigger: briefing posted
Outputs: cross-C-suite pre-escalation note → to CPTO / CGEO · trigger: review requested
Outputs: Principal decision outcome → to <affected cluster Directors> · trigger: arbitration decided
Outputs: escalation + decision record → to Archivist · trigger: artifact approved
Handoff trigger (in): a Critical is unaddressed past its window, an arbitration call is ignored, a structural risk crosses outside the cluster, or Principal authorization is needed
Handoff trigger (out): the COO delivers a decision brief to the Principal (via PA) and, on decision, distributes the outcome to affected Directors
Definition of Done before handoff:
- [ ] Escalation warranted per the policy: (a) Critical unaddressed in-window, (b) arbitration call ignored, © structural risk crosses outside the cluster, or (d) Principal authorization needed
- [ ] Cross-C-suite pre-step done if applicable — for a COO↔CPTO / COO↔CGEO conflict, a brief joint async note was sent and one session allowed for a joint resolution attempt before full escalation
- [ ] Brief names: the issue · the history (what was tried at Director level, when, by whom) · the COO’s recommended resolution · the specific decision or authorization needed
- [ ] It is a decision request, not a status report — the Principal can act on it
- [ ] Routed via the PA if the Principal is not directly available; receipt confirmed; recorded in the cluster status brief
- [ ] On decision: outcome distributed to affected Directors and recorded in docs/decisions/ (Principal decisions do not evaporate into chat history)
- [ ] Escalation + decision record handed to the Archivist (0 drift)

Trigger notes. review requested (the escalating item arriving; the cross-C-suite pre-note), architecture decision notified (a CPTO/CGEO conflict position; producer CPTO registered, CGEO pending until Wave 4), briefing posted (the brief to the Principal via PA), and artifact approved (the record to the Archivist) are handled per the registry. arbitration decided (the outcome back to Directors) is proposed this wave (shared with SOP-072). Edges to the Principal are Principal-exempt and route via the PA (spec §3.1.1 R2). The input declares a placeholder producer — the COO’s escalation fan-in (spec §3.1.1 R1).

Purpose

Escalate the right issues to the Principal as decision requests — with the history, the recommendation, and the specific decision needed — so the Principal decides with full context and the decision is closed back into the record. Escalate a decision, not a status; do not let problems age and do not let Principal decisions evaporate.

When to use

When (a) a Critical finding from any Director is not addressed within the agreed window, (b) an arbitration decision is being ignored, © a structural risk crosses outside the cluster (affects product strategy, financial commitments, or external parties), or (d) the COO needs Principal authorization to act. For a cross-C-suite conflict (COO position vs. CPTO/CGEO), run step 0 first.

Flow

flowchart LR
  A{"Cross-C-suite<br/>conflict?"} -->|yes| Z["Step 0: joint async note,<br/>allow 1 session"]
  A -->|no| B["Confirm escalation<br/>warranted (policy a-d)"]
  Z -->|unresolved| B
  B --> C["Prepare decision brief:<br/>issue · history · rec · decision needed"]
  C --> D["Deliver via PA;<br/>confirm receipt"]
  D --> E["Principal decides"]
  E --> F["Distribute outcome +<br/>record in docs/decisions/"]
  classDef s fill:#1d4ed8,color:#fff,stroke:#1e3a8a
  classDef d fill:#0f766e,color:#fff,stroke:#134e4a
  class Z,B,C,D,E,F s
  class A d

Text fallback: if it is a cross-C-suite conflict, run step 0 (joint async note to the peer, allow one session for a joint attempt) before escalating. Confirm escalation is warranted (policy a–d) → prepare the decision brief (issue · history · recommended resolution · the specific decision needed) → deliver via the PA and confirm receipt → the Principal decides → distribute the outcome to affected Directors and record it in docs/decisions/.

Steps

Cross-C-suite pre-escalation step (if applicable). For a COO-cluster position vs. a CPTO- or CGEO-cluster position, first send a brief joint async note naming the conflict and the COO’s position. Allow one session for a joint resolution attempt. If unresolved after one session, proceed to full Principal escalation.
Determine whether escalation is warranted. Apply the policy (a–d above). Do not escalate a status report; escalate a decision request.
Prepare the escalation brief. Name the issue, the history (what was tried at the Director level, when, by whom), the COO’s recommended resolution, and the specific decision or authorization needed from the Principal.
Deliver and confirm. Route through the PA if the Principal is not directly available. Confirm receipt and record the escalation in the cluster status brief.
Close the loop. Once the Principal decides, distribute the outcome to affected Directors and record the decision in docs/decisions/. Do not let Principal decisions evaporate into chat history.

Roles / approvers

Run by the COO. The Principal decides (the final authority). The PA routes the brief and confirms receipt. CPTO / CGEO participate in the step-0 joint attempt for cross-C-suite conflicts. Affected Directors receive and act on the outcome. The Archivist preserves the escalation + decision record.

Guardrails

Escalate a decision, not a status — arrive with the specific decision the Principal must make, never raw uncertainty.
Do not let problems age — a Critical past its window or an ignored arbitration call escalates; “generally fine” while a Critical sits open is a COO failure.
Run step 0 for cross-C-suite conflicts — one joint async attempt, one session, before a full escalation.
Surface budget implications to Finance, not the Principal — operational cost implications route to the Finance Director (spend requested); the COO does not hold spend authority.
Close the loop — every Principal decision is distributed and recorded; none evaporates into chat history.
Best available model always (GR-1); co-create rules (GR-3); personal info is PA-only (route via the PA).

See also: docs/sop/escalation-policy.md (the COO-owned escalation policy) · docs/units/coo-cluster/operating-model.md · docs/handoff-triggers.md · interface-contract-spec.md · SOP-071 / SOP-072.