Guia Completo para ITIL4 - Desenho de Serviço INGLES

HDI Support Center
Certification Audit Report
REDACTED
IT Support
1340 Pickering Parkway, Suite 101

Pickering, ON L1V 0C4,
On-site Visit Dates: July 06-10, 2020

(undertaken via virtual meetings)
Draft Report Date: July 22, 2020

Final Report Date: July 28, 2020
Information Classification: General

HDI SUPPORT CENTER CERTIFICATION REDACTED
Audit Report Page 2
Table of Contents
1. MANAGEMENT SUMMARY ........................................................................................................ 6
1.1 Preface ............................................................................................................................................6
1.2 Executive Summary.........................................................................................................................6
1.3 Certification status........................................................................................................................10
1.4 Word of Thanks .............................................................................................................................10
2. WORK PERFORMED ..................................................................................................................11
2.1 Pre-Audit Review of Documentation ............................................................................................11
2.2 On-Site Audit .................................................................................................................................11
2.3 List of Evidence .............................................................................................................................11
2.4 Interviews Conducted ...................................................................................................................11
2.5 Analysis of Data Collected ............................................................................................................13
2.6 HDI Review ....................................................................................................................................13
3. RATING METHODOLOGY ...........................................................................................................14
4. MATURITY LEVELS ....................................................................................................................15
4.1 Enabler Categories ........................................................................................................................15
4.2 Results Categories.........................................................................................................................15
5. SUMMARY OF RATING SCORES .................................................................................................16
5.1 Rating Scores in Tabular Format ...................................................................................................16
5.2 Rating Scores in Graphical Format................................................................................................17
5.3 Activity Rating Scores....................................................................................................................18
Enablers ..............................................................................................................................................18
Results ................................................................................................................................................21
6. RATING REMARKS ....................................................................................................................23
6.1 1.0 Leadership ...............................................................................................................................23
1.010 Alignment to Organization .......................................................................................................24
1.020 Integration within Support Model ...........................................................................................25
1.030 Resource Allocation and Alignment .........................................................................................26
1.040 Promoting Teamwork ..............................................................................................................27
1.050 Marketing and Promotion ........................................................................................................28
©2018, HDI, All Rights Reserved, Final: July 28, 2020

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1.060 Distribution and Communication of Information ....................................................................29

6.2 2.0 Strategy and Policy .................................................................................................................30
2.010 Purpose ....................................................................................................................................31
2.020 Goals and Objectives................................................................................................................32
2.030 Operational Plans .....................................................................................................................33
2.040 Stakeholder Engagement .........................................................................................................34
2.050 Service Improvement Plans .....................................................................................................35
2.060 Support Center Services Definition..........................................................................................36
2.070 Security of Systems and Information .......................................................................................37
6.3 3.0 Staff Management ..................................................................................................................39
3.010 Job Descriptions .......................................................................................................................40
3.020 Orientation Training Plans .......................................................................................................41
3.025 Ongoing Skill Assessment and Training Plans ..........................................................................42
3.030 Career Development Plans ......................................................................................................43
3.040 Performance Management ......................................................................................................44
3.050 Staff Satisfaction Management................................................................................................45
3.060 Compensation Program ...........................................................................................................46
3.070 Recognition and Reward Programs .........................................................................................47
3.080 Workforce Management..........................................................................................................48
3.090 Retention Program ...................................................................................................................49
6.4 4.0 Resources ................................................................................................................................50
4.010 Financial Resources ..................................................................................................................51
4.020 Physical Environment and Ergonomics ....................................................................................52
4.030 Infrastructure ...........................................................................................................................53
4.040 Incoming Contact Distribution System ....................................................................................54
4.050 Investigation and Diagnosis Resources ....................................................................................55
4.060 Workforce Management Tool/System ....................................................................................56
4.070 Service Management Tool/System ..........................................................................................57
4.080 Remote Support Tools .............................................................................................................58
4.090 Knowledge Management Tool/System....................................................................................59
4.100 Knowledge Resources ..............................................................................................................60
4.110 Reporting Tool/System ............................................................................................................61
6.5 5.0 Process and Procedure ...........................................................................................................62

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5.010 Event Management ..................................................................................................................64

5.020 Customer/User Satisfaction Management ..............................................................................65
5.030 Service Level Management ......................................................................................................66
5.040 Feedback Management ...........................................................................................................67
5.050 Request Fulfillment ..................................................................................................................68
5.060 Incident Management ..............................................................................................................69
5.065 Logging of Incidents/Requests .................................................................................................70
5.070 Categorization of Incidents/Requests ......................................................................................71
5.080 Prioritization of Incidents/Requests ........................................................................................72
5.090 Status Levels of Incidents/Requests ........................................................................................73
5.095 Initial Investigation and Diagnosis of Incidents .......................................................................74
5.100 Escalation of Incidents/Requests .............................................................................................75
5.110 Resolution of Incidents ............................................................................................................76
5.120 Closure of Incidents .................................................................................................................77
5.125 Reopening of Incidents ............................................................................................................78
5.130 Problem Management .............................................................................................................79
5.140 Change Management ...............................................................................................................80
5.150 Service Asset and Configuration Management .......................................................................81
5.160 Continual Improvement of Support Center Processes/Procedures ........................................82
5.170 Support Center Service Continuity Management ....................................................................83
5.180 Quality Assurance Management ..............................................................................................84
6.6 6.0 Staff Satisfaction Results.........................................................................................................85
6.010 Staff Satisfaction ......................................................................................................................86
6.020 Turnover ...................................................................................................................................87
6.030 Unplanned Absence .................................................................................................................88
6.040 Utilization .................................................................................................................................89
6.7 7.0 Customer Satisfaction Results ................................................................................................90
7.010 Periodic Satisfaction Results ....................................................................................................91
7.020 Ongoing Satisfaction Results ....................................................................................................92
7.030 Feedback Results......................................................................................................................93
6.8 8.0 Performance Results ...............................................................................................................94
8.010 Number of Incidents/Requests Logged ...................................................................................96
8.013 Number of Incoming Contacts .................................................................................................97

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8.016 Self-Service Effectiveness.........................................................................................................98

8.020 Average Time to Respond ........................................................................................................99
8.030 Abandon Rate.........................................................................................................................100
8.040 Incident Resolution Time .......................................................................................................101
8.050 First Contact Resolution Rate ................................................................................................102
8.055 First Level Resolution Rate .....................................................................................................103
8.060 Reopened Incidents ...............................................................................................................104
8.070 Backlog ...................................................................................................................................105
8.080 Hierarchical (Management) Escalations ................................................................................106
8.085 Functional Escalation within Support Center ........................................................................107
8.090 Functional Escalation outside Support Center ......................................................................108
8.100 Incident Resolution Time Distribution (Resolved by Support Center)...................................109
8.110 Knowledge Management Link Rate .......................................................................................110
8.120 Cost per Unit ..........................................................................................................................111
8.130 Quality ....................................................................................................................................112
7. AUDITOR INFORMATION ........................................................................................................ 113
7.1 Auditor ........................................................................................................................................113
7.2 Reviewing Auditor.......................................................................................................................114
8. HOW TO CONTACT US ............................................................................................................ 115
9. APPENDIX: HDI SUPPORT CENTER STANDARD REFERENCE MODEL .......................................... 116
9.1 Leadership...................................................................................................................................116
9.2 Strategy and Policy .....................................................................................................................116
9.3 Staff Management ......................................................................................................................117
9.4 Resources ....................................................................................................................................117
9.5 Process and Procedure ...............................................................................................................117
9.6 Staff Satisfaction Results.............................................................................................................117
9.7 Customer Satisfaction Results ....................................................................................................118
9.8 Performance Results ...................................................................................................................118

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Audit Report Page 6
1. Management Summary
1.1 Preface
This report summarizes the HDI Support Center Certification audit performed for the
REDACTED IT Support located at 1340 Pickering Parkway, Suite 101 Pickering, ON L1V
0C4. This audit was conducted to assess the maturity of IT Support based on the HDI
Support Center Standard against the certification requirements for the HDI Support Center
Certification program.
IT Support submitted documentation prior to the on-site audit for review by the HDI
Certified Auditor. The on-site audit was scheduled and performed July 06-10, 2020
(undertaken via virtual meetings). During the on-site audit, the HDI Certified Auditor
conducted interviews with management, staff, and customer representatives; observed the
support center activities; and reviewed additional documentation to gather evidence to
assign maturity ratings for each activity. Upon completion of the on-site visit, analysis of all
of the information collected was performed off-site to calculate the audited rating scores
and prepare this report. The results of the certification audit are included in this report along
with remarks that substantiate the audit ratings.
1.2 Executive Summary

REDACTED’s IT Support engaged HDI to conduct the HDI Support Center Certification
audit to assess compliance with the HDI Support Center Standard for the purpose of
achieving HDI Support Center Certification. This report provides the results and findings
arising from this audit.
Scope of Support
REDACTED provides the assessment values of all properties in the province of Ontario.
These assessment values form a significant part of the property taxation base for all Ontario
municipalities.
IT Support provides the main interface to IT services for REDACTED’s approximately
1800 employees located in over 25 offices throughout Ontario. IT Support includes a staff
of over 30 located within the head office and distributed among a number of field offices.
While some IT Support are assigned to the role of a traditional service desk, all
Technology Infrastructure Analysts (TIA) provide frontline support, though many also
provide desk-side support services.
The majority of the 7000+ contacts handled every month are received via electronic
channels, and as such, phone support plays a lesser role than in most service desks.
However, IT Support provides a high level of service to its customers, achieving excellent
levels of first contact resolution rates and minimal occurrences of breaches in their service
level commitments.
The REDACTED organization has adopted Agile and IT Support has integrated this
methodology into its operating model. Improvement projects are managed through
sprints and quality improvement initiatives are identified, assessed, and completed using
Kanban. This has

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allowed IT Support to become very nimble in reacting to customer needs and committed to
quality improvement.
Strengths
IT Support has done an admirable job in preparing itself to achieve HDI Support Center
Certification. As can be seen in the chart below, the results show that the organization is well
balanced across most categories, showing no significant weak areas.
Leadership and Customer Satisfaction are key strengths reflecting IT Support management’s
commitment to the larger organization and IT Support staff commitment to its customers.
The tools and technologies (Resources) are well utilized and the organization is not hesitant
to adopt new technologies when an improvement in service delivery can be justified.
Some staff have been in their roles for many years and turnover is almost non-existent.
However, satisfaction remains high, reflecting well on the culture cultivated within the
organization.

