maturity level description

HDIsm Support Center Certification (SCC) Standards v. 4

www.thinkhdi.com/certification/sitecertification • (800) 248-5667

© HDI, Think Service Inc., 2000-2005. All rights reserved.HDI Support Center Certification Standards v.4

1

http://www.thinkhdi.com/certification/sitecertification

An Introduction to HDI Support Center Certification and SCC Standards

First introduced in 2000, the HDI SCC program is the only open, globally recognized certification program created specifically for support centers. HDI Support Center Certification is designed to improve the effectiveness of the support services industry and support organizations by providing a reference quality model, industry standards that are recognized worldwide, and an accompanying certification program. Evaluation is based on 66 standards statements, each with four levels of maturity to evaluate the support center. In order to become an HDI Certified Support Center, the center must successfully complete an onsite audit and achieve minimum scores as defined by the standards committee.

The program has been designed to conform to existing international quality standards, such as the EFQM (European Foundation for Quality Management), the Malcolm Baldrige National Quality Awards, and ISO9000, with modifications to the standards to meet quality requirements of support center organizations. The SCC v. 4 standards further incorporated ITIL® (IT Infrastructure Library) terminology to continue to encourage common language use within the industry; in addition, the v. 4 standards include “Overall Comments” from the standards committee, which further explain the standards and provide additional guidance to meet the standards. A Glossary of Terms is a new addition to the v. 4 standards document.

The SCC Standards Committee

Participation on the SCC Standards Committee is voluntary, and any qualified person may apply for a position on the committee. Special thanks to the many people who have generously donated their time, experience, and expertise to develop the current version of the SCC standards:

Terry Allen, CompuCom Systems Eppo Luppes, Fujitsu ServicesEldon Brown, ABS Associates Karen MacNeill, Aseriti*John Custy, JPC Group* Jim McKennan, ARCPaul Dooley, Optimal Connections* Daniel Pasquerilla, QADMark Ellis, Kronos, Inc. Aale Roos, Quint Wellington RedwoodLisa Fry, MJ Gleeson Group PLC Faye Rukstales, BMC*Ken Hayes, Spherion Barry Taplin, British Telecom PLCChris Hediger, Yoh IT Support* Rick Taylor, Highmark*Donna Holt, HelpDesk Xlence Irene Stirrat, Halliburton*Jo Johns Cindy Szpanelewski*

*Team leaders and quality assurance team

The following people from HDI were also involved with the standards update process: Carrie Kalmanowitz, Howard Kendall, Ron Muns, Tatsumi Yamashita, and Abbie Zellner.


2

The SCC standards are represented by a reference model that contains enabling factors and result factors. The standards within each reference model element area provide direction, but are not prescriptive in nature. Differences among organizations are permissible, so long as the standards are met.


3

Enablers, Results and Standards Reference model elements 1-5 are factors that represent enablers of quality, or actionable items. Elements 6 - 8 are results factors, or performance against goals. Thus, the first five reference model elements relate to doing the right things, while the last three elements show performance against goals. Each model element is defined and supported by standards against which a support center is rated. In each model area there is a minimum score that is required and an overall score that must be achieved in order to be certified. The scores required may change over time based upon input from the industry, certification auditors, and the HDI Support Center Certification Standards Committee.

EnablersOrganizations are evaluated for each standard in the Enabling areas to determine their level of maturity.

1. Just started – Some good ideas on a topic or issue, the beginnings of plans for improvement, and a clear recognition that an issue(s) needs to be addressed.

2. Some progress – Some evidence that something is really happening, occasional reviews resulting in improvements and enhancement, and islands of successful implementations or results.

3. Considerable progress – Clear evidence that this subject is being well addressed, regular and routine reviews and upgrades, some concerns that the implementation is not universal or being applied to its full potential.

4. Fully achieved/optimized – An outstanding approach or result that is universally implemented, ideal solutions or achievements, continuous improvement efforts exist, and it is difficult to envision significant improvement.

ResultsThe level of success the organization has had is defined in achievement of meeting its stated objectives. As above, a 1 to 4 rating scale is employed:

1. Measured – Performance data is routinely collected.

2. Comparisons to goals – The organization collects data and routinely compares performance to organizational goals or targets. Data has been collected and compared to goals for at least three months.

3. Trending to goals – The organization collects data, routinely reports performance, and compares results to goals or targets. Data has been collected and compared to goals for at least six months. The results show performance trending to goals.

4. Consistently meeting goals – The organization has met performance goals for several reporting periods and trends indicate consistent results for at least one year.


4

HDI Support Center Certification Reference Model Element Descriptions

LeadershipLeadership defines how managers and employees guide their organizations towards success through inspiring and motivating employees. Effective leaders guide the formulation and evolution of statements of purpose, and ensure that they are communicated and understood throughout the entire organization. They provide highly visible support and encouragement as individuals, and teams seek to carry assignments forward to completion. Important leadership skills include fostering meaningful teamwork, resolving communication issues, determining resource requirements, determining priorities and priority issues, and inspiring an environment of cooperation and enthusiasm.

Strategy and PolicyThe mission, vision, goals and objectives of the support center’s functions must clearly and effectively support the business purposes of the larger enterprise. As with any business activity, goals and activitithey must all contribute to the organization’s ability to achieve its stated goals. It is also essential that any support function be fully integrated with the rest of IT. Policies and strategies must interpret purposes and objectives into plans that can be acted upon, measured and revised as required to achieve desired results. Specific plans, policies and procedures must be established to define the way in which the organizational goals will be achieved. To be useful, plans must lead to the achievement of measurable results and be coordinated with the plans of the larger enterprise.

People ManagementThe most important responsibility of support management is the creation of an environment that motivates people (staff) to perform at their peak. Staff roles and responsibilities, as well as support processes, must be well-documented. The support staff must have and maintain the required set of skills needed to respond effectively to customer requests for assistance. Meaningful performance feedback, peer and management recognition, strong corporate communication, and opportunities for technical and professional growth are proven motivators.

ResourcesThe support operation must have access to the resources and tools necessary to achieve the established objectives. These may be infrastructure-related or support-specific. They include financial and human resources, physical facilities, communications infrastructure and processes, specialized organizational knowledge and competencies, hardware/software tools, and/or third party partnerships. Support technology such as service management systems, knowledge bases, self-help tools, remote access tools, self-help Web tools, self-healing software, and ACDs can provide significant increases in support center efficiency and end-user/customer productivity, which translates directly to cost savings, superior service, or both.

Process and ProcedureThe support function must have processes in place that allow it to be successful. These must be well-defined, measurable, documented, communicated and understood by those who will manage and those who will execute these processes. Examples of support center processes include: call logging and tracking, escalation procedures, performance measurement, quality improvement, effective knowledge capture and distribution, information management and communication, change control, end-user/customer satisfaction, and service level management.


5

People SatisfactionThe satisfaction of the people belonging to an organization can significantly influence the organization’s success. Support personnel must be well motivated to perform their jobs. Support center personnel should understand why their job is important, receive satisfaction from their work, and feel supported and valued for their efforts by management. Measurement of key factors such as absenteeism and turnover, attitude, and enthusiasm can reveal the degree of job satisfaction within an organization.

End-User/Customer SatisfactionThe perception of end-users/customers with regard to the success of the support function in meeting customer expectations will determine its overall success. End-users/customers may have alternatives for obtaining support services; for example, customers can get support from other providers, co-workers, product vendors, or the Internet. For the support center to earn the position of favored provider, the corporate culture should recognize the value and support the importance of support. Support’s value should be recognized at a senior level and be visible throughout the organization. Normally, this is reflected in the existence of effective Service Level Agreements and end-user/customer-centric performance measures. By measuring satisfaction, the support organization can collect meaningful feedback, manage satisfaction levels, and create an effective collaboration between the support function and its end-users/customers.

