Release 3 4 Gold and Base Blank Eval Tool

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 Auditors:
Auditor Name Auditor Name Auditor Name
2004 Customer Operations Performance Center Inc. Version 3.4 Gold and Base July 2004
RESTRICTED
Definition of the Entity
Company, Location, Service, Program as applicable ScoringCertification ScoringBaseline/Benchmark
Notes on Format
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.
C = Compliant NC = Not Compliant Compliant
3 = Compliant 2 = Approach only 1 = Not Compliant 0 = Nothing Currently Done
Score
Entity is compliant in Items. Performance results indicate % of metrics meet or exceed targets and % of metrics meet, exceed or show sustained improvement.
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.
Auditors

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 COPCs 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 date
Key
Gold and Base Requirement Gold Requirement Base Requirement
Audit Decision
NA
RESTRICTED
CATEGORY 1.0: Leadership and Planning 1.1 Statement of Direction NA NA Compliance: Overall NA Statement NA Staff Knowledge NA Behavior NA Work Together NA Compliance: Overall NA Statement NA Staff Knowledge NA Behavior NA Work Together NA Evidence ATACs/ARTMCs The statement must address one or more of: Base client and end-user satisfaction, service, quality, ATACs 1 or cost NA ARTMCs NA 1 The statement must address: NA Client and end-user satisfaction 1.a Gold NA ATACs Service (e.g., cycle time) 1.b NA NA ARTMCs Quality (e.g., accuracy) 1.c NA NA 1.d 2 3 4 Cost/efficiency (e.g., cost per call) NA 80% demonstrate understanding NA Behavior aligned with Statement of Direction NA Departments work together and goals and actions aligned NA
RESTRICTED
1.2 Strategic and Annual Planning Processes NA Compliance: Overall NA Strategic Plan NA Category 4.0 Metrics NA Consistent NA Evidence ATACs/ARTMCs Market trends, ect. Base and Gold 1 ATACs NA NA Annual plan includes analysis of Category 4.0 ARTMCs metrics 2 NA NA 3 Process for developing plans must ensure that: Strategic plan basis for entity and department plans 3.a NA Entity and department plans consistent and supportive 3.b NA 3.c Managers and supervisors understand responsibilities NA
RESTRICTED
1.3 Business Strategies and Plans NA Compliance: Overall NA Strategic NA Entity NA Department NA Evidence ATACs/ARTMCs The strategic plan must: Base and Gold ATACs Address a time horizon of at least two years NA 1 NA ARTMCs Include end-state objectives NA NA The entity plan must contain: Quantified financial targets 2.a NA Quantified non-financial targets 2.b NA Actions for each target 3.a NA Milestones for implementing the actions 3.b NA Managers responsible for implementation 3.c NA Department 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
RESTRICTED
1.4 Reviewing Performance NA NA Compliance: Overall NA Monthly NA Inconsistencies NA Corrective Actions NA Performance Improvements NA Compliance: Overall NA Monthly NA Inconsistencies NA Corrective Actions NA Performance Improvements NA Evidence ATACs/ARTMCs The approach for reviewing the plans must Base include: ATACs Formal quarterly analysis of performance to NA plans ARTMCs 1 NA NA Formal monthly analysis of performance to Gold plans 1 ATACs NA NA No inconsistencies 2 ARTMCs NA NA Corrective action plans 3 NA Performance improvement 4 NA
RESTRICTED
1.5 Management System Review NA Compliance: Overall NA Management System NA Minimum Review NA Corrective Actions NA Evidence ATACs/ARTMCs Management system Base and Gold 1 ATACs NA NA 2 The review must: ARTMCs Conducted annually 2.a NA NA Assess compliance to all requirements 2.b NA Documented evidence of compliance and non-compliance 2.c NA Implement corrective actions 3 NA
RESTRICTED
CATEGORY 2.0: Processes 2.1 Developing New CSP End-User Servicing Capabilities Compliance: Overall NA Gather Information NA Evidence Gather information 1 NA Filter criteria 2 NA Development of new capabilities 3 NA NA Filter Criteria NA Development NA ATACs/ARTMCs Base and Gold ATACs NA ARTMCs NA
RESTRICTED
CATEGORY 1.0: Leadership and Planning 2.2 Implementing New Products, Services, NA Programs, and Clients Compliance: Overall NA Approach NA Timeliness Metric NA Evidence ATACs/ARTMCs 1 Approach must include: Base and Gold ATACs Defining client requirements and targets 1.a NA NA ARTMCs Metrics required by clients and Standard 1.b NA NA Processes meet targets 1.c NA Timeline for logistics 1.d NA Audit 1.e NA 2 Timeliness of implementation Third-party CSP metric 2.a NA Internal CSP metric 2.b NA 2.c Actions NA 2.b Target NA
RESTRICTED