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Category Category Weighting Audited Passing Variance

ID Name % Rating Rating
1.0 Leadership 10% 4.0 2.3 1.7

2.0 Strategy and Policy 10% 2.9 2.3 0.6
3.0 People Management 10% 2.9 2.3 0.6
4.0 Resources 10% 3.4 2.3 1.1
5.0 Process and Procedure 20% 3.0 2.3 0.7
6.0 People Satisfaction Results 10% 3.3 2.3 1.0
7.0 Customer Satisfaction Results 15% 3.6 2.3 1.3
8.0 Performance Results 15% 3.1 2.3 0.8
Overall 100% 3.3 2.5 0.8
Opportunities for Improvement

The benefit of subscribing to the comprehensive HDI Support Center Standard and the HDI
Support Center Certification program is that the audit process identifies opportunities to
raise the maturity of a support organization. Some of the opportunities that may want to be
considered follow:
2.010 Purpose – Strengthening understanding of the IT Support mission and involving staff in
a review process would help reinforce commitment and alignment to it.
2.030 Operational Plans – Consider developing an operational plan will provide an overview
of support, responsibilities, operating guidelines, and insight into initiatives. Include
topics that a new manager would need to know to take over support operations.
2.050 Service Improvement Plans – Initiatives should undergo longer-term monitoring of
outcomes to prove sustained performance.
3.025 Ongoing Skills Assessment and Training Plans – Skills assessments are being used to
identify immediate training needs, but this should not circumvent forecasting and
developing longer-term training plans. Include training strategy in operational plans.
3.040 Performance Management – Closer alignment of objectives in Performance
Management Appraisals with overall IT Support goals and operational measures would
help staff feel they are directly contributing to IT Support’s success.
3.090 Retention Program – Continue formalizing current retention activities into a
documented retention process that is monitored and measured.
5.010 Event Management – Formalize the criteria and process that will ensure IT Support is
notified upon service iREDACTEDting events detected by other support teams and
monitoring tools. Clarify responsibilities, methods, and timeframes for alerting the user
community in advance of inquiries to support.

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5.xxx – Workflows provide a roadmap to staff regarding execution of a process. Consider

adding workflows to process documentation. Extracting common procedural or
supporting information separate documents will reduce the need to update simil ar
information found in various documents. Replacing staff names with roles will also limit
the number of updates required whenever there is a change in roles within the
organization.
5.050 Request Fulfilment – The current process does not adequately identify the
requirements for request approvals prior to fulfilment.
5.080 Prioritization of Incidents/Requests – Define the criteria that allow for a change in
priority of an active ticket and the procedures to support the change such as
notification to management or documentation in comments when a higher priority
issue is downgraded.
5.090 Status Levels of Incidents/Requests – Developing a workflow of the process and
decision points regarding the management of ticket status could help with efforts to
clarify and optimize status management. Due date filters might help reduce the number
of times an open ticket is being accessed to review its status.
5.100 Escalation of Incidents/Requests – Include procedures for properly conducting a
hierarchical escalation.
5.110 Resolution of Incidents – More clarity could be provided in procedure documentation
regarding the type of resolution information that should be documented within the
ticket, and whether restoration of service has been verified.
5.120 Closure of Incidents – Review the use of the Close functionality within Jira and the
process/message notifying reporters of impending closure.
5.125 Reopening of Incidents – Procedures are not clear as to how a TIA is to handle the
reopening of a Closed incident (as opposed to a Resolved one).
5.140 Change Management – Consider a methodology to link process/procedure/training
changes that result from a sprint or Kanban into a change management process to
provide traceability.
5.160 Continual Improvement of Support Center Processes/Procedures – Maintaining a
listing of key documents along with their desired review cycle would ensure that all
identified documentation is audited for improvement at least annually.
5.170 Support Center Services Continuity Management – Identify the scenarios for which IT
Support has planned contingencies. Identify governance procedures for invoking and
restoring services.
6.040 Utilization – Consider developing a method to track actual effort associated with
resolution of a ticket as a measure of utilization of staff.
7.010 Periodic Satisfaction Results – Add a question on user’s overall satisfaction with IT
Support as a baseline measure and consider adding some questions related specifically
to attributes of IT Support services.
8.010 Number of Incidents/Requests – Clarify the goal. Is exceeding the target good or bad?
Are efforts needed to reduce the volume? If the goal is to manage the volume and

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staffing costs, perhaps setting the goal as a band (+x% and – y% of forecast) could
better show performance. Showing volumes as a stacked bar of incidents and requests
may provide insight into trends.
8.013 Number of Incoming Contacts – Data should measure the actual contacts. What
number of emails, chats, IM contacts and phone calls are being handled that are not
getting logged?
8.030 Abandon Rate – Reporting monthly could better identify inconsistencies in service
levels.
8.050 First Contact Resolution Rate – Clarifying criteria that constitute FCR would provide
validity to data.
8.070 Backlog – Tracking improvement on both volume and days open might be easier if
considered as an inventory that incorporates the actual number of days open for each
ticket. (# of tickets open x number of days open).
8.110 Knowledge Management Link Rate – The target is low and may not reflect the desired
goal of increasing the use of the knowledge base.
8.120 Cost per Unit – Adding a target can help drive the organization toward management
of the cost per ticket.
1.3 Certification status

REDACTED’s IT Support has achieved status as an HDI Certified Support Center with an
overall rating of 3.3. The certification is valid for two years, from July 2020 to July 2022.
1.4 Word of Thanks

HDI thanks the management and staff of REDACTED for their cooperation throughout the
audit preparation, during the on-site audit, and subsequent collection and verification of
additional information. The management and staff of REDACTED were honest and open,
allowing the auditor to understand the environment which facilitated the objective rating of
maturity. The professionalism and commitment to achieving certification that was displayed by
the audit preparation team, led by REDACTED, are highly commended.

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2. Work Performed
2.1 Pre-Audit Review of Documentation
HDI provided IT Support with a list of documentation to gather and submit prior to the on-
site audit. IT Support provided the documentation (Pre-Audit Binder) to HDI on May 21,
2020. The HDI Certified Auditor reviewed the materials prior to the site visit.
2.2 On-Site Audit

The on-site audit was scheduled for and performed July 06-10, 2020 (undertaken via virtual
meetings), and was conducted by Darrell Bond, HDI Certified Auditor. The on-site audit
included interviews, observation, and review of confidential information. Collecting evidence
to substantiate the objective determination of the rating scores is the primary purpose of
the on-site audit.
2.3 List of Evidence

1. Pre-Audit Questionnaire
2. Pre-Audit Documentation
3. On-site Interviews
4. On-site Observation
5. Confidential Documentation (reviewed on site)
2.4 Interviews Conducted

The following table identifies those persons included in the on-site interviews and their
respective roles within the organization.
Date Time Name Title
06-Jun 8:30 - 9:20 AM Director, IQSS
Manager, IT Support
Manager, IT Support
Sr. Technology Infrastructure
Analyst (TIA)
Systems Integration Lead
9:30 - 10:55 Director of Information Quality
and Support Services (IQSS)
11:00 - 13:10 Manager, IT Support
Manager, IT Support
Manager, IT Support
Manager, IT Support
07-Jun 08:00 - 09:00 Director, IQSS
Manager, IT Support
Manager, IT Support

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Sr. TIA
Manager, IT Support
Manager, IT Support
14:35 - 16:15
08-Jun 08:00 - 08:15 Director, IQSS
Manager, IT Support
Manager, IT Support
Sr. TIA
Sr. TIA
11:00 - 12:00 Senior TIA (Head Office)
Manager, IT Support
13:30 - 17:20
09-Jul 08:00 - 08:30
Director, IQSS
Manager, IT Support
Manager, IT Support
Sr. TIA
8:30 -9:30 Manager, IT Support
9:30 - 10:15 TIA
10:00 - 11:00 TIA
11:00 - 11:45 Sr. TIA (Head Office)
12:30 - 13:15 TIA
13:15 - 14:00 TIA - IQSS
14:00 - 14:50 Sr. TIA
16:00 - 16:15 Director, IQSS
Manager, IT Support
Manager, IT Support
Sr. TIA
Director, IQSS
Manager, IT Support
10-Jul 08:00 - 9:00 Manager, IT Support
Sr. TIA

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9:05 - 10:00 TIA

System Integration Lead, Cloud
10:00 - 10:30
Operations Team
10:35 - 10:55 IT Security Architect
TIA - Network Infrastructure
11:00 - 11:30
Team
Director, IQSS
Manager, IT Support
Sr. TIA
2.5 Analysis of Data Collected

Darrell Bond, HDI Certified Auditor, analyzed all the data collected in order to calculate the
audited rating scores and prepare the audit report.
2.6 HDI Review

Upon completion of the calculation of the rating scores and preparation of the audit report,
the HDI Certified Auditor submitted the audit materials and audit report to HDI along with
the auditor’s recommendation with regard to certification. A thorough review was
conducted to confirm the accuracy and integrity of the audit report. This review was
conducted by Steve Matthews, HDI Certified Auditor.

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3. Rating Methodology
Each category of the HDI Support Center Certification Standard contains individual activities
that represent best practices for support centers. A rating score is assigned by the auditor
to reflect the support center’s maturity level for each activity. There are four levels of
maturity for each activity. The rating score for each activity is determined by scoring “yes”
and “no” answers to the maturity level descriptions associated with each activity. These are
the raw rating scores which represent the maturity of the support center in each activity.
Each activity has a “weight factor,” a number from 1 to 3 which reflects the relative
importance of that activity to the overall category rating (1=lowest and 3=highest). The raw
rating scores are combined with the weight factors to compute a “weighted rating” for each
category. The weights for each activity are shown in the Activity Rating Scores section.
The overall rating is calculated using the weighted combination of the rating scores achieved
for each category. The weights for each category are shown in the Summary of Rating
Scores section.
Minimum rating scores of 2.3 in each category and 2.5 overall are required to achieve the
status of HDI Certified Support Center.

