Release 3 4 Gold and Base Blank Eval Tool
96
COPC Insert Corporate Designation Corp Address 1 Corp Address 2 City, State or Province Postal Code Office: Telephone Fax: Fax www.copc.com RESTRICTED Entity Name Location Audit Type, Release 3.4 Choose Version Date © 2004 Customer Operations Performance Center Inc. Version 3.4 Gold and Base July 2004 1
description
Base blank evaluation tool COPC
Transcript of Release 3 4 Gold and Base Blank Eval Tool
COPC Insert Corporate DesignationCorp Address 1Corp Address 2
City, State or Province Postal CodeOffice: Telephone Fax: Fax
www.copc.com
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Entity Name
Location
Audit Type, Release 3.4 Choose Version
Date
Auditors:Auditor NameAuditor NameAuditor Name
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Definition of the Entity
Company, Location, Service, Program as applicable
Comprehensiveness of the Audit
This is an on-site review of all 34 Items of the COPC-2000 Standard Release 3.4 Base.
COPC interviewed and/or observed management and staff and audited transactions.
Score
Entity is compliant in Items.
Performance results indicate % of metrics meet or exceed targets and % of metrics meet, exceed or show sustained improvement.
Auditors
Audit date
Key
Gold and Base Requirement
Gold Requirement
Base Requirement
Notes on Format
Scoring—Certification Scoring—Baseline/Benchmark
C = Compliant 3 = Compliant
NC = Not Compliant 2 = Approach only Compliant
1 = Not Compliant
0 = Nothing Currently Done
NA = Not Applicable
COPC Comments on Compliance
Actions to Achieve Compliance - These are noted in the document as “ATAC”. These are actions that must be implemented in order for the associated Item to be compliant.
Actions Required to Maintain Compliance – These are noted in the document as “ARTMC”. These are aspects of the COPC-2000 Standard to which COPC will pay particular attention in the next audit and must be corrected within days. These are either (1) reminders to Entity Name to closely monitor, based on COPC’s experience; (2) areas where Entity Name is “borderline” compliant; or (3) minor corrective actions that should be implemented in a timely manner by . ARTMCs were identified during this Audit.
Audit Decision
NA
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CATEGORY 1.0: Leadership and Planning
1.1 Statement of Direction NA NACompliance: Overall NA Statement NA Staff Knowledge NA Behavior NA Work Together NACompliance: Overall NA Statement NA Staff Knowledge NA Behavior NA Work Together NA
Evidence ATACs/ARTMCs
1
The statement must address one or more of: client and end-user satisfaction, service, quality, or cost
BaseATACs NAARTMCs NA
GoldATACs NAARTMCs NA
NA1 The statement must address:
1.aClient and end-user satisfaction NA
1.bService (e.g., cycle time) NA
1.cQuality (e.g., accuracy) NA
1.dCost/efficiency (e.g., cost per call) NA
280% demonstrate understanding NA
3Behavior aligned with Statement of Direction NA
4Departments work together and goals and actions aligned NA
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1.2 Strategic and Annual Planning Processes NACompliance: Overall NA Strategic Plan NA Category 4.0 Metrics NA Consistent NA
Evidence ATACs/ARTMCs
1Market trends, ect. Base and Gold
ATACs NAARTMCs NA
NA
2Annual plan includes analysis of Category 4.0 metrics NA
3 Process for developing plans must ensure that:
3.aStrategic plan basis for entity and department plans NA
3.bEntity and department plans consistent and supportive NA
3.c Managers and supervisors understand responsibilities NA
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1.3 Business Strategies and Plans NACompliance: Overall NA Strategic NA Entity NA Department NA
Evidence ATACs/ARTMCs
1
The strategic plan must: Base and GoldATACs NAARTMCs NA
Address a time horizon of at least two years NAInclude “end-state” objectives NAThe entity plan must contain:
2.aQuantified financial targets NA
2.bQuantified non-financial targets NA
3.aActions for each target NA
3.bMilestones for implementing the actions NA
3.cManagers responsible for implementation NADepartment plans must contain:
2.a Quantified financial targets NA
2.b Quantified non-financial targets NA
3.a Actions for each target NA
3.b Milestones for implementing the actions NA
3.c Managers responsible for implementation NA
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1.4 Reviewing Performance NA NACompliance: Overall NA Monthly NA Inconsistencies NA Corrective Actions NA
Performance Improvements NACompliance: Overall NA Monthly NA Inconsistencies NA Corrective Actions NA
Performance Improvements NAEvidence ATACs/ARTMCs
The approach for reviewing the plans must include:
BaseATACs NAARTMCs NA
GoldATACs NAARTMCs NA
1Formal quarterly analysis of performance to plans NA
1Formal monthly analysis of performance to plans NA
2No inconsistencies NA
3Corrective action plans NA
4Performance improvement NA
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1.5 Management System Review NACompliance: Overall NA Management System NA Minimum Review NA Corrective Actions NA
Evidence ATACs/ARTMCs
1Management system Base and Gold