Performance ResultsPerformance results are the measured achievements as compared to goals. Measurement processes must be objective, reliable and realistic. Results must be clearly communicated to the appropriate audiences. Performance objectives and results must be achieved, or the reasons for any variance must be clearly understood and appropriate actions taken to achieve the standard or revise it.


6

HDI Support Center Certification Glossary Terms

Baseline – ITIL definition: A snapshot or a position which is recorded. Although the position may be updated later, the baseline remains unchanged and available as a reference of the original state and as a comparison against the current position.

Business plan – Written plan that details mission, key objectives, services provided, infrastructure requirements, financial information, strategies, action plan, and other items for a finite period of time.

Change – ITIL definition: The addition, modification or removal of approved, supported or baselined hardware, network, software, application, environment, system, desktop build or associated documentation.

Change Advisory Board (CAB) – ITIL definition: A group of people who can give expert advice to Change Management on the implementation of changes. This board is likely to be made up of representatives from all areas within IT and representatives from business units.

Change control – ITIL definition: The procedure to ensure that all changes are controlled, including the submission, analysis, decision-making, approval, implementation and post-implementation of the change.

Change Management – ITIL definition: Process of controlling changes to the infrastructure or any aspect of services, in a controlled manner, enabling approved changes with minimum disruption.

Closure – ITIL definition: When the customer/user is satisfied that the incident has been resolved.

Configuration Item (CI) – ITIL definition: Component of an infrastructure – or an item, such as a Request for Change, associated with an infrastructure – which is (or is to be) under the control of Configuration Management. CIs may vary widely in complexity, size and type – from an entire system (including all hardware, software and documentation) to a single module or a minor hardware component.

Configuration Management – ITIL definition: The process of identifying and defining the Configuration Items in a system, recording and reporting the status of Configuration Items and Requests for Change, and verifying the completeness and correctness of Configuration Items.

Customer – ITIL definition: Recipient of the service (this is the ITIL definition); external users that are not employees of the enterprise.

Enterprise – Company; overall corporate organization.

Goals and objectives – Developed, communicated, and included in the business plan; may apply to Service Level Agreements; ideally, align with goals of the support enterprise. Operations plans are developed from the goals and objectives.


7

Incident – ITIL definition: Any event which is not part of the standard operation of a service and which causes, or may cause, an interruption to, or a reduction in, the quality of that service.

Incident Management – A set of processes that restore normal service operation as quickly as possible and minimize any adverse impact on business operations; ensures that the best possible levels of service quality and availability are maintained.

Knowledge Management – ITIL definition: Discipline within an organization that ensures that the intellectual capabilities of an organization are shared, maintained and utilized.

Mission/vision statement -– Written statement that communicates the ideals of the organization. It creates desire and commitment, paints the ideal future, communicates existence and responsibilities, is in line with the values of the organization, and aligns with the vision and mission of the overall parent department (i.e., IT department) and the enterprise.

Operational Level Agreement (OLA) – ITIL definition: An internal agreement covering the delivery of services which support the IT organization in their delivery of services.

Operations plan – Provides a high-level overview of implementation for the items presented in the business plan; includes staffing, training, special projects, technology implementation, etc.

Organization – Unless specified as the support center organization, refers to the enterprise or company.

Priority – ITIL definition: Sequence in which an incident or problem needs to be resolved, based on impact and urgency.

Problem – ITIL definition: Unknown underlying cause of one or more incidents.

Problem Management – ITIL definition: Processes that minimizes the effect on customer(s)/end-user of defects in services and within the infrastructure, human errors and external events.

Quantative performance goals – Relating to in terms of measurement or quantity. Examples include: reducing resolution time by 10%; increasing the usage of the self-help system by 20% by year end.

Regular – Occurs with normal or healthy frequency.

Regularly scheduled – A task or activity that occurs within regular, ongoing intervals.

Request for Change (RFC) – ITIL definition: Form, or screen, used to record details of a request for a change to any CI within an infrastructure or to procedures and items associated with the infrastructure.


8

Resolution – ITIL definition: Action which will resolve an incident. This may be a Workaround.

Service Continuity Management – Processes to ensure that the organization can continue to provide services in the event of an unlikely or unexpected disruption to the infrastructure.

Service Level Agreement –Written agreement between the support center and customers and/or end-users that documents agreed service levels.

Service management system – Application or tool used to generate “tickets” for incidents, service requests, and problems; may also be referred to as the call tracking system, trouble ticket system, incident tracking system.

Service request – ITIL definition: Every incident not being a failure in the IT infrastructure.

Stakeholders – Any person or group that has an interest in the support center organization, customers, or end-users.

Support center management – Refers to any and all levels of management in the support center organization.

Support center staff – Anyone employed within the support organization that does not hold a management position.

Underpinning Contract – ITIL definition: A contract with an external supplier covering delivery of services that support the IT organization in their delivery of services.

Workaround – ITIL definition: Method of avoiding an incident or problem, either from a temporary fix or from a technique that means the customer is not reliant on a particular aspect of the service that is known to have a problem.


9

SCC Standards

Reference Area # 1 – Leadership

LEADERSHIP DESCRIPTION – How all levels of managers and all employees in team leadership roles define success, and inspire and drive continuous improvement.

1.010 Alignment with core businessSupport center management promotes an understanding of the relationship of support services to the core business of the enterprise.

Number Maturity Level Maturity Level Description1 Just started Support center management can describe the three most

important factors for the success of the end-user and/or customer’s business.

2 Some progress Support center staff understands the business impact of technology and/or service failure to the customer.

3 Considerable progress Services offered by the support center are focused on supporting the success of the end-user and/or customer.

4 Fully achieved and/or optimized

Support center management adjusts services to best support changes to end-users and/or customers.


10

1.020 Interaction with IT Support center management promotes an understanding of IT and interaction with support services to the rest of the departments within IT, both internally and with external vendors. (If your organization does not work within IT and support provided is not in support to/of IT, then substitute the name of the appropriate organization).

Number Maturity Level Maturity Level Description1 Just started Support center management displays a clear

understanding of how the support center interacts with IT processes and IT departments.

2 Some progress The support center actively communicates with other IT departments.

3 Considerable progress The support center staff understands the needs of other IT departments and the support center relationship to the IT department.


To fully anticipate upcoming IT changes, a support center representative is actively engaged in the change control process.


11

1.030 Resource optimizationAll levels of support center management effectively establish and promote the optimal use of support resources.

Number Maturity Level Maturity Level Description1 Just stared A process is in place to determine the resources

needed to provide service.

2 Some progress A documented methodology is used to determine resources to meet levels of service and operating goals.

3 Considerable progress Service Level Agreements are in place that directly relate to the customer’s business objectives.


The support center has the ability to adjust resources between budget cycles.


12

1.040 Promoting teamworkAll levels of support center management actively promote and participate in teambuilding activities and advocate teamwork throughout the support organization.

OVERALL COMMENTS: Some examples of team-based interactions include specialized support teams organized within the support organization for purposes of driving problem resolution, or ad-hoc teams formed for purposes of addressing certain needs within the support center (such as planning and managing a new system rollout). Team-based activity planning may focus on traditional team-building training and development.

Number Maturity Level Maturity Level Description1 Just started There are documented processes and training objectives

designed to foster teamwork within the support center.

2 Some progress There are organized and regularly scheduled team-based interaction activities to foster teamwork throughout all areas of the support organization.

3 Considerable progress There are documented processes for measuring and recognizing the success of team-based efforts and measuring the success of these efforts against objectives.


The results of team-based efforts are successfully applied to improve business processes.


13

1.050 Promoting the support centerAll levels of support center management are effective advocates in raising the visibility of the support center throughout the enterprise and promote the support center as a valued business partner.

Number Maturity Level Maturity Level Description1 Just started All levels of support center management recognize

and articulate the value of the support center function to the entire organization.

2 Some progress All levels of management in the organization promote the support center and its function by encouraging appropriate use by personal example.