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4. Maturity Levels
4.1 Enabler Categories
During the audit, the auditor received from the support center management and staff
answers with respect to the activities in the enabler categories of the HDI Support Center
Standard. There are four maturity levels:
1 Just started Recognition of the value of the activity and the
beginnings of plans for improvement.
2 Some progress Evidence that the activity is being performed and is
reviewed for improvement, and there are some
examples of successful implementation or results.
3 Considerable progress Evidence that the activity is being consistently
performed and is regularly reviewed. There are
examples of improvements although implementation
may not be universal or applied to its full potential
across the organization.
4 Fully achieved/optimized An approach or result that is implemented universally,
continual improvement efforts exist, and it is difficult
to envision significant improvement.
4.2 Results Categories

During the audit, the auditor received from the support center management and staff
answers with respect to the activities in the results categories of the HDI Support Center
Standard. There are four maturity levels:
1 Measured Performance data is collected and reported on a
regular schedule (e.g., monthly, quarterly, twice
yearly, or yearly).
2 Comparisons to Reports show performance data compared against
Goals/Targets a defined, quantitative performance goal/target.
3 Trending to Goals/Targets Reports show performance data trending toward
the established goal/target over the previous six
months (or equivalent reporting periods).
4 Consistently meeting Reports show the established performance
Goals/Targets goal/target has been achieved or exceeded in at
least nine of the previous twelve months (or
equivalent reporting periods).

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5. Summary of Rating Scores

5.1 Rating Scores in Tabular Format
The rating scores for each category are displayed below. The first five categories represent
Enablers, which relate to doing the right things. The remaining three categories represent
Results, which relate to proof of actual performance compared against targets.
Category Category Weighting Audited Passing

Variance
ID Name % Rating Rating
1.0 Leadership 10% 4.0 2.3 1.7
2.0 Strategy and Policy 10% 2.9 2.3 0.6
3.0 People Management 10% 2.9 2.3 0.6
4.0 Resources 10% 3.4 2.3 1.1
5.0 Process and Procedure 20% 3.0 2.3 0.7
6.0 People Satisfaction Results 10% 3.3 2.3 1.0
7.0 Customer Satisfaction Results 15% 3.6 2.3 1.3
8.0 Performance Results 15% 3.1 2.3 0.8
Overall 100% 3.3 2.5 0.8

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5.2 Rating Scores in Graphical Format

Below you will see the category rating scores displayed in graphical format. The dotted line
represents the minimum rating scores required for certification, which are 2.3 in each
category and 2.5 overall. The dashed line represents the ratings for this audit for th e
Municipal Property Assessment Corporation IT Support.
Leadership
4.0
Overall Strategy and Policy

3.0
2.0
1.0
Performance Results People Management
0.0
Customer Satisfaction Results Resources
People Satisfaction Results Process and Procedure
Audited Rating Score Minimum Rating Scores Required for Certification Previous Audit Results

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5.3 Activity Rating Scores

Enablers
1.0 Leadership
Activity
Activity Weight Rating
ID
1.010 Alignment to Organization 2 4
1.020 Integration within Support Model 3 4
1.030 Resource Allocation and Alignment 2 4
1.040 Promoting Teamwork 1 4
1.050 Marketing and Promotion 2 4
1.060 Distribution and Communication of Information 1 4
Weighted Rating 4.0
2.0 Strategy and Policy

Activity
ID
2.010 Purpose 2 3
2.020 Goals and Objectives 3 4
2.030 Operational Plans 2 2
2.040 Stakeholder Engagement 1 4
2.050 Service Improvement Plans 1 1
2.060 Support Center Services Definition 2 2
2.070 Security of Systems and Information 1 4
Weighted Rating 2.9

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3.0 People Management

Activity
ID
3.010 Job Descriptions 1 4
3.020 Orientation Training Plans 2 3
3.025 Ongoing Skill Assessment and Training Plans 2 2
3.030 Career Development Plans 1 4
3.040 Performance Management 2 2
3.050 Staff Satisfaction Management 2 4
3.060 Compensation Program 2 2
3.070 Recognition and Reward Programs 1 3
3.080 Workforce Management 2 4
3.090 Retention Program 1 1
Weighted Rating 2.9
4.0 Resources
Activity
ID
4.010 Financial Resources 2 4
4.020 Physical Environment and Ergonomics 1 4
4.030 Infrastructure 1 2
4.040 Incoming Contact Distribution System 1 3
4.050 Investigation and Diagnosis Resources 1 4
4.060 Workforce Management Tool/System 2 2
4.070 Service Management Tool/System 2 4
4.080 Remote Support Tools 1 4
4.090 Knowledge Management Tool/System 2 4
4.100 Knowledge Resources 1 4
4.110 Reporting Tool/System 2 3
Weighted Rating 3.4

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5.0 Process and Procedure

Activity
ID
5.010 Event Management 1 1
5.020 Customer/User Satisfaction Management 1 3
5.030 Service Level Management 3 4
5.040 Feedback Management 3 4
5.050 Request Fulfillment 2 4
5.060 Incident Management 3 4
5.065 Logging of Incidents/Requests 3 4
5.070 Categorization of Incidents/Requests 3 4
5.080 Prioritization of Incidents/Requests 2 1
5.090 Status Levels of Incidents/Requests 3 3
5.095 Initial Investigation and Diagnosis of Incidents/Requests 2 4
5.100 Escalation of Incidents/Requests 2 1
5.110 Resolution of Incidents 2 3
5.120 Closure of Incidents 2 3
5.125 Reopening of Incidents 1 0
5.130 Problem Management 1 3
5.140 Change Management 2 0
5.150 Service Asset and Configuration Management 2 4
5.160 Continual Improvement of Support Center Processes/Procedures 1 3
5.170 Support Center Services Continuity Management 1 0
5.180 Quality Assurance Management 1 3
Weighted Rating 3.0

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Results
6.0 People Satisfaction Results

Activity
ID
6.010 Staff Satisfaction 2 4
6.020 Turnover 2 4
6.030 Unplanned Absence 1 4
6.040 Utilization 1 0
Weighted Rating 3.3
7.0 Customer Satisfaction Results

Activity
ID
7.010 Periodic Satisfaction Results 2 3
7.020 Ongoing Satisfaction Results 2 4
7.030 Feedback Results 1 4
Weighted Rating 3.6

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8.0 Performance Results

Activity
ID
8.010 Number of Incidents/Requests Logged 2 4
8.013 Number of Incoming Contacts 2 1
8.016 Self-Service Effectiveness 2 3
8.020 Average Time to Respond 2 4
8.030 Abandon Rate 2 2
8.040 Incident Resolution Time 2 4
8.050 First Contact Resolution Rate 2 4
8.055 First Level Resolution Rate 2 4
8.060 Reopened Incidents 2 4
8.070 Backlog 2 2
8.080 Hierarchical (Management) Escalations 1 4
8.085 Functional Escalation within Support Center 1 4
8.090 Functional Escalation outside Support Center 1 4
8.100 Incident Resolution Time Distribution (Resolved by Support Center) 1 3
8.110 Knowledge Management Link Rate 1 2
8.120 Cost per Unit 1 1
8.130 Quality 1 3
Weighted Rating 3.1

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6. Rating Remarks
6.1 1.0 Leadership
Leadership defines how all levels of management and all employees in leadership roles guide
their organizations toward success by inspiring and motivating staff and driving continual
improvement. All levels of support center staff should understand why the ir jobs are
important, receive satisfaction from their work, and feel supported and valued for their
efforts by the support center management. Effective leaders ensure that the work being
done is aligned with the needs of the organization, and the value of the work being done is
communicated and understood throughout the entire organization. They provide highly
visible support and encouragement, and they inspire cooperation and enthusiasm.
0
Alignment to Integration within Resource Allocation Promoting Teamwork Marketing and Distribution and
Organization Support Model and Alignment Promotion Communication of
Information
1.010 1.020 1.030 1.040 1.050 1.060
Current Rating Score

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1.010 Alignment to Organization

Support center management promotes an understanding of the relationship of support
center services to the services, functions, processes, and activities of the organization.
Level Maturity Description Yes/No
Support center management can describe at least three of the
1 Yes
most important factors for the organization’s success.
Support center management understands, and can articulate, the
2 functions, processes, and activities that are critical to the Yes
organization’s success.
Support center staff understands, and can articulate, how failures
3 Yes
in supported services iREDACTEDt the organization.
Support center management adjusts services in response to
4 Yes
changes in organization and/or customer requirements.
Current State Maturity Rating 4
Remarks
Maturity Level 1
Met - Delivering accurate, timely assessments; building and maintaining stakeholder
relationships; and achieving or exceeding revenue goals are identified as key to
REDACTED's success.
Maturity Level 2
Met - Data security and governance are necessary to maintain REDACTED's
credibility. Support of Property Inspectors and their completion of Property
Valuations are critical, as are Year-end assessments and periodic re-
assessments.
Maturity Level 3
Met - As expressed during interviews, staff identified core applications (Insight and
IPS) as key where outages have a significant impact on REDACTED's business.
Maturity Level 4
Met - As an example, Covid-19 required IT Support to adjust policies and procedures
to accommodate support staff and end-users working from home.

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1.020 Integration within Support Model

Support center management develops and promotes an understanding of the support
center’s relationship within the support model (i.e., all internal and, if applicable, external
resources that provide support).
Support center management displays a clear understanding of how
1 the support center interacts with other groups in the support Yes
model.
The support model is documented and support center staff can
2 articulate a clear understanding of the needs of other groups in the Yes
support model.
Support center management and staff actively communicate with
3 Yes
management and staff of other stakeholders in the support model.
To fully anticipate and support planned changes, a support center
4 Yes
representative is actively engaged in change and release processes.
Remarks
Maturity Level 1
Met - IT Support management is well versed in their understanding of the support
organization and continuously interacts with management and staff of the other
support functions.
Maturity Level 2
Met - The IT Support Operational Guidelines document provides a good overview of
the support model. Staff are familiar with its contents and understand the needs of
the organization as demonstrated by the leading of the swarming process.
Maturity Level 3
Met - Management and staff communicate at daily scrums, weekly stand-up
meetings, sprint meetings and bi-weekly calls.
Maturity Level 4
Met - A Change Advisory Board (CAB) meeting is held daily. The IT Support
Manager and representation from head office TIA team attend.