2.3 Process Control NA NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited Root Cause NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited SPC NA Reduction of Variation NA Evidence ATACs/ARTMCs KCRP 1 - Base ATACs High probability of achieving requirements and targets NA 1 ARTMCs NA NA Procedures performed as intended 2.a NA Gold Procedures performed in a consistent manner 2.b ATACs NA NA KCRP 2 - ARTMCs High probability of achieving requirements and NA targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 3 - High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 4 -
10
RESTRICTED
2.3 Process Control NA NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited Root Cause NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited SPC NA Reduction of Variation NA Evidence ATACs/ARTMCs High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 5 - High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 6 - High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 7 - 1 High probability of achieving requirements and targets
11
RESTRICTED
2.3 Process Control NA NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited Root Cause NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited SPC NA Reduction of Variation NA Evidence ATACs/ARTMCs NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 8 - High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 9 - High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 10 - High probability of achieving requirements and targets 1 NA 2.a Procedures performed as intended
12
RESTRICTED
2.3 Process Control NA NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited Root Cause NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited SPC NA Reduction of Variation NA Evidence ATACs/ARTMCs NA Procedures performed in a consistent manner 2.b NA KCRP 11 - High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 12 - High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 13 - High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA 2.b Procedures performed in a consistent manner
13
RESTRICTED
2.3 Process Control NA NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited Root Cause NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited SPC NA Reduction of Variation NA Evidence ATACs/ARTMCs NA KCRP 14 - High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 15 - High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 16 - High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 17 -
14
RESTRICTED
2.3 Process Control NA NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited Root Cause NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited SPC NA Reduction of Variation NA Evidence ATACs/ARTMCs High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 18 - High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 19 - High probability of achieving requirements and targets 1 NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA KCRP 20 - 1 High probability of achieving requirements and targets
15
RESTRICTED
2.3 Process Control NA NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited Root Cause NA Compliance: Overall NA KCRPs In Control KCRPs Out of Control KCRPs Not Audited SPC NA Reduction of Variation NA Evidence ATACs/ARTMCs NA Procedures performed as intended 2.a NA Procedures performed in a consistent manner 2.b NA Use of Statistical Process Control to manage/reduce variation 3 NA Use of root cause analysis approach 3 NA Variation reduced to an acceptable level 4 NA
16
RESTRICTED
2.4 Process Improvement NA NA Compliance: 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 Root cause analysis Base 1.a ATACs NA Should evaluate processes against benchmarks NA 1.b ARTMCs NA NA Structured approach 1 NA Gold Demonstrate performance has improved 2 ATACs NA NA Demonstrate performance has improved 2.a ARTMCs NA NA High probability targets will be achieved 2.b NA
17
RESTRICTED
2.5 Process Audits Compliance: Overall NA 1 2 3 NA Every Six Months NA Documented Findings NA Key Suppliers NA Evidence ATACs/ARTMCs Each KCRP evaluated every six months Base and Gold ATACs NA NA Findings documented and corrective action ARTMCs taken NA NA KCRPs performed by Key Suppliers NA
18
RESTRICTED
2.6 Transaction Monitoring NA NA Compliance: Overall NA Approach NA Deployment NA Compliance: Overall NA Approach NA Deployment NA Evidence 1 Approach must include: Base ATACs All transactions and data entry 1.a NA NA Attributes; fatal and non-fatal accuracy separate ARTMCs NA components 1.b NA Gold 1.c Monitoring Frequency ATACs At least once per month 1.c.i NA NA ARTMCs New or failing CSRs once a week 1.c.ii NA NA Frequency based on accuracy scores 1.c.iii NA Monitoring method 1.d NA Monitoring method includes side-by-side and remote 1.d NA 1.e Sample methodology NA 1.f Thresholds NA 1.g Approaches for: Removal of CSRs who repeatedly perform fatal errors 1.g.i NA 1.g.ii Continuously identifying and correcting
ATACs/ARTMCs
19
RESTRICTED