ATACs NAARTMCs NA
NA2 The review must:
2.aConducted annually NA
2.bAssess compliance to all requirements NA
2.cDocumented evidence of “compliance” and “non-compliance” NA
3Implement corrective actions NA
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CATEGORY 2.0: Processes
2.1 Developing New CSP End-User Servicing Capabilities
NA
Compliance: Overall NA Gather Information NA Filter Criteria NA Development NA Evidence ATACs/ARTMCs
1Gather information Base and Gold
ATACs NAARTMCs NA
NA
2Filter criteria NA
3Development of new capabilities NA
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CATEGORY 1.0: Leadership and Planning
2.2 Implementing New Products, Services, Programs, and Clients
NA
Compliance: Overall NA Approach NA Timeliness Metric NA Evidence ATACs/ARTMCs
1 Approach must include: Base and GoldATACs NAARTMCs NA
1.aDefining client requirements and targets NA
1.bMetrics required by clients and Standard NA
1.cProcesses meet targets NA
1.dTimeline for logistics NA
1.eAudit NA
2 Timeliness of implementation
2.aThird-party CSP metric NA
2.bInternal CSP metric NA
2.c Actions NA
2.b Target NA
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2.3 Process Control NA NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited Root Cause NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited SPC NA Reduction of Variation NAEvidence ATACs/ARTMCs
KCRP 1 - BaseATACs NAARTMCs NA
GoldATACs NAARTMCs NA
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 2 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 3 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 4 -
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2.3 Process Control NA NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited Root Cause NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited SPC NA Reduction of Variation NAEvidence ATACs/ARTMCs
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 5 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 6 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 7 -
1 High probability of achieving requirements and targets
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2.3 Process Control NA NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited Root Cause NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited SPC NA Reduction of Variation NAEvidence ATACs/ARTMCs
NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 8 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 9 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 10 -
1High probability of achieving requirements and targets NA
2.a Procedures performed as intended
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2.3 Process Control NA NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited Root Cause NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited SPC NA Reduction of Variation NAEvidence ATACs/ARTMCs
NA
2.bProcedures performed in a consistent manner NAKCRP 11 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 12 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 13 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.b Procedures performed in a consistent manner
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2.3 Process Control NA NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited Root Cause NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited SPC NA Reduction of Variation NAEvidence ATACs/ARTMCs
NAKCRP 14 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 15 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 16 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 17 -
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2.3 Process Control NA NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited Root Cause NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited SPC NA Reduction of Variation NAEvidence ATACs/ARTMCs
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 18 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 19 -
1High probability of achieving requirements and targets NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NAKCRP 20 -
1 High probability of achieving requirements and targets
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2.3 Process Control NA NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited Root Cause NACompliance: Overall NA KCRPs In Control KCRPs Out of Control
KCRPs Not Audited SPC NA Reduction of Variation NAEvidence ATACs/ARTMCs
NA
2.aProcedures performed as intended NA
2.bProcedures performed in a consistent manner NA
3Use of Statistical Process Control to manage/reduce variation NA
3Use of root cause analysis approach NA
4Variation reduced to an acceptable level NA
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2.4 Process Improvement NA NACompliance: Overall NA Structured Approach NA Improved Performance NA Number of Examples Compliance: Overall NA Structured Approach NA Improved Performance NA Number of Examples
Evidence ATACs/ARTMCs
1.aRoot cause analysis Base
ATACs NAARTMCs NA
GoldATACs NAARTMCs NA
NA
1.bShould evaluate processes against benchmarks NA
1Structured approach NA
2Demonstrate performance has improved NA