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1.030 Resource Allocation and Alignment

Support center management effectively establishes the optimal allocation and alignment of
resources (i.e., people, processes, and technology).
A methodology is in place to determine the type and amount of
1 people, processes, and technology resources needed to provide Yes
support center services.
The methodology takes into account the achievement of
2 Yes
established service level targets and operational goals.
The resource allocation is regularly revised to accommodate
3 changes in organizational, customer, and/or service Yes
requirements.
Resource requirements and allocations are aligned to defined
4 service level targets that directly support established goals and Yes
objectives.
Remarks
Maturity Level 1
Met - A ratio support model of 80- 100 users per one TIA, with adjustments for
locations is used for initial determination of IT Support staff required.
Maturity Level 2
Met - In addition to the staffing ratio, a review of incident and request resolution is
compared to the target service levels for each location and adjustments to the
staffing model are made.
Maturity Level 3
Met - Overall staffing numbers are provided by HR and the IT Support staffing
calculation is done quarterly to begin planning adjustments. Staffing is then
augmented with temporary staff and co-op students.
Maturity Level 4
Met - The adjustments and incremental temporary staff are allowing IT Support to
meet service level targets.

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1.040 Promoting Teamwork

Support center management actively promotes and advocates teamwork throughout the
support organization.
There are activities and training objectives designed to foster
1 Yes
teamwork within the support center.
There are organized and regularly scheduled team-based
2 interaction activities designed to foster teamwork between the Yes
support center and other support groups.
Goals and objectives are identified for team-based efforts,
3 Yes
performance is measured, and successes are recognized.
The results of team-based efforts are successfully applied to
4 improve processes and/or procedures that support the success of Yes
the support organization and/or organization.
Remarks
Maturity Level 1
Met - Skype or Team sessions are used to bring everyone together to introduce
new features/functionality. Boot camps for Agile training were another initiative to
bring teams closer together. Afternoon calls are held three times per week and
hosted by different team members.
Maturity Level 2
Met - Two offsite meetings of 3 days duration used to be held. The most recent was
in January. Now moving toward annual regional meetings in centralized locations.
Representatives from other IT teams are invited to participate and present.
Maturity Level 3
Met - Many initiatives are cross functional. Documented "stories" require defined
goals and measurements. Big Wins presentations are used to share successes.
Maturity Level 4
Met - An example of celebrated shared success is the ISO 27001 certification
initiative recognized by the CAO.

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1.050 Marketing and Promotion

All members of the support organization are responsible for increasing the visibility and
recognition of the support center as a valued partner within the department, to other
support groups, and to the organization. The support center’s value must be recognized at a
senior level and be visible throughout the organization.
Support center management ensures that activities are in place to
1 communicate and promote the role of the support center Yes
throughout the organization.
Support center management and staff promote the role of the
2 support center and its function by encouraging appropriate use by Yes
customers and users.
Support center successes and improvements are regularly
communicated by support center management and/or staff within
3 the department and to other stakeholders who provide support in Yes
order to promote the value of the support center.
Support center management participates (or is represented) in
4 activities to promote the value of the support center throughout Yes
the organization.
Remarks
Maturity Level 1
Met - Communication messages are posted on the IT Support site. Support staff are
profiled on the support site promoting the people and skills of support.
Maturity Level 2
Met - Email signatures direct users to the IT Support site. Managers are advised to
encourage their staff to use the support site.
Maturity Level 3
Met - Support participates in Regional office meetings representing IT Support. At
100-day events, support will attend and present support success and projects.
Maturity Level 4
Met - Town hall meetings are also used to communicate progress and performance.
Demonstrations of improvement initiatives are given to the Executive Management
Group (EMG) and board members.

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1.060 Distribution and Communication of Information

Support center management actively promotes and facilitates the distribution and
communication of support center performance information both within the support center
and throughout the organization, and to other support groups.
Support center operational performance results are distributed and
1 communicated to support center staff at least monthly. Yes
Support center operational performance results are distributed and

2 communicated to other support groups and customers at least Yes
quarterly.
The support center’s progress toward achieving tactical objectives
3 is tracked and communicated to support center staff and other Yes
support groups at least quarterly.
The support center’s progress toward achieving strategic goals is
4 tracked and communicated to support center staff, other support Yes
groups, and customers at least twice annually.
Remarks
Maturity Level 1
Met - Key performance indicators (KPI) are available to all staff on live dashboards
within Jira.
Maturity Level 2
Met - Operational results may be shared on calls held twice per week with IT
management. Quarterly reports are shared with REDACTED executives.
Maturity Level 3
Met - Progress is discussed in daily meetings, scrums, and pilot meetings. The
Manager's Tactical Call held every week is open to all managers and directors where
results are shared.
Maturity Level 4
Met - Updates on strategic initiatives and completed roadmap initiatives are
presented to the Executive Management Group (EMG), typically quarterly.

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6.2 2.0 Strategy and Policy

Support center management must incorporate the organization’s values and concepts of
quality into the development, communication, review, execution, and evolution of the support
center’s strategy and policies to, clearly and effectively, support the organization’s purpose.
Support center strategy and policies must be translated into goals and objectives that
contribute to the organization’s ability to achieve its stated goals. Specific plans must be
established to define how the support center goals and objectives will be achieved. The
plans must lead to the achievement of measurable performa nce targets and be aligned with
the plans of the department and organization. Performance must be measured and
communicated to stakeholders, and regular analysis must be performed to identify any
adjustments that need to be made to achieve the desired results.
0
Purpose Goals and Objectives Operational Plans Stakeholder Engagement
2.010 2.020 2.030 2.040
0
Service Improvement Plans Support Center Services Definition Security of Systems and Information
2.050 2.060 2.070

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2.010 Purpose
The purpose of the support center within the organization must be established,
documented, communicated, and reviewed for continual improvement. There are many
different approaches and models that can be employed, which include the development of
statements of vision, mission, purpose, core values, service philosophy, management
philosophy, and other statements.
The purpose of the support center is communicated within the
1 support center, and support center staff can articulate their own Yes
understanding of its meaning.
The purpose of the support center is documented and published
2 Yes
inside and outside of the support center.
The purpose of the support center is aligned with the
3 Yes
organization’s vision, mission, and objectives.
An activity to review the alignment of the purpose of the support
4 center to the vision, mission, and objectives of the organization is No
conducted at least annually.
Remarks
Maturity Level 1
Met - The IT Support Mission is defined. Staff interviewed understood its intention
to help drive efficient, quality service.
Maturity Level 2
Met - The mission is published on the IT Support site.
Maturity Level 3
Met - REDACTEDs objectives were an integral part of the process to develop IT
Support's mission statement.
Maturity Level 4
Not Met - The rewording of the mission statement was recently undertaken.
However, this activity was driven to optimize the statement for publishing on the
website as opposed to a desire to raise awareness and commitment of IT Support
staff.

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2.020 Goals and Objectives

Goals and objectives for the support center are established that reflect the support center’s
purpose.
Operational performance goals and objectives for the support
1 Yes
center are defined and documented.
Specific tactical objectives for the support center are defined and
2 Yes
documented.
Strategic goals for the support center that are aligned with the
3 strategic goals of the organization are defined, documented, and Yes
communicated.
Strategic goals for the support center are aligned with the
4 strategic goals of the organization and are communicated to Yes
stakeholders.
Remarks
Maturity Level 1
Met - SLA targets have been negotiated and IT Support has defined service level
objectives (SLO) that are effectively stretch goals. Operational goals are
documented and included as an index in the reporting package.
Maturity Level 2
Met - Tactical objectives are defined on story boards for each sprint. Also, a Kanban
board is used to capture tactical initiatives for smaller projects. Work Objects
defined in Confluence identify the underlying initiatives.
Maturity Level 3
Met - The IT Support Roadmap is used as the strategic plan for the organization.
The roadmap is developed in advance of year end. Work objects identify the
Strategic outcome that is being supported.
Maturity Level 4
Met - The strategic goals of IT Support align with the five pillars identified in the
corporate strategic plan. The strategic plan is advertised on the intranet page and
communicated in management meetings and CAO virtual chats.

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2.030 Operational Plans

The support center has developed and maintains an operational plan that defines the
activities necessary for ongoing support center operations. The operational plan supports
the achievement of support center goals and objectives.
The support center has standard operating procedures, work
1 instructions, and/or other guidance that supports the day-to-day Yes
operation of the support center.
The support center has documented policies and processes that
2 Yes
govern support center operations.
The support center has a documented operational plan that is
3 No
communicated and understood by support center staff.
The support center’s operational plan is updated regularly as
4 changes occur and reviewed for continual improvement at least No
annually.
Remarks
Maturity Level 1
Met - Operating procedure documentation can be found in the Confluence
knowledgebase.
Maturity Level 2
Met - Policies and process documents can also be found in Confluence.
Maturity Level 3
Not Met - A comprehensive operations plan has not been developed though some
of the required content could be found in various documents.
Maturity Level 4
Not Met - No plan has been documented. However, evidence was presented that
some of its required content is being updated.

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2.040 Stakeholder Engagement

The support center actively solicits and uses stakeholder input to improve the support
center’s services and performance.
Support center management and staff can readily identify and have
1 Yes
defined the support center’s stakeholders.
The support center actively solicits stakeholder input to its goals
2 Yes
and plans.
Stakeholders are invited to participate in the development of action
3 Yes
plans that result from their input.
The support center regularly and proactively provides feedback to
4 stakeholders on the results of action plans implemented as a result Yes
of their input.
Remarks
Maturity Level 1
Met - IT Support's stakeholders have been identified as internal users - business
users; head office supporting functions; and IT Department teams.
Maturity Level 2
Met - Feedback is obtained through event-based surveys and executive feedback
received from senior leadership.
Maturity Level 3
Met - As part of the Agile process, stakeholders are invited to participate as product
owners.
Maturity Level 4
Met - Sprint reviews, daily scrums, and reviews of 100-day projects are used to
provide feedback to stakeholders.