3 Considerable progress The support center proactively involves itself with the other major departments in the organization to promote its role and value.


The support center staff is empowered to take leadership and decision-making roles to drive activities intended to improve the overall business performance of the organization.


14

1.060 Distribution of informationSupport center management actively promotes and facilitates the distribution of support-related planning, operating and performance information.

Number Maturity Level Maturity Level Description1 Just started Support center performance against goals and

service levels is measured at least monthly.

2 Some progress Performance results and reports are readily available to support center staff.

3 Considerable progress Progress against strategic and operations plans is regularly tracked, reported upon, and communicated back to support center staff.


End-users and/or customers and non-support center management have access to support center reports.


15

Reference Area #2 – Policy and Strategy

POLICY AND STRATEGY DESCRIPTION – How support center management incorporates the enterprise’s values and concepts of quality into the determination, communication, review, and improvement of the policies and strategies of the support center.

2.010 Vision and missionA vision and/or mission statement is established that reflects the support center’s role in, and contribution to, the enterprise.

OVERALL COMMENTS:The support center vision/mission statement should be aligned with the enterprise’s mission/vision statement.

Maturity level #2 – “Published and distributed inside and outside of the support center” may refer to within the overall organization, to support partners, to end-users/customers, etc.

Number Maturity Level Maturity Level Description1 Just started The support center has its own documented

mission/vision statement.

2 Some progress Support center staff can articulate the vision/mission statement and understands its meaning. The support center’s mission/vision statement is published and distributed inside and outside of the support center.

3 Considerable progress The support center’s mission/vision statement is aligned with the organization’s vision/mission.


There is a process to review, review and promote the support center’s vision/mission statement on a periodic basis.


16


17

2.020 Goals and objectivesSpecific, measurable operational level goals and objectives are established that reflect the support center’s mission.

OVERALL COMMENTS:Goals and objectives should be identifiable to the individual analyst so that they understand how to contribute. Activities need to be evaluated regularly to determine progress is being made toward goals and objectives.

Maturity level #3 – The goals and objectives in a formal Service Level Agreement may not be the same as the more general support center goals and objectives – they are more likely customer-specific. Nevertheless, they should be consistent with and support the overall goals and objectives of the support organization.

Maturity level #4 – At least some of the goals should be strategic in nature, supporting the strategies of the enterprise.

Number Maturity Level Maturity Level Description1 Just started Specific, mission-related objectives are established

for the support center.

2 Some progress Documented, quantitative performance goals have been established for most objectives.

3 Considerable progress Support center goals and objectives are consistent with and supported by the goals and objectives contained in Service Level Agreements or contracts.


Strategic goals are established that align to the mission of the overall organization and performance results to goals are communicated to the support center staff.


18

2.030 Business and operations plansBusiness and operations plans establish the strategies and tactics to achieve the support center’s goals and to meet defined objectives.

OVERALL COMMENTS:Business and operations plans establish the strategies and tactics that will be used to achieve the support center’s goals and to meet defined objectives. Successful support operations should incorporate a planning process that translate mission and strategies into initiatives and projects that align with those of the enterprise.Maturity level #1 – The business plan needs to do more than describe the services and activities – it needs to include a short list of fundamental elements to be a valid business plan.Maturity level #3 – Strategies should be inherent in the support business plan, and these should support the strategies of the overall parent department (i.e. IT) and the overall company.

Number Maturity Level Maturity Level Description1 Just started A documented business plan exists for the support

center that includes all fundamental elements, including mission, key objectives, services provided, infrastructure requirements, financial information and plans, strategies, and action plans.

2 Some progress A documented operations plan for the support center is in place to support the implementation of the business plan. The operations plan should include staffing, training, special projects, technology implementation, etc.

3 Considerable progress The support center’s strategic plans establish how its operations support and integrate with the strategic plans of the overall organization.


A defined process exists to ensure that the support center’s plans are updated regularly to support the


19

changing requirements of the overall organization.


20

2.040 Stakeholder inputThe mission, objectives, and plans of the support center incorporate stakeholder input in a meaningful and balanced manner.

OVERALL COMMENTS:The support center’s responsiveness to key stakeholders is a major factor in its success. The support center should be able to define and readily identify stakeholders.

Examples of key stakeholders may include: Large customers/contracts CIO or IT director Company executives Product/service development Product/service marketing

Number Maturity Level Maturity Level Description1 Just started Support center management and staff can readily

identify and define stakeholders.

2 Some progress The support center actively solicits stakeholder input to its goals and plans.

3 Considerable progress A process exists to provide feedback to stakeholders on how their input was evaluated and used.


Stakeholders are invited to participate in the development of the action plan that results from their input.


21

Reference Area #3 – People Management

PEOPLE MANAGEMENT DESCRIPTION – Fulfilling the full potential of human resources.

3.010 Job descriptionsJob descriptions for positions within the support center exist that accurately describe the roles, responsibilities and requirements of the positions.

OVERALL COMMENTS:Clear and concise job descriptions are important; their purpose is to identify the expectations of a person in that job position. This is important for the person in that position and to those aspiring to that position.

Number Maturity Level Maturity Level Description1 Just started Job descriptions exist and are documented for

each position; job descriptions are reviewed on a regular basis.

2 Some progress The roles and responsibilities established in the job descriptions accurately reflect the roles and responsibilities of the described positions.

3 Considerable progress

Support center staff and management have access to job descriptions; staff and management are aware of the job description contents.


Job descriptions are specifically referenced during performance appraisal meetings.


22

3.020 Training plansTraining plans address the requirements for adequate technical, business and customer service skills among the support center staff to consistently meet service levels.

OVERALL COMMENTS: Does the support center set targets for the level of training and number of training days per employee? If so, how is this measured? Note: a “gap analysis” provides an assessment of the support analyst’s skill set compared to the knowledge requirements of the position.

Number Maturity Level Maturity Level Description1 Just started Documented training plans exist for each support

center position and are updated on a regular basis.

2 Some progress Time and funding is allocated to achieve the minimum training levels established in the plans.


A skills inventory exists for each position and gap analyses exist for each employee.


A support center staffing skills matrix exists and is periodically reviewed; changes are made as necessary to match competencies to requirements.


23

3.030 Career development plansCareer development planning helps to increase employee capabilities, retention, and job satisfaction.

OVERALL COMMENTS:The employee career development plan should be based on a standardized career path for the position, yet take into consideration the analyst’s career goals within the support center. Additionally, career development plans should be aligned with the strategic goals of the support center

Number Maturity Level Maturity Level Description1 Just started Documented career development plans exist for

support center employees.

2 Some progress Career development plans for support center staff include each employee’s personal preference for career development; personal preferences should relate to the context of the organization’s support center function.


Career development plans align training and certification goals with higher-level job descriptions.


Job description reviews, career development planning, compensation review, and performance appraisal processes are integrated.


24

3.040 Personal performance appraisalsCriteria for group and individual performance align with the objectives of the support center and objectives of the entire organization.

OVERALL COMMENTS: Personal performance appraisals should assess not only individual goals, but also how individual performance contributes to achieving team, support center and enterprise objectives.

Number Maturity Level Maturity Level Description1 Just started An annual, documented performance appraisal

process is in place.

2 Some progress Support center staff is provided with quarterly feedback from their supervisor/manager between formal performance appraisal meetings.


Key job performance criteria are linked to support center and overall organization objectives.




25

3.050 Employee satisfactionProcesses and procedures for measuring and managing employee satisfaction are key ingredients to enhance employee retention and productivity.

OVERALL COMMENETSA mature organization will measure, report, implement and validate the improvements in employee satisfaction.

Number Maturity Level Maturity Level Description1 Just started A process exists to determine employee

satisfaction levels.

2 Some progress A measurable employee satisfaction process is annually scheduled and performed.


The employee satisfaction process includes measurement that is meaningful to the support center, and satisfaction results are communicated to the support center staff and the organization’s senior management in a timely manner.