2.aDemonstrate performance has improved NA
2.bHigh probability targets will be achieved NA
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2.5 Process Audits NACompliance: Overall NA Every Six Months NA Documented Findings NA Key Suppliers NA
Evidence ATACs/ARTMCs
1Each KCRP evaluated every six months Base and Gold
ATACs NAARTMCs NA
NA
2Findings documented and corrective action taken NA
3KCRPs performed by Key Suppliers NA
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2.6 Transaction Monitoring NA NACompliance: Overall NA Approach NA Deployment NA Compliance: Overall NA Approach NA Deployment NA
Evidence ATACs/ARTMCs1 Approach must include: Base
ATACs NAARTMCs NA
GoldATACs NAARTMCs NA
1.aAll transactions and data entry NA
1.bAttributes; fatal and non-fatal accuracy separate components NA
1.c Monitoring Frequency
1.c.iAt least once per month NA
1.c.iiNew or failing CSRs once a week NA
1.c.iiiFrequency based on accuracy scores NA
1.dMonitoring method NA
1.dMonitoring method includes side-by-side and remote NA
1.e Sample methodology NA
1.f Thresholds NA
1.g Approaches for:
1.g.iRemoval of CSRs who repeatedly perform fatal errors NA
1.g.ii Continuously identifying and correcting
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2.6 Transaction Monitoring NA NACompliance: Overall NA Approach NA Deployment NA Compliance: Overall NA Approach NA Deployment NA
Evidence ATACs/ARTMCsprocess-level issues NA
1.g.iCorrective action, including removal of CSRs NA
1.g.iiAggregating and analyzing on an on-going basis to identify and correct process-level issues NA
1.hCommunicating findings NA
2Quarterly calibration sessions NA
2.aConsistency of evaluations NA
2.bScores reflective of end-user experience NA
2.bScores reflective of end-user experience and consistent with end-user satisfaction results NA
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2.7 Forecasting, Staffing and Scheduling NA NACompliance: Overall NA Compliance: Overall NA
Evidence ATACs/ARTMCs
1
Understand historical arrival patterns and forecast future arrival patterns for each type of transaction
BaseATACs NAARTMCs NA
GoldATACs NAARTMCs NA
NA
1.aAppropriate cycle time NA
2.aMinimize variation for phone and chat intervals NA
2.bMinimize variation for non-phone intervals NA
3 Quantitative model
3.aAverage handle time NA
3.bForecasted arrival patterns NA
3.cTargeted service level NA
3.dShrinkage NA
4Staffing rules described and implemented as designed NA
5 At least semi-annually
5.aEvaluate work rules NA
5.b Change work rules NA
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2.7 Forecasting, Staffing and Scheduling NA NACompliance: Overall NA Compliance: Overall NA
Evidence ATACs/ARTMCs
6Staffing plan implemented as designed NA
7Manage schedule adherence (metric not required) NA
7 Measure and manage schedule adherence
7.aPhone and chat NA
7.bNon-phone NA
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2.8 Contingency Planning NACompliance: Overall NA Minor NA Serious NA Well Understood and Clear Targets NA
Evidence ATACs/ARTMCs
1Minor service interruptions Base and Gold
ATACs NAARTMCs NA
NA
2Serious disasters – documented plan NA
2.aMaintaining or restoring service NA
2.bEnsuring data security NA
2.cMinimizing downtime NA
3Well understood and clear targets for: NA
3.aTelecom NA
3.bComputers NA
3.cSoftware NA
3.dElectronic transactions NA
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2.9 CUIKA NA NACompliance: Overall NA Collected NA Usable NA Integrity NA Known NA Action NACompliance: Overall NA Collected NA Usable NA Integrity NA Known NA Action NA
Evidence ATACs/ARTMCs
1Collected Base
ATACs NAARTMCs NA
GoldATACs NAARTMCs NA
NA
2Useable NA
2Useable and targets set at high performance levels NA
3Integrity NA
4Known to Appropriate Personnel NA
5Action Taken NA
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2.10 Data Security NACompliance: Overall NA Policy NA Sensitive/Proprietary NA Procedures NA Verification NA
Evidence ATACs/ARTMCs
1Documented policy Base and Gold
ATACs NAARTMCs NA
NA
2Identify sensitive/proprietary data NA
3Documented procedures NA
4Verification NA
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2.11 End-User Privacy NACompliance: Overall NA Policy NA Procedures NA Verification NA Violation NA
Evidence ATACs/ARTMCs
1Documented privacy policy Base and Gold
ATACs NAARTMCs NA
NA
2Documented procedures for protecting end-user privacy NA
3Verification NA
4Violation considered fatal error NA
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2.12 Data and Information Availability and Update
NA
Compliance: Overall NA Approach NA Deployment NA Evidence ATACs/ARTMCs
1 The process used must include mechanisms for: Base and GoldATACs NAARTMCs NA
1.aHow provide data NA
1.bMaking changes NA
1.cCommunicate changes and verify understood NA
1.dPrevent unauthorized revisions NA
1.eRemove obsolete data NA
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CATEGORY 3.0: People
3.1 Defining Jobs NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
Staff Performing transaction monitoring and staff performing training and development are included as KCR jobs.