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2.050 Service Improvement Plans

Support centers should review and analyze performance to identify improvement
opportunities. Service improvement plans (SIPs) are developed and documented to define
the focus of the improvement, the goal, required resources, activities, timeframe, and
expected outcome (success measurements).
Support center management identifies initiatives to improve
1 Yes
support center services.
Documented service improvement plans, including success
2 measurement(s) and expected completion, are developed for most No
improvement initiatives.
Progress toward achieving service improvement plans is regularly
3 monitored, measured, and communicated to stakeholders in a Yes
timely manner.
The procedures for developing and tracking service improvement
4 plans are reviewed for continual improvement at least annually. Yes
Remarks
Maturity Level 1
Met - IT Support uses a Kanban board to identify and track ad-hoc improvement
initiatives.
Maturity Level 2
Not Met - Stories are documented for most improvement initiatives. However,
continuity between Kanban initiatives and measured outcomes are not clearly
documented.
Maturity Level 3
Met - Daily scrums provide feedback on key support improvement initiatives.
Maturity Level 4
Met - An Agile coach is employed to review plans and progress on a continual basis
and to recommend adjustments to the process.

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2.060 Support Center Services Definition

The support center must maintain a list of services provided by the support center in
terminology that can be easily understood by support center staff, customers, and users.
A list of the services that the support center provides to the
1 Yes
organization is published to all support center stakeholders.
The list of support center services includes details that are
appropriate for the environment and stated in terminology that is
2 easily understood by customers and users. Service details contain, Yes
at a minimum, a description of services, hours of availability, and
contact information.
The list of support center services is the primary source and
reference for all support center services and should include
3 No
underpinning service activities/elements and service
ownership/management.
The list of support center services is regularly reviewed and
4 Yes
updated as services are introduced, changed, and/or retired.
Remarks
Maturity Level 1
Met - A list of services is published on the intranet and can be found in the
REDACTED IT Support Operational Guidelines document.
Maturity Level 2
Met - User friendly terminology is used. The hours of operations and service
expectations are also included.
Maturity Level 3
Not Met - The list of services is not comprehensive. IT Support uses its own lists to
identify services and service owners.
Maturity Level 4
Met - The user facing list of services is updated in the IT Support Operations
Guidelines document as changes occur.

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2.070 Security of Systems and Information

The support center must support and comply with organizational security requirements to
ensure the confidentiality, integrity, and availability of organizational, customer, and user
data that is processed and transmitted by the support center as well as the systems and
data necessary to the successful operation of the support center.
Access control procedures and measures are in place to monitor
1 and control access to support center facilities and for accessing Yes
support systems.
Procedures and measures are in place to support and comply with
organizational security policies and requirements. The procedures
and measures ensure protection of all assets critical to the
2 operation of the support center (i.e., support center systems and Yes
tools, support center data) as well as all forms of organizational
information. Security policies are published, accessible, and
understood by all support center staff.
Support center related security policy breaches and/or non-
compliances are recorded, managed, reported, and reviewed by
3 management. Procedures are documented for the handling and Yes
remediation of security breaches and/or non-compliances.
Support center security policies, procedures, and activities are
independently audited (outside of support center management) for
4 Yes
compliance at least annually. All audit non-compliances are
recorded, managed, reported, and remediated.
Remarks
Maturity Level 1
Met - Buildings all require card access and a "zero trust" environment is in place
where no services can be accessed from a personal device.
Maturity Level 2
Met - Acceptable use, access management, remote wiping of devices, and other
security policies and practices are in place, published on the intranet, and covered
in onboarding training. Code of conduct and phishing refresh er training is required
annually, and completion tracked by IT Security.
Maturity Level 3
Met - Procedures for reporting and handling breaches are found in the IT SEC
Information Technology Security Incident Management Procedure document. Issues
are recorded in Jira and escalated to IT Security.

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Maturity Level 4
Met - To maintain ISO 27001 certification, compliance is routinely audited by IT
Security.

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6.3 3.0 Staff Management

An important responsibility of support center management is the creation of an environment
that promotes the motivation of support center staff to perform at their peak. Support
center staff roles and responsibilities must be documented for each position. The support
center staff must have, and continue to evolve, the competencies needed to effectively
perform the requirements of the position. Performance feedback, reward and recognition,
management communication, and opportunities for technical and professional growth are
proven motivators.
0
Job Descriptions Orientation Training Plans Ongoing Skill Assessment Career Development Plans Performance Management
and Training Plans
3.010 3.020 3.025 3.030 3.040
0
Staff Satisfaction Compensation Program Recognition and Reward Workforce Management Retention Program
Management Programs
3.050 3.060 3.070 3.080 3.090

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3.010 Job Descriptions

Job descriptions provide a clear and concise resource for both staff and management. They
are a resource for recruiting, to guide the creation of performance goals, and for
performance management. All support center staff, including managemen t, must have a job
description that accurately describes the role, responsibilities, and requirements (e.g., skills,
education level, certifications, physical capabilities, etc.) for their position.
A job description (or equivalent) is documented for each support
1 center management and staff positions and are readily accessible Yes
to support center management and staff.
Job descriptions for all support center management and staff
2 positions accurately reflect the current roles, responsibilities, and Yes
requirements of the described positions.
Job descriptions are specifically referenced during training,
3 Yes
performance appraisals, and career development meetings.
Job descriptions for all support center positions are jointly
4 reviewed by support center management and staff at least Yes
annually.
Remarks
Maturity Level 1
Met - Job descriptions are in place for the roles used within IT Support - Junior
Infrastructure Analyst; Technology Infrastructure Analyst (TIA); Senior TIA;
Supervisor, IT Support; and Manager, IT Support. Descriptions are posted on the
intranet.
Maturity Level 2
Met - The job descriptions accurately reflect key accountabilities and activities, job
requirements, and competencies.
Maturity Level 3
Met - Job descriptions are referenced for performance management and planning
purposes.
Maturity Level 4
Met - Descriptions are reviewed by HR and union representatives routinely as part
of the bargaining process. IT Support management provides input regarding any
proposed changes.

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3.020 Orientation Training Plans

A consistent method of training new hires during their orientation period is critical to
providing and promoting quality support center service. Documented staff orientation
training plans support this important training period as well as guide training activities for
every position. Plans ensure that the technical, professional, and customer service skills
necessary for each role/position are properly, and consistently, addressed.
Documented orientation training plans exist for each support
1 Yes
center position and are updated on a regular basis.
The required amount of time (and funding, if required) is allocated
2 Yes
to provide the level of training specified in each plan.
Orientation training plans include a requirement for the trainer and
3 trainee to acknowledge successful completion of the training for Yes
each skill.
The development of orientation training plans is integrated into all
4 relevant change management processes so that plans are updated No
when changes occur to keep the plans current.
Remarks
Maturity Level 1
Met - Staff are hired into one role as there is no differentiation between field and
head office (service desk) support. A standard training plan is used and updated as
needed.
Maturity Level 2
Met - Training time is adjusted based on the knowledge and experience of the new
TIA to ensure that the plan can be completed.
Maturity Level 3
Met - A facilitator is assigned for the topics covered in the training plan. Both the
facilitator and the trainee sign off on successful completion of the various activities
within the plan.
Maturity Level 4
Not Met - While there was evidence that the training plan has been updated to
accommodate new requirements, no evidence was presented to demonstrate that
changes to training are integrated into change management practices.

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3.025 Ongoing Skill Assessment and Training Plans

Based on a skills inventory and periodic skills gap assessment, ongoing training plans are
developed and used to guide training activities to improve the skills of existing staff for their
current position. Ongoing training plans may also include certification or training objectives
related to career development goals.
A skills inventory exists for each position and is updated to reflect
changes in skill and competency requirements whenever changes
1 are made in the support environment and/or supported services, Yes
and there is evidence that ongoing training is provided to meet
requirements when new skills and/or competencies are added.
A gap analysis exists for each support center staff that identifies
gaps where training is needed to meet requirements, and there is
2 Yes
evidence that some ongoing training is planned based on the
output of the gap analysis to close individual training gaps.
The gap analyses for all support center staff are aggregated and
analyzed to determine training priorities, and there is evidence that
3 No
some ongoing training is planned based on the output of the
combined gap analysis to close team training gaps.
Time (and funding, if required) is allotted to achieve the minimum
4 level of training planned based on the output of both the individual Yes
and team gap analyses.
Remarks
Maturity Level 1
Met - A skills inventory is contained in the IT Support Team Skills Matrix workbook.
The inventory includes all key applications supported. The required level of skills is
identified for the three technical support roles.
Maturity Level 2
Met - Staff assess themselves on their perceived level of expertise for the various
applications. Results are reviewed and used to drive coaching and career
development initiatives for the individual.
Maturity Level 3
Not Met - The review of consolidated results for the team are used to drive training
sessions during weekly meetings. However, no evidence of any formal training plans
or forecasts was presented.
Maturity Level 4
Met - The budget for training is held by the Learning and Development team who
ensure training is funded.

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3.030 Career Development Plans

Career development opportunities are fundamental to engaging and retaining staff,
improving support center staff capabilities, and increasing staff satisfaction.
A career development discussion is formally initiated at least
annually by a management representative with each support
1 center staff. Each staff is encouraged to state personal preference Yes
for career development within the context of the organization.
Career development discussions are formally documented and
include relevant goals and objectives. Specific training or
2 certification objectives identified in the career development plan Yes
must be aligned to a career development goal (e.g., meet
requirements to be eligible for a different position).
Progress toward achieving the goals and objectives stated in the
career development plans is formally discussed at least annually by
3 Yes
a management representative with each support center staff, and
the documented career plans are updated accordingly.
Career development planning is integrated with the performance
4 Yes
appraisal process.
Remarks
Maturity Level 1
Met - A formal career development discussion occurs as part of the annual
performance management appraisal (PMA) process.
Maturity Level 2
Met - Employees document their aspirations in the development goals section of
the PMA document. Goals can include formal and informal training objectives.
Maturity Level 3
Met - Progress is discussed in monthly one-on-one meetings. Employees can go
into the IRIS system at any time and update the status of progress toward their
goals.
Maturity Level 4
Met - See Maturity Level 1 above.