Support center management takes direct action in response to the employee satisfaction results.


26

3.060 Compensation A competitive compensation program is essential to maintain employee productivity, retention and employee satisfaction.

OVERALL COMMENTS:A comprehensive compensation program reflects a salary and benefits program that is competitive for the position.

Maturity level #1 - In addition to reviewing compensation levels, support management should make recommendations to adjust salary levels to be market competitive.

Number Maturity Level Maturity Level Description1 Just started Support center staff compensation is regularly

compared to similar positions within the same industry sector and geographic area.

2 Some progress The compensation program includes elements that encourage performance.


The compensation program rewards the accomplishments of support center staff to personal, support center, and overall organization objectives.




27

3.070 Reward and recognition Reward and recognition programs for support center employees increase the incidence of desired behaviors.

OVERALL COMMENTS: Reward and recognition can be expressed in many ways, such as an employee-of-the-month program or time off for achieving an individual goal. Rewarding and recognizing staff is an effective way to motivate staff members to achieve and excel to complement regular compensation methods.

Number Maturity Level Maturity Level Description1 Just started Reward and recognition programs are in place to

acknowledge staff accomplishments and contributions to the support center on a regular and consistent basis.

2 Some progress Documented reward and recognition programs for individuals and teams are incorporated into the support center’s budget.


The support center staff participates in the development and ongoing maintenance of the reward and recognition programs.


Support center management periodically reviews the impact of the reward and recognition program and/or makes improvements on a regular basis.


28

Reference Area #4 – Resources

RESOURCES DESCRIPTION – Access to the resources and tools necessary to achieve objectives.

4.010 FinancialSupport center management demonstrates a realistic understanding of the link between support center requirements, budgeting, staffing levels, technology and facilities and the performance results of both the support center and the enterprise.

OVERALL COMMENTS: In order to be effective the support center must have its own fully allocated budget – not merely be a set of

line items in another department’s budget. Adequate provision in the budget must be made for all the key elements necessary for maintaining a successful support organization, including but not limited to adequate staffing and compensation, equipment, systems and software, tools, training, documentation, rewards and recognition programs, customer events, and marketing.

Maturity level #1 – In order for a budget to be in place, it must be subject to review and updated on a regular basis. This necessitates a periodic reporting process also be in place.

Maturity level #3 – Sufficient funds must be allocated to the budget so that the support center is able to meet the goals it is charged with.

Maturity level #4 – The support center should include an assessment of Return on Investment (ROI) when planning, approving and assessing the success of new initiatives and projects.

Number Maturity Level Maturity Level Description1 Just started The support center has an annual or calendar year

budget and regularly reports on actual spending compared to budget.

2 Some progress Support center management exerts meaningful influence over the content, amount and allocation of its budget.

3 Considerable progress The support center budget provides sufficient funding for resources in all areas (compensation, equipment, tools, overhead, etc.) in order to meet


29

performance goals.4 Fully achieved and/or

optimizedThe support center utilizes financial analysis models to make decisions regarding current and future resource investments.


30

4.020 Physical environment/ergonomicsThe support center is located in an appropriate and ergonomically effective work area.

OVERALL COMMENTS: Maturity level #1 – “General standards” include those of health and safety. Maturity level #3 – A work environment designed to encourage individual as well as teaming interactions is best. For

example, half-height dividers between work spaces may be preferable to no dividers or dividers that totally enclose workspaces.

Maturity level #4 - A high level of ergonomic design means that the facility is optimized for high performance support. Work areas also allow individuals to personalize their work areas to an appropriate level.

In addition to meeting the special requirements of the support center (see Level 2), the facility provides ergonomically optimized equipment and work areas, sufficient lab space, training/project work areas, and leisure areas.

Number Maturity Level Maturity Level Description1 Just started The support center environment conforms to

standards for general-purpose office space and is comparable to other administrative/office facilities within the organization.

2 Some progress The facilities reflect the special requirements of a typical support center environment (low traffic and noise levels, headsets, individual work areas, easy access to facilities and information, meeting areas, etc.)

3 Considerable progress The support center environment is designed to facilitate desired work interactions among staff.


Workspaces reflect a high level of ergonomic design and consideration for personalization.


31


32

4.030 InfrastructureAppropriate functionality, capacity and reliability in the technical infrastructure are critical for effective use of support tools and automation.

OVERALL COMMENTS: Although the support center may not have responsibility for managing the network infrastructure, it depends

on the integrity and performance of the network to execute many of its activities – incident handling and resolution, collaborating with team members, logging on to customer systems, connecting with lab resources, etc.

Network infrastructure - Includes all the hardware, software and systems that support the transport of voice and data in an efficient and effective manner (servers, network, switches, routers, hubs, PBX, software systems, etc.).

Maturity level #3 – Proactive monitoring and reporting should be done in order to identify issues or potential issues, and opportunities for improvement.

Maturity level #4 - Network reporting should be used to plan and implement improvements, not just changes.

Number Maturity Level Maturity Level Description1 Just started Electronic connectivity links support analysts, key

workgroups/suppliers, end-users and/or customers.

2 Some progress The telephony infrastructure, network and servers are reliable and free from frequent and unplanned interruptions.

3 Considerable progress The support center reports metrics on the reliability and capacity of the infrastructure components to identify capacity issues.


Capacity and availability models and metrics results are used to plan and implement changes and improvements to the infrastructure.


33


34

4.040 Incident/service request distributionDistributing incoming incidents/requests for service via telephony infrastructure or other electronic means is important to ensure that the various types and volumes of incidents get to the analyst quickly.

OVERALL COMMENTS: The system may provide for one or more channels of distribution to the analyst, such as voice, web, email, or

Internet chat. The system must also provide for distributing the various types of issues that are normally reported to the

support center:- Incidents- Service requests

Maturity level #1 - An automated hardware/software system for distributing incidents/service requests via phone/web should normally be in place. It must include support for all “authorized” channels of reporting (voice, email, web, etc.). In the case of very small support centers/help desks (less than 12 analysts), such an automated system may not be necessary given a low volume of incidents. In these cases however there must be a standard process and resources in place for receiving, logging, and properly distributing incidents/service requests to analysts.

Maturity level #4 – “Integrated” means that the distribution system should be compatible with and facilitate the operation of the service management system. The goal should be to minimize time required for set-up – identifying request for identity, entitlement, and type of issue.

Number Maturity Level Maturity Level Description1 Just started A system and/or process is in place for properly

distributing incidents/service requests to support center analysts.

2 Some progress The distribution system provides routing capabilities, and monitors and reports upon incoming incident/service request volumes and response times to the end-user/customer.

3 Considerable progress The distribution system provides alerts to the


35

support center and to the end-user/customer when volumes peak, as well as advanced reporting capabilities.


The distribution system is integrated with the service management system.


36

4.050 Labs and equipmentThe support center has availability to hardware, software and other technology that allows the support center analyst to replicate incidents and/or problems for efficient resolution.

OVERALL COMMENTS: In addition to enhancing the ability to identify and resolve issues internally, the ability to replicate issues also

speeds overall problem identification and resolution. Maturity level #3 – It may not be necessary to replicate common systems on the agent’s workstation – only to

be able to connect to common customer configurations from the workstation for purposes of reproducing the situation.

Maturity level #4 – The point is that a means to faithfully reproduce reported incidents with less common customer configurations should be available to analysts, if not by means of a physical hardware/software lab, then by an equivalent means (such as a virtual configuration environment).

Number Maturity Level Maturity Level Description1 Just started Support center analysts have access to up-to-date

documentation for all supported systems, tools, and products.

2 Some progress Support center analysts have access to common end-user/customer systems and configurations to reproduce incidents/problems.

3 Considerable progress Common end-user/customer systems and configurations are accessible from the support center analysts’ workstations.


A lab facility or equivalent is available to support center analysts to replicate incidents on less commonly used systems, configurations and tools.


