Call Center Review Project #2000-04 Page 1 of 5 Audit Program
Given Given the audit superv superviso isor's r's approval, approval, steps may may be added added or delete deleted d from from the program program after after the completion of the audit preparation steps. SUPERVISOR SIGNATURE: Audit Objectives: 1. Determine Determine if the call call center center has a process process for establis establishing hing and measurin measuring g goals and objecti objectives. ves. 2. Evalua Evaluate te call call center center report reportss provide provided d to manageme management. nt. 3. Evaluate Evaluate the plannin planning g and managemen managementt processes processes used used in call call center center operations operations.. 4. Note any efficie efficiency ncy and effect effectivenes ivenesss issues that that are encounter encountered ed during during the review. review.
Obj.
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Audit Preparation 1) Determine if any previous deficiencies were noted by management
prior to the audit and if they have been resolved. 2) Gain an under understand standing ing of call call center center manageme management nt in general. general. 3) Review any documented procedures or written procedures related to
the call center operations. 4) Review copies copies of all all forms used in in call center center processe processes. s. 5) Review job descript descriptions ions of all all individu individuals als involved involved in the the process. process. Indicate any areas of possible duplication of effort, of duties listed which are inconsistent with procedures told to auditor, of insufficient segregation of duties, etc. 6) Document, Document, with narrati narrative ve or flowchart flowchart,, procedures procedures perfor performed med in the call center.
Management Objectives
(1)(3)
1) Discuss the establishment and measurement of goals and objectives
with the call center manager. manager. Determine if the process process includes the establishment of objectives, measurement of results, analysis of information collected, and revision of objectives if necessary.
(1)
2) Obtain Obtain recent recent call center center reports reports that that were provid provided ed to management. management. Evaluate the reliability, relevance, completeness and timeliness of the reports.
(1) (3)
3) Evaluate Evaluate the the process process for for determin determining ing service service level. level.
(3)
4) Evaluate Evaluate the the method method of foreca forecasting sting call load.
(3)
5) Evaluate Evaluate the method method of of calculati calculating ng base base staff requiremen requirements. ts.
(3)
6) Evaluate Evaluate the calcul calculation ation to accoun accountt for staff staff shrinkage shrinkage due due to breaks, breaks, lunch, other duties, etc.
Call Center Review Project #2000-04 Page 2 of 5 Audit Program Obj.
Step
(3)
7) Gain an unders understandi tanding ng of how schedu schedules les are created created and and determine determine any efficiency/effectiveness efficiency/effectiveness issues relating to the process.
(3)
8) Determine Determine if costs costs for the curren currentt service service level level have been been calculated calculated and compared to costs of higher and lower levels of service.
(1,2)
9) Determine Determine the the level of of training training offered offered to to call center center employ employees. ees.
(2)
10) Gain an understanding of the capabilities of the Automated Call
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Distribution (ACD) system. Evaluate ERS's use of ACD capabilities. capabilities.
(2)
11) Determine if an acceptable acceptable level of abandoned calls has been established. If so, determine how abandoned call rates are monitored and what actions are taken if abandoned calls are too high.
Monitoring Systems
(1,2)
1) What feedback or reports and skill assessment capabilities are
utilized?
(1, 2, 3 4)
2) How is data collect collected ed for performance performance and are are there there common common standards of performance? Are any standards benchmarked and reported to management? Does management know what service levels are not being met?
( 2)
3) Is any historical historical data data used used (i.e., (i.e., number of of calls per month, month, time of year, types of calls, minutes allocated per call, etc?
(1, 2, 3 4)
4) How is the call call center center data data and local hotel property property data monitor monitored ed and controlled? What call center software is used and how does management monitor performance, versions, etc.?
(1, 2, 3 4)
5) Is there a call center center queue queue (caller (callerss on hold)? hold)? How many many callers callers can be placed on hold? How is the queue monitored? How is queue administrated (callers versus workers, what is tolerance level of callers, sorted by dollars spent, frequent customer or member, etc?
(1, 2)
6) What type type of reader reader board board is used? used? Is the the reader reader board board software software based based of manual? What is the refresh rate of the reader board?
(1, 2)
7) Are skills based routing used? If so, how are calls routed?
Order Processing
(1, 2, 3 4)
1) How is backend backend and and front front end end systems systems integrat integration ion handled handled??
(1, 2, 3 4)
2) Can call call records records be be used used by the employee employeess throughou throughoutt the organization? How is privacy controlled? How does customer history appear? How is information shared or used by local property?
Call Center Review Project #2000-04 Page 3 of 5 Audit Program Obj.
Step
(3)
3) If a caller caller requests requests informatio information, n, how does does customer customer find the the answer? answer?