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3.040 Performance Management

Performance management is the system of evaluating staff performance. Elements of the
performance system include performance planning processes, coaching, mentoring, and the
exchange of meaningful feedback between management and staff.
A documented performance management process is conducted at
1 Yes
least annually.
Support center management provides support center staff with
2 effective feedback (i.e., timely, constructive, specific, and balanced) Yes
between formal performance appraisal meetings, at least quarterly.
Key job performance criteria must be aligned with support center
3 No
goals and organizational goals.
The performance appraisal process is integrated with the
compensation review process (i.e., compensation adjustments are
4 No
linked to performance ratings and/or achievement of job
performance goals).
Remarks
Maturity Level 1
Met - The PMA process is completed annually based on the calendar year.
Maturity Level 2
Met - Feedback is provided during a mid-year and year-end formal reviews. Within
IRIS, any outstanding tasks are identified, and notifications sent to managers.
Maturity Level 3
Not Met - Three objectives are provided to staff for inclusion in the PMA. These
objectives may relate to IT Support improvement initiatives. Operational
performance objectives are not generally included as a measure of performance.
Maturity Level 4
Not Met - One of the two opportunities for compensation improvement is
contractually mandated and not tied to performance or the performance process.

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3.050 Staff Satisfaction Management

Support center management can improve the workplace by regularly collecting support
center staff satisfaction feedback, measuring, and analyzing trends, and responding to staff
feedback. Proper satisfaction management leads to higher retention rates, lower
absenteeism, improved productivity, better customer service, and higher morale. Results
should be reviewed by management and published to support center staff, allowing them to
be engaged in developing action plans with management and identifying specific
opportunities for improvement.
At least one process is in place to gather support center staff
1 Yes
satisfaction feedback.
The support center staff satisfaction feedback is compiled,
2 analyzed and communicated to the support center staff in a timely Yes
manner.
Support center management takes direct action in response to
3 Yes
support center staff satisfaction feedback in a timely fashion.
A process to collect measurable support center staff satisfaction
4 feedback from support center staff is conducted at least annually. Yes
Remarks
Maturity Level 1
Met - IT Support staff are surveyed quarterly to assess their satisfaction levels. The
survey contains 15 questions.
Maturity Level 2
Met - Survey results are compiled by management. Results are shared by email.
Discussions during the daily support call highlight concerns and improvemen ts.
Maturity Level 3
Met - Corrective actions are identified for questions where ratings require attention
or are perceived as an opportunity to drive improvement. The switch from Bomgar
to the Crisp and Splashtop tools were a direct result of survey feedback.
Maturity Level 4
Met - The survey is conducted quarterly, and measurable results are tabulated.

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3.060 Compensation Program

A well-constructed compensation program is an essential element in maintaining staff
satisfaction, minimizing turnover, and assuring support center staff productivity.
Support center staff salaries are regularly compared to similar
1 positions within the same industry sector and geographic area to Yes
determine if they are comparable.
The compensation program includes elements that encourage
2 Yes
performance (e.g., bonuses, merit increases).
The compensation program rewards the support center staff
3 based on achievement of individual, support center, and No
organization performance targets.
Compensation review is integrated with the performance
4 Yes
management process.
Remarks
Maturity Level 1
Met - As part of contract negotiations, pay scales are reviewed and compared to
ensure equity of affected roles.
Maturity Level 2
Met - Salary increases are predetermined based on current pay and contractually
negotiated increases. However, if performance is rated below a 3, the step increase
will be held.
Maturity Level 3
Not Met - Performance ratings are more tied to subjective behavioral factors as
opposed to support center or organizational goals.
Maturity Level 4
Met - One of the two annual increases is tied to the results of the performance
management process.

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3.070 Recognition and Reward Programs

Regular, ongoing recognition and reward programs for support center staff can encourage
improved quality, safety, and customer service; higher staff morale; attracting desired staff,
retention of key staff; elevated productivity; increased competitiveness, revenues, and
profitability; and reduced stress, absenteeism, and turnover. Recognition and reward
programs must be perceived as fair and achievable, and make staff feel valued and
appreciated. The availability of awards and incentives tied to recognition can help keep staff
motivated in poor economic times.
Recognition and reward programs are in place to acknowledge
1 individuals and teams within the support center for Yes
accomplishments and contributions.
Recognition and reward programs are documented and sufficiently
2 Yes
funded, and are used regularly and consistently.
The support center staff participates in the development and
3 Yes
ongoing maintenance of the recognition and reward programs.
Support center management analyzes the iREDACTEDt of
4 the recognition and reward programs, and reports relevant No
results to
support center staff and senior management at least
Current State annually.
Maturity Rating 3
Remarks
Maturity Level 1
Met - The We Value You and the Life Events programs provides recognition for
years of service and events outside of work. We Value You also allows staff to
recognize peer contributions.
Maturity Level 2
Met - Both programs are used and funded through HR.
Maturity Level 3
Met - Program changes are managed as a project. IT staff would be consulted and
sometimes involved in changes.
Maturity Level 4
Not Met - IT Support management is provided feedback, but not directly involved in
analyzing the outcomes of the programs.

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3.080 Workforce Management

The workforce management process for support centers is focused on accurately
forecasting and scheduling the right number of staff with the right skills at the right time to
The staffing level for the support center is determined using one or
1 more methods or models that account for the volume of work and Yes
the work time involved.
The schedule for support center staff is determined using one or
2 more formal methods or models that account for meeting Yes
established service level targets.
The workforce management process is documented and
3 Yes
consistently followed.
The workforce management process is reviewed for continual
4 Yes
improvement at least annually.
Remarks
Maturity Level 1
Met - Staffing levels are determined based upon a ratio of users to support and the
volume of calls being generated from the supported user community.
Maturity Level 2
Met - A schedule is kept in Teams to ensure support across all locations during key
hours. Response and resolution service level performance data is incorporated in
the staffing/scheduling determination process.
Maturity Level 3
Met - The process for calculating staffing requirements is documented in the
Resource Allocation and Utilization document. Review is conducted quarterly.
Maturity Level 4
Met - The process and calculations are reviewed quarterly. Adjustments to the
assumptions may result and the process revised.

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3.090 Retention Program

Regular, ongoing retention programs for support center staff can reduce the incidence of
unplanned and/or negative turnover, particularly of key staff, resulting in cost savings
related to recruitment and training, and increased consistency of support center services by
decreasing the loss of knowledge and talent.
There are retention activities in place and regularly conducted to
1 Yes
identify staff who are at risk of leaving.
There is a documented retention process that is consistently
followed by support center management that includes identifying
2 No
actions to retain key staff and/or steps to mitigate iREDACTEDt
of their
turnover.
The plan includes criteria to identify key retention targets (e.g., staff
and/or positions that are mission-critical, generate revenue, have
3 high customer iREDACTEDt, drive innovation), and identification of Yes
retention targets has been conducted within the past twelve
months.
Support center management analyzes the iREDACTEDt of the
4 retention program and reports relevant results to senior Yes
management at
least annually.
Remarks
Maturity Level 1
Met - The current retention process is ad-hoc. Acting roles are used to help
groom/assess staff's ability to cover other roles.
Maturity Level 2
Not Met - Retention planning is now being done as required for forecasting to
finance and HR but the process is not yet documented.
Maturity Level 3
Met - Retention targets are now being forecasted and tracked, though due to low
staff churn, this mainly involves planned retirements. Results are being tracked on
the Succession tab in an Excel workbook.
Maturity Level 4
Met - IT management is now routinely reviewing program results.

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6.4 4.0 Resources

The support center must have access to the resources (i.e., people, processes, and
technology) necessary to achieve its goals and objectives. These include financial and
human resources, physical facilities, technology (i.e., specialized systems and tools
supported by a reliable infrastructure), specialized organizational knowledge, and/or third-
party partnerships. Support center-specific systems and supporting processes can provide
significant improvements in automation that increase the support center’s efficiency,
effectiveness, and productivity, which can improve the quality and consistency of support
center services. Integration of support-center-specific systems with other systems used in
the department and/or organization enhances these improvements even further. The
resulting benefits to the organization include higher productivity, cost savings, and
opportunities for revenue enhancements.
0
Financial Resources Physical Environment Infrastructure Incoming Contact Investigation and Workforce
and Ergonomics Distribution System Diagnosis Resources Management
Tool/System
4.010 4.020 4.030 4.040 4.050 4.060
0
Service Management Remote Support Tools Knowledge Management Knowledge Resources Reporting Tool/System
Tool/System Tool/System
4.070 4.080 4.090 4.100 4.110

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4.010 Financial Resources

Support center management demonstrates a realistic understanding of the importance of
sufficient financial resources and the support center’s ability to achieve goals.
1 The support center has its own fiscal or calendar-year budget. Yes
Support center management exerts some influence over the
2 Yes
allocation of the support center budget.
The support center budget provides sufficient funding for
resources in all areas (e.g., compensation, training, recognition and
3 Yes
rewards, technology resources, supplies, etc.) to achieve its stated
goals, objectives, and service level targets.
Appropriate funding adjustments are made in a timely manner
4 when there is a substantial change between budget cycles (e.g., Yes
new services, unanticipated increase/decrease in volume, etc.).
Remarks
Maturity Level 1
Met - The director, IQSS, holds the budget for the IT Support team.
Maturity Level 2
Met - The director forecasts the anticipated costs for labor and project related
items.
Maturity Level 3
Met - IT Support appears to be adequately funded for staffing and infrastructure
needs.
Maturity Level 4
Met - The director participates in monthly meetings with Finance where over/under
line items are reviewed and adjustments made. Funding to support new initiatives is
identified within the Agile process.

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4.020 Physical Environment and Ergonomics

The support center is located in an appropriate and ergonomically effective work area.
The support center facilities are comparable to other facilities for
1 Yes
similar functions within the organization.
The facilities meet the support center’s needs for the type and
amount of work being performed (e.g., traffic and noise levels
2 managed appropriately, headsets, sufficient work area for work Yes
performed, easy access to facilities and information, meeting areas,
etc.).
The support center environment is designed to facilitate the
3 Yes
desired work interactions among support staff.
Work areas reflect a high level of ergonomic design and
4 Yes
consideration for personalization.
Remarks
Maturity Level 1
Met - While many of the TIAs work in field offices which were not viewed, the Head
Office IT Support area is comparably fitted.
Maturity Level 2
Met - IT Support resides in a glassed-in room that shelters support staff from office
traffic and conversations.
Maturity Level 3
Met - A collaboration space is included in the enclosed area. Large wall mount
monitors display operational and performance data. Workspaces are arranged to
allow easy communication among staff. IT Operations staff are located adjacent to
IT Support.
Maturity Level 4
Met - Workspaces are fitted with ergonomic mice, keyboards, chairs, and adjustable
desks. Ergonomic assessments can be arranged to accommodate any special needs.