37


38

4.060 Staffing and scheduling toolsTypes and levels of staffing resources deployed within the support center must be adequate for the contracted types and levels of service provided.

OVERALL COMMENTS: Maturity level #1 – The staffing model and planning tool must consider not only the volume of

incidents/service requests, but also all of the other factors that need to be considered when planning adequate staffing: products to be supported, hours of coverage, target response times, set-up and handling times, and other activities (sick time, special projects, training, administrative activities, etc.).

Maturity level #2 – The staffing and scheduling model should provide for levels of service required – in general, and specific to customers as provided for in Service Level Agreements (SLAs). This includes hours of coverage and target response times.

Number Maturity Level Maturity Level Description1 Just started Staffing levels are based upon one or more methods

or models that account for the volume of work (including number of incidents/service requests and work time involved) in the support center.

2 Some progress Staffing levels are based upon one or more formal methods or models that accounts for required service levels.

3 Considerable progress Staffing levels are approved according the output of staffing models and planning tools.


Staffing model and planning tools have the capability to incorporate peaks and valleys in workload that routinely occur to anticipate future workload. This information is used to plan for long-term staffing strategies.


39


40

4.070 Service management systemA service management system is implemented to track and facilitate the handling of all end-user/customer incidents and/or service requests.

OVERALL COMMENTS: Maturity level #1 – at a minimum, the support center today should have an automated service management

system installed and implemented. The system should include the capability to log, update, manage and report on all incidents/requests channeled to the support center.

Maturity level #2 – “Support groups”’ are the various entities that facilitate the resolution of reported incidents – Levels 1, 2 and 3; support partners; management.

Number Maturity Level Maturity Level Description1 Just started An automated service management system is

implemented in the support center.

2 Some progress All primary support groups utilize the same service management system (or automatically share data) as their tool for tracking incidents/service requests.

3 Considerable progress The service management system provides customers with access to log their own incidents and to check status and other information. The system also provides alternate means of access to the end-user/customer (email, web, etc.).


The service management system proactively notifies end-users/customers of changes in incident status and escalates incidents if service level commitments are missed or approaching breach.


41

4.080 Remote access to systems and tools Successful support centers require effective systems and performance tools to enhance their capabilities to monitor and control resources, quickly diagnose issues, handle incidents and deliver service from and to remote locations.

OVERALL COMMENTS: This standard focuses on the extent to which the center has deployed remote access systems or tools that

allow for remote diagnostics of the customer system(s). Maturity level #3 – Achieved when the remote access system or tool is fully integrated into the normal

support process – i.e., analysts are trained and equipped to use it, it is used on a regular basis, it is monitored and reported on for effectiveness, and subject to continual improvement.

Maturity level #4 – Achieved when reporting shows that the remote access system or tool is significantly contributing to faster problem diagnosis and resolution.

Number Maturity Level Maturity Level Description1 Just started The support center has a system or tool that

provides analysts with visibility to end-users/customers’ network, workstation and supported products.

2 Some progress The system or tool provides for remote control/maintenance of network components and/or the end-user/customer’s workstation or supported products.

3 Considerable progress The remote access system or tool has become an integral and accepted component of the support process by the support center staff.


Diagnosis and resolution has significantly improved as a result of using remote systems and tools.


42


43

4.090 Knowledge ManagementSystems and methods to capture, record and share knowledge to answer common customer questions, search for known errors, and improve service to customers are critical to long-term success.

OVERALL COMMENTS: Maturity level #1 – A basic form of a Knowledge Management (KM) system must be in place and be actively

used. A KM system may range from something as simple as a Frequently Asked Questions (FAQs) list, to a sophisticated searchable database of reported incidents/service requests and known solutions.

Maturity level #3 – “Integrated” means use of the KM system is an integral part of the call handling process.

Number Maturity Level Maturity Level Description1 Just started A Knowledge Management system (or tool) is in

place and accessible to support center analysts for use during the incident resolution/service request process.

2 Some progress There is a moderate level of acceptance and use of the Knowledge Management system by the support center staff.

3 Considerable progress The Knowledge Management system has been integrated into standard workflow processes and its use is tracked and monitored. Support center staff regularly maintains and contributes knowledge content.


The Knowledge Management system has been culturally accepted by all support levels; there is a process in place that publishes appropriate knowledge to end-users/customers.


44

4.100 Integrated systems Integrated systems provide advantages to support operations by increasing efficiency, capabilities, accuracy and usefulness of information.

OVERALL COMMENTS: Maturity level #1 - Basic systems and applications for the support center include but are not limited to such

elements as the service management system and Knowledge Management system. Maturity level #4 – The goal is not just to improve efficiency and effectiveness, but to optimize operations so

that the highest level of customer satisfaction is achievable.

Number Maturity Level Maturity Level Description1 Just started All basic systems and applications necessary for

support analysts to perform their duties are accessible from a single workstation.

2 Some progress All basic systems and applications necessary for support analysts to perform their duties are accessible through a single interface.

3 Considerable progress The service management system and other support center applications are integrated to reduce manual re-entry of data.


All support center systems and applications are highly integrated to optimize efficiency, effectiveness and end-user/customer satisfaction.


45

4.110 Reporting systemsRegular use of reporting and analysis systems to monitor and manage the activity of various support center operations is crucial to optimizing quality and performance.

OVERALL COMMENTS: Level #1 – “Critical support center processes” means monitoring and reporting of response and resolution to

incidents/service requests, customer satisfaction levels, service level attainment, and support center key performance metrics.

Number Maturity Level Maturity Level Description1 Just started Monitoring, reporting and analysis of critical support

center activities are performed on a regular basis.

2 Some progress Reporting systems identify progress in performance and quality as compared to goals, and the reporting system highlights opportunities for improvement in performance and quality.

3 Considerable progress Reporting systems monitor and report performance, exceeded thresholds and quality in real time.


Content from reporting systems is regularly analyzed, optimized and presented to key stakeholders; as a result, meaningful actions and improvements are made as necessary.


46

4.120 Security Providing for the security of the support center and the information it manages is crucial for maintaining system integrity, fulfilling its mission, and maintaining the confidentiality of end-user/customer information.

OVERALL COMMENTS: Security is becoming a big issue for support centers globally – support centers must protect the data they are

entrusted with, and not allow their systems to be compromised.

Number Maturity Level Maturity Level Description1 Just started Security measures are in place to monitor and control access to

support center facilities.

2 Some progress All support staff have their own ID and password for accessing support systems; these passwords are periodically updated and changed.

3 Considerable progress Security systems and resources are assigned to safeguard assets critical to the support center (e.g., network, servers, email, workstation hardware/software, incident management system, etc.).


Security systems and resources protect personal, overall organization, and end-user/customer information from improper disclosure. Security measures are reviewed, evaluated, and updated as necessary on a regular basis.


47

Reference Area # 5 – Process and Procedure

PROCESS AND PROCEDURE DESCRIPTION – How the organization identifies, reviews, documents, and revises its processes and procedures to ensure optimal levels of support.

5.010 Proactive detection and remediationAutomated diagnostic processes are in place to detect incidents, to provide proper notifications to the support center, and to take corrective actions for these incidents.

OVERALL COMMENTS:Various tools can be used for this purpose, but the focus here is on the processes in place behind automated detection and remediation. The support organization should have a process by which they are notified when identified incidents occur (identified incidents will depend on the support center and its priorities). The process should include a standardized response plan focused on communication between teams and to the end-user/customer community.

Number Maturity Level Maturity Level Description1 Just started Processes exist to detect interruptions of supported technologies,

services or products.

2 Some progress If service is interrupted or impacted, the appropriate groups (data center, network operations center, vendor, etc.) immediately notify the support center.

3 Considerable progress The support center has automatic assignment and escalation processes are in place to initiate corrections for at least some conditions.


Processes are in place to measure, evaluate and improve the effectiveness of detection and remediation tools and processes.