BaseATACs NAARTMCs NA
GoldATACs NAARTMCs NA
KCR Job 1 -
1Appropriate NA
1All skills and knowledge NA
2Verifiable NAKCR Job 2 -
1Appropriate NA
1All skills and knowledge NA
2Verifiable NAKCR Job 3 -
1Appropriate NA
1All skills and knowledge NA
2 Verifiable NA
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3.1 Defining Jobs NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
KCR Job 4 -
1Appropriate NA
1All skills and knowledge NA
2Verifiable NAKCR Job 5 -
1Appropriate NA
1All skills and knowledge NA
2Verifiable NAKCR Job 6 -
1Appropriate NA
1All skills and knowledge NA
2Verifiable NAKCR Job 7 -
1Appropriate NA
1 All skills and knowledge NA
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3.1 Defining Jobs NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
2Verifiable NAKCR Job 8 -
1Appropriate NA
1All skills and knowledge NA
2Verifiable NA
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3.2 Recruiting and Hiring NA NACompliance: Overall NA List Requirements NA Recruiting and Hiring NA High Probability NACompliance: Overall NA List Requirements NA Recruiting and Hiring NA High Probability NA
Evidence ATACs/ARTMCsStaff Performing transaction monitoring and staff performing training and development are included as KCR jobs.
BaseATACs NAARTMCs NA
GoldATACs NAARTMCs NA
KCR Job 1 -
1List requirements NA
2Recruiting and hiring approaches NA
3High probability NAKCR Job 2 -
1List requirements NA
2Recruiting and hiring approaches NA
3High probability NAKCR Job 3 -
1List requirements NA
2Recruiting and hiring approaches NA
3High probability NAKCR Job 4 -
1 List requirements NA
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3.2 Recruiting and Hiring NA NACompliance: Overall NA List Requirements NA Recruiting and Hiring NA High Probability NACompliance: Overall NA List Requirements NA Recruiting and Hiring NA High Probability NA
Evidence ATACs/ARTMCs
2Recruiting and hiring approaches NA
3High probability NAKCR Job 5 -
1List requirements NA
2Recruiting and hiring approaches NA
3High probability NAKCR Job 6 -
1List requirements NA
2Recruiting and hiring approaches NA
3High probability NAKCR Job 7 -
1List requirements NA
2Recruiting and hiring approaches NA
3High probability NAKCR Job 8 -
1 List requirements NA
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3.2 Recruiting and Hiring NA NACompliance: Overall NA List Requirements NA Recruiting and Hiring NA High Probability NACompliance: Overall NA List Requirements NA Recruiting and Hiring NA High Probability NA
Evidence ATACs/ARTMCs
2Recruiting and hiring approaches NA
3High probability NA
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3.3 Training and Development NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
Staff Performing transaction monitoring and staff performing training and development are included as KCR jobs.