2.6 Transaction Monitoring NA NA Compliance: Overall NA Approach NA Deployment NA Compliance: Overall NA Approach NA Deployment NA Evidence process-level issues NA Corrective action, including removal of CSRs 1.g.i NA Aggregating and analyzing on an on-going basis to identify and correct process-level issues 1.g.ii NA Communicating findings 1.h NA Quarterly calibration sessions 2 NA Consistency of evaluations 2.a NA Scores reflective of end-user experience 2.b NA Scores reflective of end-user experience and consistent with end-user satisfaction results 2.b NA
ATACs/ARTMCs
20
RESTRICTED
2.7 Forecasting, Staffing and Scheduling NA Compliance: Overall NA Compliance: Overall NA Evidence Understand historical arrival patterns and forecast future arrival patterns for each type of 1 transaction NA Appropriate cycle time 1.a NA Minimize variation for phone and chat intervals 2.a NA Minimize variation for non-phone intervals 2.b NA 3 Quantitative model Average handle time 3.a NA Forecasted arrival patterns 3.b NA Targeted service level 3.c NA Shrinkage 3.d NA Staffing rules described and implemented as designed 4 NA 5 At least semi-annually Evaluate work rules 5.a NA 5.b Change work rules NA NA ATACs/ARTMCs Base ATACs NA ARTMCs NA Gold ATACs NA ARTMCs NA
21
RESTRICTED
2.7 Forecasting, Staffing and Scheduling Compliance: Overall NA Compliance: Overall NA Evidence Staffing plan implemented as designed 6 NA Manage schedule adherence (metric not required) 7 NA 7 Measure and manage schedule adherence Phone and chat 7.a NA Non-phone 7.b NA NA NA ATACs/ARTMCs
22
RESTRICTED
2.8 Contingency Planning Compliance: Overall NA Minor NA Serious NA Evidence Minor service interruptions 1 NA Serious disasters documented plan 2 NA Maintaining or restoring service 2.a NA Ensuring data security 2.b NA Minimizing downtime 2.c NA Well understood and clear targets for: 3 NA Telecom 3.a NA Computers 3.b NA Software 3.c NA Electronic transactions 3.d NA NA Well Understood and Clear Targets NA ATACs/ARTMCs Base and Gold ATACs NA ARTMCs NA
23
RESTRICTED
2.9 CUIKA Compliance: Overall NA Compliance: Overall NA 1 2 2 3 4 5 NA NA Usable NA Integrity NA Usable NA Integrity NA Base ATACs NA ARTMCs NA Gold ATACs NA ARTMCs NA
Collected NA Collected NA Evidence
Known NA Action NA Known NA Action NA ATACs/ARTMCs
Collected NA Useable NA Useable and targets set at high performance levels NA Integrity NA Known to Appropriate Personnel NA Action Taken NA
24
RESTRICTED
2.10 Data Security Compliance: Overall NA 1 2 3 4 NA Policy NA Sensitive/Proprietary NA Procedures NA Verification NA Evidence ATACs/ARTMCs Documented policy Base and Gold ATACs NA NA Identify sensitive/proprietary data ARTMCs NA NA Documented procedures NA Verification NA
25
RESTRICTED
2.11 End-User Privacy NA Compliance: Overall NA Policy NA Procedures NA Verification NA Violation NA Evidence ATACs/ARTMCs Documented privacy policy Base and Gold 1 ATACs NA Documented procedures for protecting end-user NA ARTMCs privacy 2 NA NA Verification 3 NA Violation considered fatal error 4 NA
26
RESTRICTED
2.12 Data and Information Availability and NA Update Compliance: Overall NA Approach NA Deployment NA Evidence ATACs/ARTMCs 1 The process used must include mechanisms for: Base and Gold ATACs How provide data 1.a NA NA ARTMCs Making changes 1.b NA NA Communicate changes and verify understood 1.c NA Prevent unauthorized revisions 1.d NA Remove obsolete data 1.e NA
27
RESTRICTED
CATEGORY 3.0: People 3.1 Defining Jobs Compliance: Overall NA NA 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 Base staff performing training and development are ATACs included as KCR jobs. NA KCR Job 1 - ARTMCs Appropriate NA 1 NA Gold All skills and knowledge 1 ATACs NA NA Verifiable 2 ARTMCs NA NA KCR Job 2 - Appropriate 1 NA All skills and knowledge 1 NA Verifiable 2 NA KCR Job 3 - Appropriate 1 NA All skills and knowledge 1 NA 2 Verifiable NA
28
RESTRICTED
3.1 Defining Jobs Compliance: Overall NA NA 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 - Appropriate 1 NA All skills and knowledge 1 NA Verifiable 2 NA KCR Job 5 - Appropriate 1 NA All skills and knowledge 1 NA Verifiable 2 NA KCR Job 6 - Appropriate 1 NA All skills and knowledge 1 NA Verifiable 2 NA KCR Job 7 - Appropriate 1 NA 1 All skills and knowledge
29
RESTRICTED
3.1 Defining Jobs Compliance: Overall NA Compliance: Overall NA NA NA # KCR Jobs Compliant # KCR Jobs Not Compliant # KCR Jobs Not Audited # KCR Jobs Compliant # KCR Jobs Not Compliant # KCR Jobs Not Audited Evidence ATACs/ARTMCs
1 1 2
NA Verifiable NA KCR Job 8 - Appropriate NA All skills and knowledge NA Verifiable NA
30
RESTRICTED