48


49

5.020 Self-helpSelf-help allows end-users and/or customers to access information in order to answer common questions, request service, and resolve incidents without the assistance of a support analyst.

OVERALL COMMENTS:If self-help is provided to end-users and/or customer, strategies and processes around self-help need to be developed and maintained. In order to further improve self-help processes and the information available to end-users/customers, it is important for the support center to analyze its use and effectiveness. Self-help options may include FAQs, knowledge bases (online, within the IVR, etc.), service request forms, and the end-user/customer’s ability to log tickets and check status.

Number Maturity Level Maturity Level Description1 Just started Processes are in place to provide end-users/customers with

current fixes, patches, and updates.

2 Some progress Processes exist that allow end-users/customers to access information to answer basic support questions, and end-users/customers have the ability to log their own incidents and to check ticket status.

3 Considerable progress Self-help effectiveness, its content and usage, and self-help incident resolution is regularly reviewed and updated as necessary.


Evidence exists that self-help processes have positively impacted end-user and/or customer productivity and satisfaction.


50

5.030 End-user and/or customer satisfaction managementProcesses for measuring and managing satisfaction are critical ingredients for building end-user and/or customer loyalty and support.

OVERALL COMMENTS:End-user and/or customer satisfaction is key to the success of any support organization. The process of measuring and evaluating satisfaction levels provides valuable insight that can be used to make improvements.

Number Maturity Level Maturity Level Description1 Just started There is a process to measure end-user and/or customer

satisfaction.

2 Some progress The support center measures satisfaction against goals.

3 Considerable progress Event-based and periodic measurement processes are in place.


A comprehensive satisfaction program has been developed that includes follow-up on unsatisfied responses and plans to improve dissatisfaction.


51

5.040 Service Level ManagementService Level Management processes exist between the support center and its end-users and/or customers, suppliers, and internal support partners by use of signed Service Level Agreements (SLAs), Underpinning Contracts and Operational Level Agreements (OLAs).

Number Maturity Level

Maturity Level Description

1 Just started The support center has signed SLAs for its end-users and/or customers or customer contracts.

2 Some progress

Performance against goals is regularly measured and reported to the participants of all service agreements.


The support center has signed OLAs with its Level 2 and Level 3 support groups and Underpinning Contracts with suppliers.


Regular discussions occur with service participants to review performance against service levels for changing, enhancing or updating SLAs, Underpinning Contracts and OLAs as determined necessary.


52

5.050 Feedback managementProcesses should exist for managing communications between the support center, its end-users and/or customers, and its various support partners and suppliers.

OVERALL COMMENTS:Communication with support partners is as important as communications with the end-user and/or customer. Multiple venues for communication should be available, and feedback should be monitored to ensure resolution. With partners, this can be accomplished with meeting minutes as long as they demonstrate a progression of issues (such as an issues log). With customers, the support center should either track them as though they were calls or use a separate issues log. Maintaining this information is critical to the support center’s success and credibility.

Number Maturity Level Maturity Level Description1 Just started A process exists to capture compliments, complaints and

suggestions from end-users/customers, suppliers, and other support organizations.

2 Some progress Processes are in place to track feedback and its status.

3 Considerable progress Documented procedures are in place to capture and communicate issues, comments and questions among and between end-users, customers, suppliers and other support organizations.


A process is in place for continuous improvement of feedback management.


53

5.060 Service requestsThe support center should have processes for handling service and change requests.

OVERALL COMMENTS:Service and change requests include scheduled activities with pre-defined processes in place, such as moves, additions, and changes or system installs. These can be tracked in the incident tracking system, but should be measured separately since a different standard of service will be set for them. The process should include a way to identify incidents that result from the request.

Number Maturity Level Maturity Level Description1 Just started The support center has a process to accept service and change

requests.

2 Some progress The process is documented, regularly followed, and its ownership clearly defined.

3 Considerable progress Service and change requests are distributed per the process; all requests that are determined to be the responsibility of the support center are tracked to completion before closing the request.


A process is in place for continuous improvement of service requests.


54

5.070 Incident/service request loggingProcesses for logging incidents and service requests should exist and are routinely followed.

OVERALL COMMENTS:Documented processes should be easily accessible to support center staff to ensure consistency in logging incidents and service requests. These processes should be routinely reviewed and updated as necessary. Documenting these processes also aids in new staff training. The processes that are developed should be incorporated into the service management system.

Number Maturity Level Maturity Level Description1 Just started Documented processes exist for logging incidents and service

requests.

2 Some progress Common, known, and/or repetitively used information is supplied in an automated method to facilitate quick identification when logging incidents or service requests.

3 Considerable progress Incident logging processes are regularly maintained, followed and communicated effectively.


A process is in place for continuous improvement of incident logging.


55

5.080 PrioritizationProcesses for prioritizing incidents and service requests should be in place to ensure effective allocation and utilization of support resources.

OVERALL COMMENTS:Separate service levels are associated with the various priority levels.

Number Maturity Level Maturity Level Description1 Just started A documented incident and/or service request prioritization

scheme exists.

2 Some progress The prioritization process is routinely followed and regularly maintained.

3 Considerable progress A regularly-followed process is in place for changing priority levels of open incidents.


Service level performance is tracked and reported by priority level on a regular basis, and improvements, updates, and revisions are made as necessary.


56

5.090 Incident statusProcesses should exist for determining incident status definitions and for communicating current status back to the end-user and/or customer.

OVERALL COMMENTS:These statuses should be developed based on the needs of the customer and should be used consistently.

Number Maturity Level Maturity Level Description1 Just started Status level processes are defined and documented.

2 Some progress All incidents are assigned a status.

3 Considerable progress Incident status is routinely updated, monitored, and communicated within the support center and incident status changes are communicated to the end-user and/or customer.


The incident status process is regularly reviewed for continuous improvement.


57

5.100 Incident resolutionProcesses should exist to ensure that the end-user and/or customer have been restored to some level of working service.

OVERALL COMMENTS:A workaround may temporarily resolve the incident for the end-user and/or customer.

Number Maturity Level Maturity Level Description1 Just started There is a documented incident resolution process.

2 Some progress The process is routinely followed and maintained.

3 Considerable progress The incident resolution process incorporates escalation to appropriate people or groups if additional expertise is needed.


The incident resolution process ensures that the end-user and/or customer have received a solution to the incident that is satisfactory or has received an acceptable workaround; the process is regularly reviewed for continuous improvement.


58

5.110 Incident closureProcesses for incident closure should be routinely followed to ensure information capture and service consistency.

OVERALL COMMENTS:Closure is the final opportunity to ensure that the support center satisfactorily resolved the issue and that all required information has been correctly captured within the incident record. When implementing the process, the service management system can be designed to require certain information before the incident may be closed.

Number Maturity Level Maturity Level Description1 Just started There is a documented process for closing incidents.

2 Some progress The process is maintained and routinely followed.

3 Considerable progress The process includes procedures for re-opening a closed incident if the diagnosed root cause did not completely resolve the incident.


The process ensures end-user and/or customer satisfaction with approval to close before the incident is closed; the process is regularly reviewed for continuous improvement.


59

5.120 Problem Management The elimination of recurring incidents is critical to ongoing effectiveness and efficiency of the support organization; it minimizes a series of defects to the end-user and/or customer.

OVERALL COMMENTS:Root cause analysis can be time consuming, but will generally translate into improved efficiencies for the end-user and/or customer and less support resources dedicated to repetitive incidents. Including members of the support center staff in the root cause analysis and problem investigation process provides variety to the workday and can help to increase skill sets.

Maturity level #1 – This process may or may not have been developed by the support center.

Number Maturity Level Maturity Level Description1 Just started The support center has a documented Problem Management

process.

2 Some progress The process is routinely followed by the support center.

3 Considerable progress The support center, along with its support partners, actively participates in problem investigation and the root cause analysis process.


Infrastructure and service changes are implemented based on the results of the Problem Management process.