BaseATACs NAARTMCs NA
GoldATACs NAARTMCs NA
KCR Job 1 -
1Minimum skills and knowledge NA
2.aSetting NA
2.bSpecific skills and knowledge NA
2.cAuthorized Personnel NA
2.dDesired outcome NA
3Retraining NAKCR Job 2 -
1Minimum skills and knowledge NA
2.aSetting NA
2.bSpecific skills and knowledge NA
2.c Authorized Personnel NA
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3.3 Training and Development NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
2.dDesired outcome NA
3Retraining NAKCR Job 3 -
1Minimum skills and knowledge NA
2.aSetting NA
2.bSpecific skills and knowledge NA
2.cAuthorized Personnel NA
2.dDesired outcome NA
3Retraining NAKCR Job 4 -
1Minimum skills and knowledge NA
2.aSetting NA
2.bSpecific skills and knowledge NA
2.c Authorized Personnel NA
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3.3 Training and Development NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
2.dDesired outcome NA
3Retraining NAKCR Job 5 -
1Minimum skills and knowledge NA
2.aSetting NA
2.bSpecific skills and knowledge NA
2.cAuthorized Personnel NA
2.dDesired outcome NA
3Retraining NAKCR Job 6 -
1Minimum skills and knowledge NA
2.aSetting NA
2.bSpecific skills and knowledge NA
2.c Authorized Personnel NA
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3.3 Training and Development NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
2.dDesired outcome NA
3Retraining NAKCR Job 7 -
1Minimum skills and knowledge NA
2.aSetting NA
2.bSpecific skills and knowledge NA
2.cAuthorized Personnel NA
2.dDesired outcome NA
3Retraining NAKCR Job 8 -
1Minimum skills and knowledge NA
2.aSetting NA
2.bSpecific skills and knowledge NA
2.c Authorized Personnel NA
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3.3 Training and Development NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
2.dDesired outcome NA
3Retraining NA
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3.4 Verifying Skills and Knowledge NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
Staff Performing transaction monitoring and staff performing training and development are included as KCR jobs.
BaseATACs NAARTMCs NA
GoldATACs NAARTMCs NA
KCR Job 1 -
1All minimum skills and knowledge NA
2.aThresholds NA
2.bDocumentation NA
2.cAction plans NA
2.dAnnual re-verification NA
2.eRe-verification following changes NA
3.aMultiple observations with sign-off – initial verification NA
3.bMultiple observations with sign-off – annual re-verification NAKCR Job 2 -
1 All minimum skills and knowledge NA
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3.4 Verifying Skills and Knowledge NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
2.aThresholds NA
2.bDocumentation NA
2.cAction plans NA
2.dAnnual re-verification NA
2.eRe-verification following changes NA
3.aMultiple observations with sign-off – initial verification NA
3.bMultiple observations with sign-off – annual re-verification NAKCR Job 3 -
1All minimum skills and knowledge NA
2.aThresholds NA
2.bDocumentation NA
2.cAction plans NA
2.d Annual re-verification
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3.4 Verifying Skills and Knowledge NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
NA
2.eRe-verification following changes NA
3.aMultiple observations with sign-off – initial verification NA
3.bMultiple observations with sign-off – annual re-verification NAKCR Job 4 -
1All minimum skills and knowledge NA
2.aThresholds NA
2.bDocumentation NA
2.cAction plans NA
2.dAnnual re-verification NA
2.eRe-verification following changes NA
3.a Multiple observations with sign-off – initial verification NA
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3.4 Verifying Skills and Knowledge NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
3.bMultiple observations with sign-off – annual re-verification NAKCR Job 5 -
1All minimum skills and knowledge NA
2.aThresholds NA
2.bDocumentation NA
2.cAction plans NA
2.dAnnual re-verification NA
2.eRe-verification following changes NA
3.aMultiple observations with sign-off – initial verification NA
3.bMultiple observations with sign-off – annual re-verification NAKCR Job 6 -
1All minimum skills and knowledge NA
2.a Thresholds
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3.4 Verifying Skills and Knowledge NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
NA
2.bDocumentation NA
2.cAction plans NA
2.dAnnual re-verification NA
2.eRe-verification following changes NA
3.aMultiple observations with sign-off – initial verification NA
3.bMultiple observations with sign-off – annual re-verification NAKCR Job 7 -
1All minimum skills and knowledge NA
2.aThresholds NA
2.bDocumentation NA
2.cAction plans NA
2.d Annual re-verification NA
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3.4 Verifying Skills and Knowledge NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
2.eRe-verification following changes NA
3.aMultiple observations with sign-off – initial verification NA
3.bMultiple observations with sign-off – annual re-verification NAKCR Job 8 -
1All minimum skills and knowledge NA
2.aThresholds NA
2.bDocumentation NA
2.cAction plans NA
2.dAnnual re-verification NA
2.eRe-verification following changes NA
3.aMultiple observations with sign-off – initial verification NA
3.b Multiple observations with sign-off – annual re-verification
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3.4 Verifying Skills and Knowledge NA NACompliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Compliance: Overall NA # KCR Jobs Compliant # KCR Jobs Not Compliant
# KCR Jobs Not Audited Evidence ATACs/ARTMCs
NA
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3.5 Staff Performance Measurement NA NACompliance: Overall NA Done Annually NA Consistent with 3.4 and 2.6 NA Support SOD NA Compliance: Overall NA Done Annually NA Consistent with 3.4 and 2.6 NA Support SOD NA
Evidence ATACs/ARTMCsStaff Performing transaction monitoring and staff performing training and development are included as KCR jobs.