3.2 Recruiting and Hiring NA NA Compliance: Overall NA List Requirements NA Recruiting and Hiring NA High Probability NA Compliance: Overall NA List Requirements NA Recruiting and Hiring NA High Probability NA Evidence ATACs/ARTMCs Staff Performing transaction monitoring and Base staff performing training and development are ATACs included as KCR jobs. NA KCR Job 1 - ARTMCs List requirements NA 1 NA Gold Recruiting and hiring approaches 2 ATACs NA NA High probability 3 ARTMCs NA NA KCR Job 2 - List requirements 1 NA Recruiting and hiring approaches 2 NA High probability 3 NA KCR Job 3 - List requirements 1 NA Recruiting and hiring approaches 2 NA High probability 3 NA KCR Job 4 - 1 List requirements NA
31
RESTRICTED
3.2 Recruiting and Hiring Compliance: Overall NA List Requirements NA Compliance: Overall NA List Requirements NA Evidence Recruiting and hiring approaches 2 NA High probability 3 NA KCR Job 5 - List requirements 1 NA Recruiting and hiring approaches 2 NA High probability 3 NA KCR Job 6 - List requirements 1 NA Recruiting and hiring approaches 2 NA High probability 3 NA KCR Job 7 - List requirements 1 NA Recruiting and hiring approaches 2 NA High probability 3 NA KCR Job 8 - 1 List requirements NA NA Recruiting and Hiring NA High Probability NA Recruiting and Hiring NA High Probability NA ATACs/ARTMCs
32
RESTRICTED
3.2 Recruiting and Hiring Compliance: Overall NA List Requirements NA Compliance: Overall NA List Requirements NA Evidence NA Recruiting and hiring approaches 2 NA High probability 3 NA NA NA Recruiting and Hiring NA High Probability NA Recruiting and Hiring NA High Probability NA ATACs/ARTMCs
33
RESTRICTED
3.3 Training and Development NA NA Compliance: 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 Base staff performing training and development are ATACs included as KCR jobs. NA KCR Job 1 - ARTMCs Minimum skills and knowledge NA 1 NA Gold Setting 2.a ATACs NA NA Specific skills and knowledge 2.b ARTMCs NA NA Authorized Personnel 2.c NA Desired outcome 2.d NA Retraining 3 NA KCR Job 2 - Minimum skills and knowledge 1 NA Setting 2.a NA Specific skills and knowledge 2.b NA 2.c Authorized Personnel NA
34
RESTRICTED
3.3 Training and Development NA NA Compliance: 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 Desired outcome 2.d NA Retraining 3 NA KCR Job 3 - Minimum skills and knowledge 1 NA Setting 2.a NA Specific skills and knowledge 2.b NA Authorized Personnel 2.c NA Desired outcome 2.d NA Retraining 3 NA KCR Job 4 - Minimum skills and knowledge 1 NA Setting 2.a NA Specific skills and knowledge 2.b NA 2.c Authorized Personnel
35
RESTRICTED
3.3 Training and Development NA NA Compliance: 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 Desired outcome 2.d NA Retraining 3 NA KCR Job 5 - Minimum skills and knowledge 1 NA Setting 2.a NA Specific skills and knowledge 2.b NA Authorized Personnel 2.c NA Desired outcome 2.d NA Retraining 3 NA KCR Job 6 - Minimum skills and knowledge 1 NA Setting 2.a NA 2.b Specific skills and knowledge NA
36
RESTRICTED
3.3 Training and Development NA NA Compliance: 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 Authorized Personnel 2.c NA Desired outcome 2.d NA Retraining 3 NA KCR Job 7 - Minimum skills and knowledge 1 NA Setting 2.a NA Specific skills and knowledge 2.b NA Authorized Personnel 2.c NA Desired outcome 2.d NA Retraining 3 NA KCR Job 8 - Minimum skills and knowledge 1 NA Setting 2.a NA 2.b Specific skills and knowledge
37
RESTRICTED
3.3 Training and Development NA NA Compliance: 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 Authorized Personnel 2.c NA Desired outcome 2.d NA Retraining 3 NA
38
RESTRICTED
3.4 Verifying Skills and Knowledge NA NA Compliance: 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 Base staff performing training and development are ATACs included as KCR jobs. NA KCR Job 1 - ARTMCs All minimum skills and knowledge NA 1 NA Gold Thresholds 2.a ATACs NA NA Documentation 2.b ARTMCs NA NA Action plans 2.c NA Annual re-verification 2.d NA Re-verification following changes 2.e NA Multiple observations with sign-off initial verification 3.a NA Multiple observations with sign-off annual reverification 3.b NA KCR Job 2 - 1 All minimum skills and knowledge NA
39
RESTRICTED
3.4 Verifying Skills and Knowledge NA NA Compliance: 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 Thresholds 2.a NA Documentation 2.b NA Action plans 2.c NA Annual re-verification 2.d NA Re-verification following changes 2.e NA Multiple observations with sign-off initial verification 3.a NA Multiple observations with sign-off annual reverification 3.b NA KCR Job 3 - All minimum skills and knowledge 1 NA Thresholds 2.a NA Documentation 2.b NA 2.c Action plans NA
40
RESTRICTED
3.4 Verifying Skills and Knowledge NA NA Compliance: 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 Annual re-verification 2.d NA Re-verification following changes 2.e NA Multiple observations with sign-off initial verification 3.a NA Multiple observations with sign-off annual reverification 3.b NA KCR Job 4 - All minimum skills and knowledge 1 NA Thresholds 2.a NA Documentation 2.b NA Action plans 2.c NA Annual re-verification 2.d NA Re-verification following changes 2.e NA 3.a Multiple observations with sign-off initial verification NA