60

5.130 Change Management The introduction of new systems, services, documentation, capabilities, or capacities into the support center requires controlled processes to successfully implement the change into the organization.

OVERALL COMMENTS:The support center should secure a place on the Change Advisory Board to ensure involvement and input to changes that will affect the end-user and/or customer. Changes are not necessarily improvements, but every improvement is a change.

Maturity level #1 – The Change Management process may or may not have been developed by the support center.

Number Maturity Level Maturity Level Description1 Just started The support center has a documented Change Management

process.

2 Some progress These processes are routinely followed by the support center.

3 Considerable progress The support center is represented on the Change Advisory Board.


The support center is authorized to halt deployment of a change if the Change Management process has been violated or if the support center or end-user/customer community is unprepared.


61

5.140 Configuration Management Configuration Management processes should be in place in order to provide reliable and current details about support infrastructure and/or overall IT infrastructure to manage Configuration Items.

OVERALL COMMENTS:Configuration Management is helpful in determining new purchases, to provide more control over infrastructure resources, and provides necessary information for service continuity plans. Examples of Configuration Item components are hardware, software, systems, etc.

Maturity level #2 – If the support center is not responsible for Configuration Management, the support center proactively stays informed of the most current version of the process.

Number Maturity Level Maturity Level Description1 Just started Documented processes exist for the capture and storage of

configuration data.

2 Some progress The Configuration Management process is routinely followed and maintained.

3 Considerable progress Configuration Management data is used to resolve end-user and/or customer incidents.


Configuration Management data is used to support cost of ownership analysis and to provide information to make purchasing decisions.


62

5.150 Continuous improvementProcesses for continuous identification of improvement opportunities should exist.

OVERALL COMMENTS:Continuous improvement processes are necessary to ensure that the support center is functioning at peak efficiency. Support centers should consider ongoing quality improvements as part of this process.

Number Maturity Level Maturity Level Description1 Just started All key support center processes are documented and published.

2 Some progress There is a documented process to periodically review all processes and procedures for deficiencies or enhancement opportunities.

3 Considerable progress The support center regularly implements quality and ongoing improvement programs based on the review process. The results of these programs are communicated to the support center staff.


Organizations external to the support center are invited to participate in the review and improvement process.


63

5.160 Service Continuity ManagementRegularly maintained service continuity plans should exist for managing support center service interruptions due to both unexpected and planned circumstances.

OVERALL COMMENTS:The support center should understand what needs to occur in times when services are interrupted. These processes should allow for various scenarios and ensure that customers continue to receive service with little or no downtime. Testing should occur on an annual basis.

Number Maturity Level Maturity Level Description1 Just started Support center data and systems are regularly backed up and

stored in a secure area.

2 Some progress A documented service continuity plan includes replacement of customer and support center data, hardware, systems, and telecommunications infrastructure; the plan is distributed and communicated.

3 Considerable progress Specific plans exist for various scenarios (weather emergencies, fire, natural disaster, etc.) that are appropriate to the support center and its geographic location; the plan includes service level commitments for recovery.


Service continuity plans are periodically tested and routinely updated.


64

5.170 Call monitoring Call monitoring processes should be in place to allow support center management to ensure the interaction quality of support center staff with end-users and/or customers.

OVERALL COMMENTS:Some telephony systems will allow managers to listen in while analysts work with users. If this is not an option, managers should sit with their agents while they take calls to coach them, provide guidance and give praise. This monitoring should be performed regularly and documented.

Number Maturity Level Maturity Level Description1 Just started Call monitoring processes are in place.

2 Some progress The processes are maintained, documented and structured; the processes are regularly followed and communicated to staff and to end-users and/or customers.

3 Considerable progress The process allows for silent observation or recording of calls.


The monitoring results are included in the performance appraisal process and are used for continuous improvement efforts.


65

5.180 Ticket Monitoring Incident and/or service request ticket monitoring processes should be in to ensure quality documentation of tickets.

OVERALL COMMENTS:Service management systems can pull a random sample of tickets to be reviewed for quality assurance purposes.

Number Maturity Level Maturity Level Description1 Just started Documented processes for ticket monitoring are in place.

2 Some progress The processes are maintained and routinely followed.

3 Considerable progress Anonymous samples are used to provide education and training to the support center staff.


The monitoring results are included in the performance appraisal process and are used for continuous improvement efforts.


66

Reference Area #6 – People Satisfaction

PEOPLE SATISFACTION DESCRIPTION – People (support staff) drive the quality of service and support. Satisfied people are a critical ingredient to successful support. The organization’s responsiveness to the perception and feelings of the support center staff are key to its long-term success.

6.010 People satisfaction feedbackThe feedback process should measure overall staff satisfaction through collection and analysis of data and solicit suggestions to improve the work environment. Data collected should be used to develop action plans.

OVERALL COMMENTS: Feedback should be a bi-directional process. Feedback should be collected in a manner that evaluates the organization’s direct efforts to address areas

where satisfaction goals are not met. After staff ideas are evaluated, management should formally respond to the support center staff with the

results. Recognition for ideas implemented by staff should be performed in public, where appropriate. The auditor will need to identify what level of data is appropriate for the organization. Examples of the

types of feedback include culture survey, suggestions scheme, feedback and communications tools, and employee satisfaction surveys.

The organization should define their feedback goals within the business plans.

Number Rating Scale Rating Scale Description1 Measured Performance data is routinely collected.2 Comparisons to goals The organization collects data and routinely compares

performance to organizational goals or targets. Data has been collected and compared to goals for at least three months.

3 Trending to goals The organization collects data, routinely reports performance, and compares results to goals or targets. Data has been collected and compared to goals for at least six months. The results show performance trending to goals.

4 Consistently meeting The organization has met performance goals for several


67

goals reporting periods and trends indicate consistent results for at least one year.


68

6.020 People (staff) turnoverHigh turnover can be an indication of increased worker dissatisfaction. Unless the support operation is less than five people, turnover should be measured on a quarterly basis and compared against a goal. The goal should be clearly expressed in terms of business objectives. If turnover is planned (i.e. transfers within the enterprise), this turnover rate should be included when planning against the goal. (Quarterly turnover rate = number of people that leave the department during a quarter/average staff * 100).

OVERALL COMMENTS: Separate targets are recommended for both internal and external turnover. There is a need to distinguish between successful turnovers linked to career development plans

compared with turnover for negative reasons.

Number Rating Scale Rating Scale Description1 Measured Performance data is routinely collected.

2 Comparisons to goals The organization collects data and routinely compares performance to organizational goals or targets. Data has been collected and compared to goals for at least three months.


4 Consistently meeting goals

The organization has met performance goals for several reporting periods and trends indicate consistent results for at least one year.


69

6.030 Unplanned absence days per employeeExcessive unplanned absence days are often an indication of increased worker dissatisfaction. Unplanned absence and planned absence policies are separate goals. Unplanned absence days should be tracked separately from time lost due to planned absence, short-term disability or long-term disability.

OVERALL COMMENTS: The organization should have a goal for planned absence and unplanned absence and perform monitoring on both, as well as tracking the unplanned days. This will review whether staff is taking their planned absence entitlement. If staff is not taking their full planned leave entitlement, this may also be an indication of problems.







70


71

Reference Area #7 – End-User/Customer Satisfaction

CUSTOMER SATISFACTION DESCRIPTION –The end-user and/or customer's perception of the services provided by the support center, relative to the maturity of the support organization, must align to overall business objectives. Cultural consideration should be given to how each of the standards is achieved.

7.010 Periodic end-user/customer satisfaction measurementPeriodic satisfaction measurement methods should be in place to regularly assess the level of overall satisfaction as related to key metrics of the support center (e.g., quality of support, accessibility, time to resolution, etc.).