BaseATACs NAARTMCs NA
GoldATACs NAARTMCs NA
1Done annually NA
2Evaluations consistent with 3.4 and 2.6 NA
3
Should support/not work at cross purposes with SOD and targets NA
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3.6 Compensation and Recognition NACompliance: Overall NA
Evidence ATACs/ARTMCs
1Consistent with statement of direction Base and Gold
ATACs NAARTMCs NA
NA2 Where there are financial incentives
2.aInclude components NA
2.bService, quality, and/or satisfaction pervasive at other levels NA
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3.7 Work Environment NACompliance: Overall NA
Evidence ATACs/ARTMCs
1Physical working conditions Base and Gold
ATACs NAARTMCs NA
NA
2Morale, health, safety, and ergonomics NA
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CATEGORY 4.0: Performance
4.1 Client Satisfaction and Dissatisfaction NA NACompliance: Overall NA Satisfaction NA Dissatisfaction NACompliance: Overall NA Satisfaction NA Dissatisfaction NA
Evidence ATACs/ARTMCsSatisfaction Base
ATACs NAARTMCs NA
GoldATACs NAARTMCs NA
1 Quantified at levels
1.aOverall sat NA
1.bSat with specific attributes NA
2Measured annually NA
2Measured semi-annually NA
3Targets NA
4Data gathered from 80% of clients and sample of 20% NA
5
If clients don’t respond and have proactively used every effort, there is sufficient data to manage the business NA
6.aAll client staff who have significant influence on relationship NA
6.bAll client staff who have significant interaction with the CSP NADissatisfaction
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4.1 Client Satisfaction and Dissatisfaction NA NACompliance: Overall NA Satisfaction NA Dissatisfaction NACompliance: Overall NA Satisfaction NA Dissatisfaction NA
Evidence ATACs/ARTMCs
6 7Defined broadly NA
7 8Measured at program, client, and entity levels NA
8.a 9.aCollected on an on-going basis NA
8.a.i 9.a.iTracked and recorded by cause or symptom NA
8.a.ii 9.a.iiAnalyzed quarterly NA
8.b 9.bCollected from 100% of clients and programs NA
8.c 9.cTake action on all client complaints NA
8.c.i 9.c.iProcess for responding NA
8.c.ii 9.c.iiTracking of on-time NACUIKA NA
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4.2 End-User Satisfaction and Dissatisfaction NA NACompliance: Overall NA Satisfaction NA Dissatisfaction NACompliance: Overall NA Satisfaction NA Dissatisfaction NA
Evidence ATACs/ARTMCs
1
Quantitatively assess relative importance of attributes which drive satisfaction and dissatisfaction
BaseATACs NAARTMCs NA
GoldATACs NAARTMCs NA
NA2 Quantified at levels
2.aOverall sat and dissat - entity NA
2.aOverall sat and dissat - client NA
2.aOverall sat and dissat- program NA
2.aOverall sat and dissat - CSR NA
2.bSat and dissat with specific attributes - entity NA
2.bSat and dissat with specific attributes - client NA
2.bSat and dissat with specific attributes - program NA
2.bSat and dissat with specific attributes - CSR NA
3Measured and analyzed every six months NA
3Measured monthly and analyzed quarterly NA
4 Targets consistent with SOD NA
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4.2 End-User Satisfaction and Dissatisfaction NA NACompliance: Overall NA Satisfaction NA Dissatisfaction NACompliance: Overall NA Satisfaction NA Dissatisfaction NA
Evidence ATACs/ARTMCs
5Representative sample NA
6Data obtained from 80% of programs, clients, or end users NA
6If client refuses, data obtained from a majority of programs
7All types of end-user transactions in proportion NA
8 If client refuses
8.aProve have used every effort on on-going basis at least annually NA
8.b.iData obtained from a majority of programs OR NA
8.b.ii Have effective complaint management system
8.b.ii.1Defined broadly NA
8.b.ii.2Measured at program, client, and entity levels NA
8.b.ii.3.aCollected on an on-going basis NA
8.b.ii.3.bTracked and recorded by cause or symptom NA
8.b.ii.3.cAnalyzed quarterly NA
8.b.ii.4 Collected from 80% of programs, clients, or end users and is representative
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4.2 End-User Satisfaction and Dissatisfaction NA NACompliance: Overall NA Satisfaction NA Dissatisfaction NACompliance: Overall NA Satisfaction NA Dissatisfaction NA
Evidence ATACs/ARTMCs NA
8.b.ii.5Actions NACUIKA NA
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4.3 Service and Quality Performance NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