41
RESTRICTED
3.4 Verifying Skills and Knowledge NA NA Compliance: 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 Multiple observations with sign-off annual reverification 3.b NA KCR Job 5 - All minimum skills and knowledge 1 NA Thresholds 2.a NA Documentation 2.b NA Action plans 2.c NA Annual re-verification 2.d NA Re-verification following changes 2.e NA Multiple observations with sign-off initial verification 3.a NA Multiple observations with sign-off annual reverification 3.b NA KCR Job 6 - All minimum skills and knowledge 1 NA 2.a Thresholds
42
RESTRICTED
3.4 Verifying Skills and Knowledge NA NA Compliance: 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 Documentation 2.b NA Action plans 2.c NA Annual re-verification 2.d NA Re-verification following changes 2.e NA Multiple observations with sign-off initial verification 3.a NA Multiple observations with sign-off annual reverification 3.b NA KCR Job 7 - All minimum skills and knowledge 1 NA Thresholds 2.a NA Documentation 2.b NA Action plans 2.c NA 2.d Annual re-verification
43
RESTRICTED
3.4 Verifying Skills and Knowledge NA NA Compliance: 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 Re-verification following changes 2.e NA Multiple observations with sign-off initial verification 3.a NA Multiple observations with sign-off annual reverification 3.b NA KCR Job 8 - All minimum skills and knowledge 1 NA Thresholds 2.a NA Documentation 2.b NA Action plans 2.c NA Annual re-verification 2.d NA Re-verification following changes 2.e NA 3.a Multiple observations with sign-off initial verification NA
44
RESTRICTED
3.4 Verifying Skills and Knowledge NA NA Compliance: 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 Multiple observations with sign-off annual reverification 3.b NA
45
RESTRICTED
3.5 Staff Performance Measurement NA NA Compliance: 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/ARTMCs Staff Performing transaction monitoring and Base staff performing training and development are ATACs included as KCR jobs. NA Done annually ARTMCs 1 NA NA Evaluations consistent with 3.4 and 2.6 2 Gold NA Should support/not work at cross purposes with ATACs NA SOD and targets ARTMCs 3 NA NA
46
RESTRICTED
3.6 Compensation and Recognition NA Compliance: Overall NA Evidence Consistent with statement of direction 1 NA 2 Where there are financial incentives Include components 2.a NA Service, quality, and/or satisfaction pervasive at other levels 2.b NA
ATACs/ARTMCs Base and Gold ATACs NA ARTMCs NA
47
RESTRICTED
3.7 Work Environment Compliance: Overall NA 1 2 Evidence Physical working conditions NA Morale, health, safety, and ergonomics NA NA ATACs/ARTMCs Base and Gold ATACs NA ARTMCs NA
48
RESTRICTED
CATEGORY 4.0: Performance 4.1 Client Satisfaction and Dissatisfaction NA Compliance: Overall NA Satisfaction NA Dissatisfaction Compliance: Overall NA Satisfaction NA Dissatisfaction Evidence Satisfaction 1 Quantified at levels Overall sat 1.a NA Sat with specific attributes 1.b NA Measured annually 2 NA Measured semi-annually 2 NA Targets 3 NA Data gathered from 80% of clients and sample of 20% 4 NA If clients dont respond and have proactively used every effort, there is sufficient data to 5 manage the business NA All client staff who have significant influence on relationship 6.a NA All client staff who have significant interaction with the CSP 6.b NA Dissatisfaction NA NA NA ATACs/ARTMCs Base ATACs NA ARTMCs NA Gold ATACs NA ARTMCs NA
49
RESTRICTED
4.1 Client Satisfaction and Dissatisfaction NA NA Compliance: Overall NA Satisfaction NA Dissatisfaction NA Compliance: Overall NA Satisfaction NA Dissatisfaction NA Evidence Defined broadly 6 7 NA Measured at program, client, and entity levels 7 8 NA Collected on an on-going basis 8.a 9.a NA Tracked and recorded by cause or symptom 8.a.i 9.a.i NA Analyzed quarterly 8.a.ii 9.a.ii NA Collected from 100% of clients and programs 8.b 9.b NA Take action on all client complaints 8.c 9.c NA Process for responding 8.c.i 9.c.i NA Tracking of on-time 8.c.ii 9.c.ii NA CUIKA NA
ATACs/ARTMCs
50
RESTRICTED
4.2 End-User Satisfaction and Dissatisfaction NA NA Compliance: Overall NA Satisfaction NA Dissatisfaction NA Compliance: Overall NA Satisfaction NA Dissatisfaction NA Evidence Quantitatively assess relative importance of Base attributes which drive satisfaction and ATACs 1 dissatisfaction NA ARTMCs NA 2 Quantified at levels NA Overall sat and dissat - entity 2.a Gold NA ATACs Overall sat and dissat - client 2.a NA NA ARTMCs Overall sat and dissat- program 2.a NA NA Overall sat and dissat - CSR 2.a NA Sat and dissat with specific attributes - entity 2.b NA Sat and dissat with specific attributes - client 2.b NA Sat and dissat with specific attributes - program 2.b NA Sat and dissat with specific attributes - CSR 2.b NA Measured and analyzed every six months 3 NA Measured monthly and analyzed quarterly 3 NA 4 Targets consistent with SOD