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4.030 Infrastructure
Availability, capacity, resilience, and reliability within the technology infrastructure are
necessary for the systems and tools that are critical to the successful operation of the
support center.
The technology infrastructure used to deliver support center
1 services has sufficient availability and capacity to meet the Yes
requirements of the support organization.
Reports are available on the capacity and availability of the
2 technology infrastructure used to deliver support center services. Yes
There are documented capacity and availability plans to support

3 No
current and future services delivered by the support center.
The support center regularly participates in identification, review,
4 and continual improvement of the technology infrastructure that Yes
enables support center services.
Remarks
Maturity Level 1
Met - The main technologies - Jira, Confluence, O365, and network infrastructure
are considered adequate and stable.
Maturity Level 2
Met - Much of the infrastructure used and supported is hosted in REDACTED's
AWS cloud and is governed by a 99.6% uptime service level objective. Uptime is
reported monthly.
Maturity Level 3
Not Met - Monitoring tools identify resource usage in real time. Performance is
reviewed weekly and capacity adjustments made. Plans regarding capacity of non-
cloud infrastructure (telephony, licenses, etc.) were not present.
Maturity Level 4
Met - Quarterly meetings have been set up to review availability and capacity of key
systems.

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4.040 Incoming Contact Distribution System

Distribution of incoming contacts from users through all channels in a timely manner is
important to ensure that service level targets can be met.
A system and/or process is in place to distribute incoming contacts
1 from users through all channels in accordance with the established Yes
procedures.
The distribution system(s) provides automated routing capabilities,
2 and a means to display the volume of incoming contacts and Yes
response times to support center management and staff.
The distribution system(s) is configured to provide alerts to the
3 support center management and staff in advance of missing a Yes
service level target.
The distribution system(s) is integrated with the service
4 No
management system.
Remarks
Maturity Level 1
Met - Jira Service Desk distributes contacts received via email and self-service.
Clarity Connect receives and distributes phone calls.
Maturity Level 2
Met - Many contacts are received and handled via Jira which routes tickets to a
queue presenting all new tickets created within the last 16 hours. A customized
dashboard provides agents the ability to see the number and status of contacts and
displays times to response and resolution.
Maturity Level 3
Met - When a service level is set to breach within an hour, emails are sent by the
system every 30 minutes to the assigned person, dispatch team managers, and any
staff subscribed to monitor the ticket.
Maturity Level 4
Not Met - The telephony system is not integrated with Jira. Crisp, the chat tool, is
not directly integrated although functionality is in place to allow support to log a
ticket and include chat dialogue from within Crisp.

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4.050 Investigation and Diagnosis Resources

The support center staff has access to hardware, software, and/or other technology for
supported services to maximize troubleshooting capabilities.
Support center staff has access to current documentation for all
1 Yes
supported services.
Support center staff has access to common customer system(s)
2 Yes
during investigation and diagnosis.
Support center staff has access to configurable environments (e.g.,
3 Yes
test or sandbox) to replicate customer issues.
A lab facility (or equivalent capability) is available to support center
staff where systems, configurations, and/or tools for less
4 Yes
commonly used supported services can be accessed and used
during investigation and diagnosis.
Remarks
Maturity Level 1
Met - Documentation regarding investigation and diagnosis actions is stored in the
Confluence knowledgebase.
Maturity Level 2
Met - Service Desk and Field TIAs use similar configurations to those supported
allowing them to conduct testing and troubleshooting on their own systems.
Maturity Level 3
Met - The Splashtop tool allows connectivity to customer environments and servers.
Maturity Level 4
Met - A lab is in place at head office. Regional offices have set-ups where testing
and imaging can be done locally.

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4.060 Workforce Management Tool/System

A workforce management tool/system is used to automate a formal workforce management
process in order to determine the optimum staffing levels and develop staff schedules to
The workforce management tool/system uses the volume of work
1 and amount of work time as inputs to determine the optimum Yes
number of staff needed.
The workforce management tool/system uses established service
2 level targets as an input to determine the optimum staffing Yes
schedules.
The workforce management tool/system provides access to
3 support center management and staff to communicate schedule No
adherence and performance statistics in real-time.
The workforce management tool/system is integrated with other
4 support center tools (e.g., incoming contact distribution system) to No
automate the production of scheduling requirements.
Remarks
Maturity Level 1
Met - An Excel workbook is used to determine staffing levels. A ratio of one support
person to every 80 to 100 staff is used as the baseline. Calculations incorporate the
number of tickets and the number of hours required to resolve.
Maturity Level 2
Met - Both service level response and resolution targets are factored in to
determining staffing levels by supported locations.
Maturity Level 3
Not Met - The tool is only used for reviewing staffing levels and performance. Staff
do have access to dashboards within Jira to view SLA performance. The staffing
schedule is maintained in Teams where staff can see assignments, but Teams does
not track adherence.
Maturity Level 4
Not Met - Data is extracted from Jira and used for calculations. Results can be fed
back into a Jira dashboard.

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4.070 Service Management Tool/System

A service management tool/system is implemented to track and facilitate the handling of all
incidents/requests for supported services.
An automated service management tool/system is implemented in
1 the support center that provides the capability to track Yes
incidents/requests through closure.
All primary support groups use the same service management
2 tool/system (i.e., shared data) to track and update Yes
incidents/requests.
Users have access to an interface for the service management
system to submit new incidents/requests and update open
3 incidents/requests previously submitted with additional information Yes
(e.g., provide supplemental data, identify change in iREDACTEDt
and/or
urgency).
The service management system is configured to proactively notify
customers and/or users of changes in status of incidents/requests,
4 and to notify designated support center management Yes
representatives prior to a service level target being missed.
Remarks
Maturity Level 1
Met - Jira Service Desk is used as the service management system of record.
Maturity Level 2
Met - All support groups use the Jira Service Desk tool which is linked to the Jira
system used by the development teams.
Maturity Level 3
Met - The IT Support portal allows users to view the status of existing tickets,
append comments, and initiate new incidents and service requests.
Maturity Level 4
Met - Users and support staff can configure notifications by subscribing to the
ticket. Rules are configured to send notifications when a ticket is created, assigned,
resolved, closed, or comments added.

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4.080 Remote Support Tools

Successful support centers use remote support tools to enhance their capabilities to monitor
and control resources, quickly diagnose incidents/requests, and deliver effective support
services.
The support center has a tool(s) that enables the support center
1 staff to remotely view customer workstations, network Yes
components, and/or other components of supported services.
The remote support tool(s) enables the support center staff to
2 remotely control customer workstations, network components, Yes
and/or other components of supported services.
Use of the remote support tool(s) is an integral and accepted
3 procedure in the incident management/request fulfillment Yes
processes.
Use of the remote support tool(s) is tracked in incident/request
4 records and the usage is reported to management and staff of the Yes
support center and primary support groups.
Remarks
Maturity Level 1
Met - The Splashtop application allows support staff to view and access user
workstations.
Maturity Level 2
Met - Splashtop sends a web link to the user which provides a code that will allow
support staff to access and take control of the workstation if required.
Maturity Level 3
Met - Remote access is being used more frequently since work from home has been
enforced. Previously, it was used around 10% of the time.
Maturity Level 4
Met - Splashtop is not integrated into Jira, but a custom field has been added to the
ticket form to indicate its use.

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4.090 Knowledge Management Tool/System

Knowledge management tool(s) and/or systems are used to capture, structure, and share
knowledge across the organization, to provide answers to common customer questions,
search for solutions to known errors, and improve the quality of service delivery to
customers.
A searchable repository is in place to capture, store, and share
1 Yes
knowledge.
The knowledge management tool/system includes the capability to
2 Yes
flag or provide feedback on knowledge content.
The knowledge management tool/system and service management
3 tool/system are integrated to optimize incident resolution and Yes
request fulfillment.
The knowledge management tool/system is integrated with self-
4 Yes
service to benefit users and customers.
Remarks
Maturity Level 1
Met - Confluence is used as the knowledge repository.
Maturity Level 2
Met - Users can rate (thumb up/down) an article and can add comments as
feedback.
Maturity Level 3
Met - Confluence is integrated with Jira Service Desk. Articles can be searched from
within the ticket. Support staff can link knowledge articles to tickets and vice versa.
Maturity Level 4
Met - Via the IT Support Portal, users can search the knowledgebase. When logging
a new ticket, the system will suggest content to users.

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4.100 Knowledge Resources

Knowledge is captured as an asset of the support center for reuse in the incident, problem,
request, access, and event management processes.
1 Knowledge content is used by support center staff. Yes
2 Knowledge content is contributed by support center staff. Yes
The support center has responsibility for the quality and accuracy
3 Yes
of knowledge repository content it uses.
Ownership of knowledge content is shared among support center
4 Yes
staff and primary support groups.
Remarks
Maturity Level 1
Met - Support staff use the knowledgebase.
Maturity Level 2
Met - Any member of the support team can contribute new or updated content.
Maturity Level 3
Met - A member of the Quality team checks the quality of the content and vets it
before it is made available to end users.
Maturity Level 4
Met - Designated spaces within Confluence are set up for the various support teams
who control their content and the sharing of access to it.

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4.110 Reporting Tool/System

Reporting tool(s) and systems must be in place to compile data from various support center
tool(s) and systems into performance results reports that can be used by support center
management. This is crucial to optimizing quality and performance.
Reporting tool(s) and/or system(s) are in place to compile data
1 from support center tool(s) and systems into support center Yes
performance results reports.
Reporting tool(s) and/or system(s) incorporate service level
targets and produce reports displaying actual performance
2 Yes
compared to the desired service level target for the majority of
performance indicators reported.
Reporting tool(s) and/or system(s) provide a consolidated view of
support center performance and can monitor and report
3 Yes
performance results in real time, highlighting opportunities for
performance and quality improvement.
Analytic tool(s) and/or system(s) that forecasts and predicts
4 outcomes, as well as the iREDACTEDt of changes, are available No
and used to communicate and set expectations.
Remarks
Maturity Level 1
Met - Jira Service Desk provides dashboard capabilities to present performance
results. Plug-ins are used to access and present customized data.
Maturity Level 2
Met - Dashboards present real-time status regarding SLA, and performance can be
boxed to provide results based on desired periods of time. The Clarity Connect
admin portal provides access to basic telephony reporting.
Maturity Level 3
Met - Dashboards provide ample historical and real-time reporting. Color-coding is
used to highlight potential performance issues.
Maturity Level 4
Not Met - No analytics tools are used to assist in forecasting.