General Requirements Base and GoldATACs NAARTMCs NA
1Metrics for all KCRPs and KSPs NA
2Use on-time, backlog, and accuracy for other KCRPs NA
3Use on-time, backlog, and accuracy for other KSPs NA
4Client-required metrics NA
5Continuous data NA
6Combinations of metrics NA
7Targets consistent with SOD NA
8Targets based on comparative data NAOn Time and Cycle Time
1Define cycle time, no sampling, monitored daily and analyzed monthly NA
2Tracking NA
3 On-time shipping NA
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4.3 Service and Quality Performance NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
4ASA NA
5Client-determined staffing NABacklog
1Appropriate buckets NA
2No sampling and average cycles late NAAccuracy
1Appropriate metric NA
2Analyzed monthly NA
3.aFatal error accuracy NA
3.bNon-fatal errors NAProcessing Transactions Direct from Outsourcers
1All required metrics NA
2Causes identified and action taken on controllable causes NAProcessing Exceptions
1 Applied as required NA
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4.3 Service and Quality Performance NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
Telecommunications: Blocked Transactions
1.aMinimum of one metric tracked quarterly NA
1.bFrequency increased NAForecasting Volume: Accuracy
1 Two measures
1.aStaffing NA
1.b Scheduling NA
2 All other types of transactions NA
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4.4 Key Supplier Performance NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
Supplier – Telecom Base and GoldATACs NAARTMCs NA
1SLA in place NA
2All Exhibit 1 metrics in place NA
3All KCRPs and KSPs NA
4Analyze quarterly and provide written feedback NA
5Corrective action NASupplier – Internal Help Desk
1SLA in place NA
2All Exhibit 1 metrics in place NA
3All KCRPs and KSPs NA
4Analyze quarterly and provide written feedback NA
5Corrective action NASupplier – IS
1SLA in place NA
2 All Exhibit 1 metrics in place NA
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4.4 Key Supplier Performance NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
3All KCRPs and KSPs NA
4Analyze quarterly and provide written feedback NA
5Corrective action NASupplier – Recruiting
1SLA in place NA
2All Exhibit 1 metrics in place NA
3All KCRPs and KSPs NA
4Analyze quarterly and provide written feedback NA
5Corrective action NASupplier – Forecasting
1SLA in place NA
2All Exhibit 1 metrics in place NA
3All KCRPs and KSPs NA
4Analyze quarterly and provide written feedback NA
5 Corrective action NA
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4.4 Key Supplier Performance NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
Supplier – Training
1SLA in place NA
2All Exhibit 1 metrics in place NA
3All KCRPs and KSPs NA
4Analyze quarterly and provide written feedback NA
5Corrective action NASupplier –
1SLA in place NA
2All Exhibit 1 metrics in place NA
3All KCRPs and KSPs NA
4Analyze quarterly and provide written feedback NA
5Corrective action NA
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4.5 Process-Level Efficiency NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
Identify all Exhibit 1 KCRPs and any KCRPs that are NOT listed in Exhibit 1 (sub-item 4 requirement)
Base and GoldATACs NAARTMCs NA
KCRP 1 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 2 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5 Client-required efficiency metrics
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4.5 Process-Level Efficiency NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 3 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 4 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4 KCRPs not listed in Exhibit 1
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4.5 Process-Level Efficiency NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 5 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 6 -
1Input:Output NA
2No sampling and analyzed monthly NA
3 Appropriate metrics
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4.5 Process-Level Efficiency NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 7 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 8 -
1Input:Output NA
2 No sampling and analyzed monthly
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4.5 Process-Level Efficiency NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 9 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 10 -
1 Input:Output