ATACs/ARTMCs
51
RESTRICTED
4.2 End-User Satisfaction and Dissatisfaction NA NA Compliance: Overall NA Satisfaction NA Dissatisfaction NA Compliance: Overall NA Satisfaction NA Dissatisfaction NA Evidence NA Representative sample 5 NA Data obtained from 80% of programs, clients, or end users 6 NA If client refuses, data obtained from a majority of 6 programs All types of end-user transactions in proportion 7 NA 8 If client refuses Prove have used every effort on on-going basis at least annually 8.a NA Data obtained from a majority of programs OR 8.b.i NA 8.b.ii Have effective complaint management system Defined broadly 8.b.ii.1 NA Measured at program, client, and entity levels 8.b.ii.2 NA Collected on an on-going basis 8.b.ii.3.a NA Tracked and recorded by cause or symptom 8.b.ii.3.b NA 8.b.ii.3.c Analyzed quarterly NA
ATACs/ARTMCs
52
RESTRICTED
4.2 End-User Satisfaction and Dissatisfaction NA NA Compliance: Overall NA Satisfaction NA Dissatisfaction NA Compliance: Overall NA Satisfaction NA Dissatisfaction NA Evidence Collected from 80% of programs, clients, or end users and is representative 8.b.ii.4 NA Actions 8.b.ii.5 NA CUIKA NA
ATACs/ARTMCs
53
RESTRICTED
4.3 Service and Quality Performance NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence ATACs/ARTMCs General Requirements Base and Gold ATACs Metrics for all KCRPs and KSPs 1 NA NA ARTMCs Use on-time, backlog, and accuracy for other NA KCRPs 2 NA Use on-time, backlog, and accuracy for other KSPs 3 NA Client-required metrics 4 NA Continuous data 5 NA Combinations of metrics 6 NA Targets consistent with SOD 7 NA Targets based on comparative data 8 NA On Time and Cycle Time Define cycle time, no sampling, monitored daily and analyzed monthly 1 NA Tracking 2 NA 3 On-time shipping NA
54
RESTRICTED
4.3 Service and Quality Performance NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence ASA 4 NA Client-determined staffing 5 NA Backlog Appropriate buckets 1 NA No sampling and average cycles late 2 NA Accuracy Appropriate metric 1 NA Analyzed monthly 2 NA Fatal error accuracy 3.a NA Non-fatal errors 3.b NA Processing Transactions Direct from Outsourcers All required metrics 1 NA Causes identified and action taken on controllable causes 2 NA Processing Exceptions 1 Applied as required
ATACs/ARTMCs
55
RESTRICTED
4.3 Service and Quality Performance NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence NA Telecommunications: Blocked Transactions Minimum of one metric tracked quarterly 1.a NA Frequency increased 1.b NA Forecasting Volume: Accuracy 1 Two measures Staffing 1.a NA 1.b Scheduling NA 2 All other types of transactions NA
ATACs/ARTMCs
56
RESTRICTED
4.4 Key Supplier Performance NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence ATACs/ARTMCs Supplier Telecom Base and Gold ATACs SLA in place 1 NA NA ARTMCs All Exhibit 1 metrics in place 2 NA NA All KCRPs and KSPs 3 NA Analyze quarterly and provide written feedback 4 NA Corrective action 5 NA Supplier Internal Help Desk SLA in place 1 NA All Exhibit 1 metrics in place 2 NA All KCRPs and KSPs 3 NA Analyze quarterly and provide written feedback 4 NA Corrective action 5 NA Supplier IS SLA in place 1 NA 2 All Exhibit 1 metrics in place
57
RESTRICTED
4.4 Key Supplier Performance NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence NA All KCRPs and KSPs 3 NA Analyze quarterly and provide written feedback 4 NA Corrective action 5 NA Supplier Recruiting SLA in place 1 NA All Exhibit 1 metrics in place 2 NA All KCRPs and KSPs 3 NA Analyze quarterly and provide written feedback 4 NA Corrective action 5 NA Supplier Forecasting SLA in place 1 NA All Exhibit 1 metrics in place 2 NA All KCRPs and KSPs 3 NA 4 Analyze quarterly and provide written feedback NA
ATACs/ARTMCs
58
RESTRICTED
4.4 Key Supplier Performance NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence Corrective action 5 NA Supplier Training SLA in place 1 NA All Exhibit 1 metrics in place 2 NA All KCRPs and KSPs 3 NA Analyze quarterly and provide written feedback 4 NA Corrective action 5 NA Supplier SLA in place 1 NA All Exhibit 1 metrics in place 2 NA All KCRPs and KSPs 3 NA Analyze quarterly and provide written feedback 4 NA Corrective action 5 NA
ATACs/ARTMCs
59
RESTRICTED
4.5 Process-Level Efficiency NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence ATACs/ARTMCs Identify all Exhibit 1 KCRPs and any KCRPs that are NOT Base and Gold listed in Exhibit 1 (sub-item 4 requirement) ATACs KCRP 1 - NA Input:Output ARTMCs 1 NA NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 2 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA 4 KCRPs not listed in Exhibit 1 NA