OVERALL COMMENTS:Periodic satisfaction measurement should be performed on a regular basis, at least annually and preferably quarterly. Data collected should be representative, of sufficient sample size, and with sufficient response rates. This survey should include those who do not utilize the support center as well as all those who do. Measurements and reporting should allow for analysis of all meaningful groups/teams. End-users/customers should be surveyed as to their satisfaction with channels (email support, self-service, etc.). Satisfaction goals should be set at a high level, consistent with appropriate industry standards. Consideration should be given to the maturity or optimization of the support desk in that highly optimized support desks may have reduced elementary incidents and thus have more complex calls requiring longer resolve times.



3 Trending to goals The organization collects data, routinely reports performance, and compares results to goals or targets. Data has been collected and compared to goals for at least six months. The


72

results show performance trending to goals.




73

7.020 Event-based end-user/customer satisfaction measurementEvent-based end-user/customer satisfaction measurement processes should be in place to regularly assess satisfaction rates associated with individual incidents and service requests.

OVERALL COMMENTS:Event-based satisfaction measurement should be performed on a consistent basis and analyzed/reported at least monthly. Data collected should be representative, of sufficient sample size, and with sufficient response rates. Measurements and reporting should allow for analysis of all meaningful groups/teams and of satisfaction with channels (email support, self-service, etc.). Satisfaction goals should be set at a high level, consistent with appropriate industry standards. Consideration should be given to the maturity or optimization of the support center in that highly optimized support centers may have reduced elementary incidents and have more complex calls requiring longer resolve times.







74


75

7.030 End-user/customer feedbackComplaints, suggestions, and compliments from end-users/customers should be routinely collected from all possible sources and through all possible methods.

OVERALL COMMENTS:Feedback should be measured in percentages against total contact volume per reporting period, and goals for improvement should be set. This feedback should be consistently measured, analyzed, reported, and followed up. Results should be reported at least quarterly and preferably monthly. Reaching above a “1” in the rating scale for this standard requires that specific performance goals exist for direct customer feedback. There are a number of ways to establish goals for these criteria. Some possibilities are: certain percentage of clientele that provide feedback each month or quarter, or number of feedback "instances" received of any type or of specific types (suggestions, complaints, etc.). Methods for soliciting direct feedback could include special surveys, suggestion boxes, web page/intranet, focus groups/brown bag luncheons, joining customer meetings, conference calls, etc.







76


77

Reference Area #8 – Performance Results

PERFORMANCE RESULTS DESCRIPTION – The support organization’s performance results against planned performance.

8.010 Number of incidentsThe number of incidents reported to the support center by channel or method (phone, e-mail, customer logging, fax, etc.) is measured on a consistent basis.

OVERALL COMMENTS:The intention of this standard is to determine the workload of the support organization. Collecting frequency data on the number of incidents is imperative in making decisions – such as appropriate staffing – and to show the value the support center provides to the company. Incident measurement is the basis for many other support center measurements.







78

8.020 Average time to respond The average time required for the organization to acknowledge an incident or service request by channel or method (phone, e-mail, customer-logged, fax, etc.).

OVERALL COMMENTS:Metrics are collected to determine how quickly the support organization responds to their end-users/customers. This standard does not measure whether or not the problem has actually been resolved. A response may be made by an analyst or through an automated mechanism (though acknowledgement of receipt is not considered an acceptable response for this standard). Metrics are usually available through the service management, email management and/or web reporting systems.







79

8.030 Abandon rate The number of end-user/customer attempts to contact the support center by telephone that are terminated by the end-user/customer prior to establishing contact with a support analyst.

OVERALL COMMENTS:This information should be available through the ACD or phone system and is calculated by dividing the number of abandoned calls by the total number of (incoming) calls. The support center should be aware of the total number of abandoned calls, even if some abandoned calls are not reported. If no abandon calls are reported, the support center should explain why not reporting all calls is appropriate in that environment, and report both sets of data for this standard. The abandon rate allows the support organization to see how accessible it is to its customers and determine how often customers may be frustrated with service.

Number Maturity Level Maturity Level Description

1 Measured Performance data is routinely collected.






80

8.040 Incident resolution timeThe average time to resolve an incident compared to goals/objectives in the Service Level Agreement.

OVERALL COMMENTS:Organizations are expected to measure resolution times for different categories of incidents (such as by customer type, priority, etc.) depending upon the objectives that are relevant to the business and to Service Level Agreements. Reporting is generally pulled from the service management system and allows the support organization to determine how quickly they are able to return end-users/customers to full functionality.







81

8.050 First contact resolution rate (excludes entitlement)The number of incidents resolved during initial interactions or exchanges between the end-user/customer and the support center.

OVERALL COMMENTS:First contact resolution refers to the number of exchanges between the customer and the support center that are resolved and closed on the first contact, without any additional interaction. The initial interaction could be via phone, chat, desk side visit or other appropriate method. Metrics for first contact resolution are generally available from the service management system and is calculated by dividing the number of incidents resolved on first contact by the total number of incidents. Entitlement interactions are not considered first contact for this standard. Entitlement refers to the process that verifies the right to support before support is provided.







82

8.060 Reopened incident rateThe number of closed incidents and requests that are subsequently reopened for additional follow-up.

OVERALL COMMENTS:This standard refers to incidents, service requests, change requests, etc. that are re-opened following closure. Some systems or processes may not allow closed incidents to be re-opened. If this is the case, measurement can be achieved by measuring the number of new incidents that are the result of closed incidents.







83

8.70 Backlog management The total number of open incidents or service requests compared to their age.

OVERALL COMMENTS:Backlog management is an important activity for every support center. Understanding the number of open incidents (or service requests) and the age of these open tickets are important since it impacts on the ability of the organization to meet their service level goals. Backlog also needs to be considered to determine staffing and scheduling.







84

8.080 Hierarchical escalations The number of incidents or service requests escalated to management.

OVERALL COMMENTS:Measurement of all incidents and service requests from end-users/customers that are escalated to management is necessary to track missed Service Level Agreements, irate customers, etc. This information allows the support organization to see how frequently management needs to become involved with end-users/customers and operations. This data should be available through the service management system.







85

8.090 Technical escalation The number of incidents or service requests escalated due to technical difficulty.

OVERALL COMMENTS:To calculate, divide the number of incidents by the total number of incidents or service requests escalated to higher levels.







86

8.100 Resolution time distributionDistribution of resolution times by severity, category, etc.

OVERALL COMMENTS:Support center should present categorical data on measurements appropriate to the organization based on business objectives, SLAs, OLAs, etc. Ideally, the support center should measure and analyze more than just the average resolution time. The goal with this standard is to present a “snapshot” of support center resolution time across all categories.







87

8.110 Self-help useThe number of times that self-help tools assist in the incident resolution, service request and change request process.

OVERALL COMMENTS:Self-help may be transactional, may reside in an accessible knowledge base, or may serve to fulfill service requests for infrastructure needs. Examples are online knowledge bases, automated password-reset or electronic order forms for new equipment. No interaction with a person in the support organization is necessary for self-help use by the customer.







88

8.120 Cost per contract, end-user, and/or customerTotal support cost of each contract, end-user or customer.

OVERALL COMMENTS:Total end-user/customer and/or contract cost needs to be determined for future planning, staffing levels, and for update of SLAs or OLAs. To calculate total cost, take the total cost of the support organization – including staff, infrastructure, and overhead – and divide by total number of end-user/customers, contracts or potential customers. The results should be divided across types of incidents/service requests, services provided, and types of end-users/customers or contracts to determine where the greatest amount of the support budget is spent. Breaking out measurement of these costs related to category, type of incident, etc. is determined by service promised in SLAs.







89

8.130 Cost per incident The per-incident cost of the support center’s operations (including people, support infrastructures, and overhead).

OVERALL COMMENTS:To measure cost per incident, divide the cost of the support center’s operations by the total number of incidents received.







90

maturity level description

Technology

industry standards

standards statements

standards document

hdi certified support

hdi scc program

support organizations

support centers

support services industry