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4.5 Process-Level Efficiency NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 11 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NA
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4.5 Process-Level Efficiency NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
KCRP 12 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 13 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
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4.5 Process-Level Efficiency NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
7Targets consistent with SOD NAKCRP 14 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 15 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
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4.5 Process-Level Efficiency NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
6May combining tracking NA
7Targets consistent with SOD NAKCRP 16 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 17 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
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4.5 Process-Level Efficiency NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 18 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 19 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
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4.5 Process-Level Efficiency NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 20 -
1Input:Output NA
2No sampling and analyzed monthly NA
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NAKCRP 21 -
1Input:Output NA
2No sampling and analyzed monthly NA
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4.5 Process-Level Efficiency NACompliance: Overall NA # Compliant # Not Compliant
# Not Audited Evidence ATACs/ARTMCs
3Appropriate metrics NA
4KCRPs not listed in Exhibit 1 NA
5Client-required efficiency metrics NA
6May combining tracking NA
7Targets consistent with SOD NACUIKA NA
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4.6 Asset Efficiency NACompliance: Overall NA
Evidence ATACs/ARTMCs
1Single most relevant metric Base and Gold
ATACs NAARTMCs NA
NA
1.aMeasured and managed at entity or program level NA
2Targets consistent with SOD NACUIKA NA
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4.7 Staff Attrition NACompliance: Overall NA
Evidence ATACs/ARTMCs
1Measured by staff category at entity and program levels
Base and GoldATACs NAARTMCs NA
NA
2Includes voluntary and involuntary NA
3Reported as annualized percentage NA
4Includes contractor “temp” staff NA
5Tracking temporary positions NA
6Separate CSRs NA
7Targets NA
8Client metrics NACUIKA NA
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4.8 Staff Satisfaction, Absenteeism, and Safety
NA
Compliance: Overall NA Satisfaction NA Absenteeism NA Safety NAEvidence ATACs/ARTMCs
Satisfaction Base and GoldATACs NAARTMCs NA
1Measured by staff category NA
2Targets NA
3Comparative data NA
4Client metrics NA
5Measured annually and quantified NA
6Measured for indefinite staff NA
7Distinguish CSRS NAAbsenteeism
1Measured by staff category NA
2Targets NA
3Comparative data NA
4Client metrics NA
8All staff NA
9 Measured and analyzed correctly
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4.8 Staff Satisfaction, Absenteeism, and Safety
NA
Compliance: Overall NA Satisfaction NA Absenteeism NA Safety NAEvidence ATACs/ARTMCs
NASafety
1Measured by staff category NA
2Targets NA
3Comparative data NA
4Client metrics NA
10Recordable accident rate NACUIKA NA
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4.9 Cost of Poor Quality NA NACompliance: Overall NA Compliance: Overall NA
Evidence ATACs/ARTMCs
1Calculation consistent with SOD Gold
ATACs NAARTMCs NA
NA
2Quantified and CUIKA’d for at least one KCRP NA
2Quantified and CUIKA’d for most important KCRPs (at least 50%) NA
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4.10 Achieving Results NA NACompliance: Overall NA Compliance: Overall NA
Evidence ATACs/ARTMCsThe attached Performance Summary Table, which includes Service, quality, Revenue, Cost, and Client and End-User Satisfaction metrics, indicates that is achieving its targets in % of the metrics over the past months and is achieving its targets or demonstrating sustained improvement in % of its metrics. This is Choose One the minimum requirements of the Standard.
ATACs NAARTMCs NA
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