60
RESTRICTED
4.5 Process-Level Efficiency NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 3 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 4 - Input:Output 1 NA No sampling and analyzed monthly 2 NA 3 Appropriate metrics
ATACs/ARTMCs
61
RESTRICTED
4.5 Process-Level Efficiency NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 5 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 6 - 1 Input:Output NA
ATACs/ARTMCs
62
RESTRICTED
4.5 Process-Level Efficiency NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 7 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA 7 Targets consistent with SOD NA
ATACs/ARTMCs
63
RESTRICTED
4.5 Process-Level Efficiency NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence KCRP 8 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 9 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA 6 May combining tracking
ATACs/ARTMCs
64
RESTRICTED
4.5 Process-Level Efficiency NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence NA Targets consistent with SOD 7 NA KCRP 10 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 11 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA 4 KCRPs not listed in Exhibit 1 NA
ATACs/ARTMCs
65
RESTRICTED
4.5 Process-Level Efficiency NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 12 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 13 - Input:Output 1 NA No sampling and analyzed monthly 2 NA 3 Appropriate metrics
ATACs/ARTMCs
66
RESTRICTED
4.5 Process-Level Efficiency NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 14 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 15 - 1 Input:Output NA
ATACs/ARTMCs
67
RESTRICTED
4.5 Process-Level Efficiency NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 16 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA 7 Targets consistent with SOD NA
ATACs/ARTMCs
68
RESTRICTED
4.5 Process-Level Efficiency NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence KCRP 17 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 18 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA 6 May combining tracking
ATACs/ARTMCs
69
RESTRICTED
4.5 Process-Level Efficiency NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence NA Targets consistent with SOD 7 NA KCRP 19 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 20 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA 4 KCRPs not listed in Exhibit 1 NA
ATACs/ARTMCs
70
RESTRICTED
4.5 Process-Level Efficiency NA Compliance: Overall NA # Compliant # Not Compliant # Not Audited Evidence Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA KCRP 21 - Input:Output 1 NA No sampling and analyzed monthly 2 NA Appropriate metrics 3 NA KCRPs not listed in Exhibit 1 4 NA Client-required efficiency metrics 5 NA May combining tracking 6 NA Targets consistent with SOD 7 NA CUIKA NA
ATACs/ARTMCs
71
RESTRICTED
4.6 Asset Efficiency Compliance: Overall NA 1 1.a 2 Evidence Single most relevant metric NA Measured and managed at entity or program level NA Targets consistent with SOD NA CUIKA NA NA ATACs/ARTMCs Base and Gold ATACs NA ARTMCs NA
72
RESTRICTED
4.7 Staff Attrition Compliance: Overall NA 1 2 3 4 5 6 7 8 Evidence Measured by staff category at entity and program levels NA Includes voluntary and involuntary NA Reported as annualized percentage NA Includes contractor temp staff NA Tracking temporary positions NA Separate CSRs NA Targets NA Client metrics NA CUIKA NA NA ATACs/ARTMCs Base and Gold ATACs NA ARTMCs NA
73
RESTRICTED
4.8 Staff Satisfaction, Absenteeism, and NA Safety Compliance: Overall NA Satisfaction NA Absenteeism Evidence Satisfaction Measured by staff category 1 NA Targets 2 NA Comparative data 3 NA Client metrics 4 NA Measured annually and quantified 5 NA Measured for indefinite staff 6 NA Distinguish CSRS 7 NA Absenteeism Measured by staff category 1 NA Targets 2 NA Comparative data 3 NA Client metrics 4 NA 8 All staff NA
NA
Safety NA ATACs/ARTMCs Base and Gold ATACs NA ARTMCs NA
74
RESTRICTED
4.8 Staff Satisfaction, Absenteeism, and NA Safety Compliance: Overall NA Satisfaction NA Absenteeism NA Evidence Measured and analyzed correctly 9 NA Safety Measured by staff category 1 NA Targets 2 NA Comparative data 3 NA Client metrics 4 NA Recordable accident rate 10 NA CUIKA NA
Safety NA ATACs/ARTMCs
75
RESTRICTED
4.9 Cost of Poor Quality NA Compliance: Overall NA Compliance: Overall NA Evidence Calculation consistent with SOD 1 NA Quantified and CUIKAd for at least one KCRP 2 NA Quantified and CUIKAd for most important KCRPs (at least 50%) 2 NA NA ATACs/ARTMCs Gold ATACs NA ARTMCs NA
76
RESTRICTED
4.10 Achieving Results Compliance: Overall NA Compliance: Overall NA NA NA ATACs/ARTMCs ATACs NA ARTMCs NA
Evidence The 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.
77