(1, 2, 3 4)
4) How is inventory inventory betwee between n hotel hotel and call center center updated? updated?
(1, 2, 3 4)
5) How is data used used for for post sale sale follow-u follow-up? p? How is credit credit card card information controlled and accessed accessed by other departments? departments? How is transfer of data to other in-house areas controlled?
(1, 2, 3 4)
6) What are are the software software links to accoun accounting ting and accounts accounts receivable receivable?? How is this information controlled?
(1, 2, 3 4)
7) How does does call center center softwa software re integrate integrate with with accountin accounting g and accounts accounts receivable? How is access controlled?
(1, 2, 3 4)
8) How are web based sales processed? Does web based sales properly
(1, 2, 3 4)
9) How are are gift certificat certificates es accounted accounted for? Who controls controls this? Who issues gift certificates?
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update inventory within call center and property? Is web pricing and availability updated regularly? If, so who controls and how is it updated? How are emails, online complaints and questions resolved?
Call Center Change Management Controls
(1,3, 4)
1) Requests Requests for program program changes, changes, system system change changess and maintenance maintenance (including changes to system software) are standardized, documented and subject to formal change management procedures.
(3, 4)
2) Information Technology management will ensure Major Changes
have signatory approval of senior management prior to production. IT Management must approve all change requests, with required Capital Expenditure (CE) being forwarded to Company ABCD Management for approval.
(3, 4)
3) A Change Change Assessme Assessment nt must be performe performed d prior prior to implemen implementing ting any any changes and require proper managerial approval. IT Management confirms the Change Assessments include: Impact Description • Business Risk • Backout Plan • Personnel Involved in the Rollout and Testing •
(3, 4)
4) A change change request request will will only be closed closed when when the the users and process process owner agree the changes operate properly.
(3, 4)
5) Emergency Emergency change change reque requests sts are documented documented and and subject subject to formal change management procedures.
Call Center Firewall and AntiVirus Controls
Call Center Review Project #2000-04 Page 4 of 5 Audit Program Obj.
Step
(1, 3, 4)
6) Is the call call center center software software is is protected protected by firewa firewall? ll? Does Does a Firewall Firewall Policy exists? Deviations from the Policy require approval of the Network Administrator and Network Director; documented in an Incident Report.
(1, 3, 4)
7) Company ABCD implements an integrated antivirus and intrusion
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detection technology which is based upon pattern definition files supplied and updated from the OEM on a daily basis. Is the call center covered under this technology?
(1, 3, 4)
8) Are all all inbound inbound email processed processed throug through h approved approved Anti-Virus Anti-Virus software? In-bound email is subjected to antivirus and anti-spam inspection using virus definition files which are automatically updated via subscription service.
(1, 3, 4)
9) Are all all call center center workstation workstations, s, laptops laptops built built using a standard standard image image file which includes anti-virus real-time protection (reference: Laptop/Workstation Standard Configuration)? Any deviation from the standard must be explicitly approved and documented within the change record by the Network Director/or VP of Information Technology.
(1, 3, 4)
10) Is call center Antivirus equipment or software automatically generating and storing detailed logs relating to antivirus and intrusion detection events as well as updates?
Call Center Backup and Recovery Controls
(1, 2, 3, 4)
1) A backup backup review review process process occurs occurs for all all new call call center center data data or system system software, and for significant changes to call center data and systems. The review is documented and approved in the change management system prior to initiation of the change to the backup schedule.
(1, 2, 3, 4)
2) Call center center software, software, data, and operat operations ions are included included in current current Disaster recovery plans cover Prevention (pre-disaster), continuity (during a disaster): and recovery (post-disaster). Steps are identified and required for the restoration of all systems and resources to full, normal operational status.
Call Center Logical Access Controls
(1, 2, 3, 4)
1) Data Security Security Administratio Administration n and Account Accountability ability is establishe established d and regularly updated.
(1, 2, 3, 4)
2) Programmers Programmers have have unique unique user user IDs and passwor passwords. ds. System access access to the call center software are consistent with job functions and all changes to the system security software are approved by management or security administrator. Changes and approvals are recorded.
Call Center Review Project #2000-04 Page 5 of 5 Audit Program Obj.
Step
(1, 2, 3, 4)
3) If a new new user user is created created,, is there there a complete completed d Service Service Account Account Request, with an attached email that is sent to the recipient’s direct manager requesting authorization to create the account. (The CIO or Network Security Manager can authorize in lieu of the direct manager).
(1, 2, 3, 4)
4) The call call center center manager manager will compare compare the Service Service Access Access Reports Reports with the HR Staff Audit Report for validation and verification of each user and appropriate user access level.
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