Release 3 4 Gold and Base Blank Eval Tool

Diunggah oleh

Informasi Dokumen

Hak Cipta

Format Tersedia

Bagikan dokumen Ini

Bagikan atau Tanam Dokumen

Opsi Berbagi

Apakah menurut Anda dokumen ini bermanfaat?

Apakah konten ini tidak pantas?

Hak Cipta:

Format Tersedia

Release 3 4 Gold and Base Blank Eval Tool

Diunggah oleh

Hak Cipta:

Format Tersedia

COPC Insert Corporate Designation Corp Address 1 Corp Address 2 City, State or Province Postal Code Office: Telephone

Fax: Fax www.copc.com

Comprehensiveness of the Audit

C = Compliant NC = Not Compliant Compliant

3 = Compliant 2 = Approach only 1 = Not Compliant 0 = Nothing Currently Done

Actions Required to Maintain Compliance These are

Collected NA Collected NA Evidence

Known NA Action NA Known NA Action NA ATACs/ARTMCs

NA Verifiable NA KCR Job 8 - Appropriate NA All skills and knowledge NA Verifiable NA

ATACs/ARTMCs Base and Gold ATACs NA ARTMCs NA

Safety NA ATACs/ARTMCs Base and Gold ATACs NA ARTMCs NA

Anda mungkin juga menyukai