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6.5 5.0 Process and Procedure

Processes and procedures must be in place to enable the support center to achieve its goals
and objectives. Processes and procedures critical to the support center’s operation must be
clearly identified, documented, and communicated to relevant stakeholders. The role of the
support center and the responsibilities of its management and staff in these
processes/procedures must also be clearly defined.
0
Event Management Customer/User Service Level Feedback Request Fulfillment Incident Management
Satisfaction Management Management
Management
5.010 5.020 5.030 5.040 5.050 5.060
0
Logging of Categorization of Prioritization of Status Levels of Initial Investigation and
Incidents/Requests Incidents/Requests Incidents/Requests Incidents/Requests Diagnosis of
Incidents/Requests
5.065 5.070 5.080 5.090 5.095

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0
Escalation of Resolution of Incidents Closure of Incidents Reopening of Incidents Problem Management
Incidents/Requests
5.100 5.110 5.120 5.125 5.130
0
Change Management Service Asset and Continual Improvement of Support Center Services Quality Assurance
Configuration Management Support Center Continuity Management Management
Processes/Procedures
5.140 5.150 5.160 5.170 5.180

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5.010 Event Management

Procedures are in place to detect events that may iREDACTEDt the delivery of supported
services, to identify events likely to result in incidents and/or requests, and to inform the
support center in a timely manner.
Documented procedures, along with supporting resources, are in
1 place to detect interruptions or degradations to the normal Yes
delivery of services.
The support center is notified in a timely manner about events that
2 No
have been identified as likely to result in incidents and/or requests.
The support center’s role and responsibilities related to event
3 management are documented and communicated to support No
center staff.
4 A support center representative is actively involved in the review of
Yes
the event management procedures for continual improvement.
Remarks
Maturity Level 1
Met - Autoscaling, Data Dog, and Zabbix tools are used to monitor servers. EventIO
is used to monitor status of key services. AirWatch is used to monitor mobile device
configuration.
Maturity Level 2
Not Met - The swarm process is used to alert and initiate involvement for major
outages. A Chat channel is used by the service desk to notify other TIAs regarding
events and monitors display status. However, procedures have no defined timelines
or guidelines as to which events should be reported, or how and when.
Maturity Level 3
Not Met - In so far as handling an outage, roles and responsibilities are clear
regarding resolution. However, the IT Support's role for notification to management
and users is not defined.
Maturity Level 4
Met - A senior TIA works with IT Operations and IT Security to coordinate and
initiate changes to monitoring practices.

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5.020 Customer/User Satisfaction Management

A process is in place to measure and manage customer and user satisfaction using a variety
of methods. Support center management uses the information gathered for continual
improvement of support services.
At least one method is routinely used to collect customer and/or
1 Yes
user satisfaction data.
Procedures are defined and consistently followed for responding to
2 Yes
results that do not meet a defined minimum satisfaction level.
Results are compared to customer/user satisfaction-based service
level targets. The results, as well as other feedback and
3 improvement opportunities identified, are routinely communicated Yes
to support center staff, primary support groups, and customers.
A comprehensive satisfaction program is in place that includes
multiple methods to assess customer and user satisfaction (e.g.,
4 periodic [relationship] surveys, ongoing [transactional] surveys, No
customer forums, feedback to the support center), and the results
are used for continual improvement of support center services.
Remarks
Maturity Level 1
Met - A survey is generated from within Jira and sent to the requestor for every
incident or request. The survey asks for a star rating and comments. The rating
scale is 1 to 5, with 5 being the best rating.
Maturity Level 2
Met - Negative survey responses (3 stars or less rating) or those with negative
sentiment are followed up on. The process is documented in the Customer
Satisfaction document. Follow-up on very satisfied ratings/comments is undertaken
on an ad-hoc basis.
Maturity Level 3
Met - A target has been set to achieve a rating of 4.9, out of a possible 5. Detail on
the survey is available on a Jira dashboard and shared with staff on daily calls after
quarterly results have been tabulated.
Maturity Level 4
Not Met - An annual survey happens close to year end to gain input on overall IT,
but it does not provide feedback actionable by IT Support.

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5.030 Service Level Management

A process is in place to measure the performance of support center services compared to
the expectations of its customers, internal support groups, and external support groups (if
any) through the use of published service level targets (SLTs) or service level agreement(s)
between the department and/or support center and customers.
There are documented service level targets for the services the
1 Yes
support center provides.
There are published service level objectives/targets between the
2 support center (or department that represents the support Yes
center) and customers.
The support center is involved or represented in meetings with
relevant stakeholders at least quarterly to review performance
3 compared to the agreed service level targets. Action plans are Yes
identified, documented and implemented to address any service
level improvement opportunities.
There are established formal agreements between the service
provider, or department that represents the support center, and
4 Yes
the customer. There are also established agreements with other
internal and external support providers.
Remarks
Maturity Level 1
Met - Key Performance Metrics are defined as internal service level objectives that
are above those presented to customers. These are published on the Support
Confluence page.
Maturity Level 2
Met - Service level targets are noted in the IT Support Operations Guidelines
document and in the Incident and Service Request Guides that are published on the
Support site.
Maturity Level 3
Met - The Exec dashboard is displayed on monitors within the support area and
available to all with JIRA accounts. These results are shared with EMG weekly and
presented to the Board quarterly.
Maturity Level 4
Met - IT Support is held to account for service level performance. Agreements are in
place with an external vendor regarding the purchase and warranty replacements of
hardware. IT Operations and Cloud Ops have agreements with infrastructure
vendors.

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5.040 Feedback Management

The capture and management of feedback (i.e., compliments, complaints, and/or
suggestions) from planned or unplanned interactions between the support center, its
customers, internal support groups, and external support groups is critical to the continual
improvement of the support center operations.
Procedures are in place to capture feedback to the support center
1 from customers, internal support groups, and external service Yes
providers.
Procedures are documented that outline actions to be taken in
2 response to captured feedback. Results from actions taken are Yes
communicated to the feedback contributor.
There is a documented feedback management process with
3 support center roles and responsibilities that are communicated Yes
and consistently followed.
The feedback management process is reviewed for continual
4 Yes
improvement.
Remarks
Maturity Level 1
Met - Users provide feedback via surveys and are encouraged during visits and
interactions to voice comments/concerns/suggestions to IT Support Management.
Using the Send Us Feedback link on the IT Support site will create a ticket in Jira
that will be actioned.
Maturity Level 2
Met - Survey feedback is followed up if sufficient information is provided to be able
to identify the requestor. A target has been set to follow-up on at least 20 surveys
monthly.
Maturity Level 3
Met - Procedures are documented for handling survey feedback with IT Support
Management and Quality Monitoring staff conducting the follow-ups.
Maturity Level 4
Met - The process document gets updated quarterly with changes and results.

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5.050 Request Fulfillment

Documented procedures for the handling and fulfillment of requests that are the
responsibility of the support center are in place, consistently followed, and maintained.
There are documented procedures for the handling or fulfillment of
1 Yes
requests.
The procedures for the fulfillment of requests that are the
2 responsibility of the support center include notifying customers Yes
when the handling or fulfillment is completed.
The procedures for the handling or fulfillment of requests are
3 Yes
consistently followed and maintained.
The procedures for the handling or fulfillment of requests are
4 Yes
regularly reviewed for continual improvement.
Remarks
Maturity Level 1
Met - Procedures for fulfilling requests are documented in the Service Request
Process Guide and in Confluence.
Maturity Level 2
Met - Requestors are notified automatically by Jira upon creation, status changes,
and resolution.
Maturity Level 3
Met - Quality Monitoring staff review closed tickets and provide feedback, ensuring
procedures are followed.
Maturity Level 4
Met - Procedures undergo annual review and are updated as required between
reviews. Changes are tracked in the Document Review and Approval within the
process document.

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5.060 Incident Management

The purpose of the incident management process is to respond to interruptions or service
degradations with the objective of restoring service as quickly as possible and minimizing
the iREDACTEDt to the organization. The support center’s role and responsibilities within
incident management must be defined, documented, and communicated.
There is a documented incident management process that defines
1 Yes
the process owner, manager, and practitioners.
The incident management process clearly defines the role and
2 responsibilities of the support center management and staff within Yes
the process.
The incident management process is consistently followed by the
3 Yes
support center and primary support groups.
The support center is involved in regularly reviewing the incident
4 Yes
management process for continual improvement.
Remarks
Maturity Level 1
Met - Procedures for handling incidents are documented in the Incident
Management Process Guide.
Maturity Level 2
Met - A RACI Chart documented in the Incident Management Guide identifies the
roles and responsibilities for steps related to the incident management process.
Maturity Level 3
Met - Quality Monitoring staff review closed tickets and provide feedback as do
those involved in the Dispatch Swarming process.
Maturity Level 4
Met - Procedures undergo annual review and are updated as required between
reviews. Changes are tracked in the Document Review and Approval within the
process document.

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5.065 Logging of Incidents/Requests

Documented procedures for logging incidents/requests are in place, consistently followed,
and maintained.
There are documented procedures in place for logging
1 Yes
incidents/requests.
All activities performed by the support center are recorded
2 according to the documented procedures prior to escalating or Yes
resolving incidents/requests.
The procedures for logging incidents/requests are consistently
3 Yes
followed by the support center.
The procedures for logging incidents/requests are regularly
4 Yes
reviewed for continual improvement.
Remarks
Maturity Level 1
Met - Procedures for logging incidents and requests can be found in the respective
process guides.
Maturity Level 2
Met - Comments are added to the tickets to capture input, actions taken, and
resolution activities.
Maturity Level 3
Met - Quality Monitoring staff review tickets to ensure that the actions have been
properly documented.
Maturity Level 4
Met - Procedures contained in the process guides are reviewed at least annually.

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5.070 Categorization of Incidents/Requests

Documented procedures for the categorization of incidents/requests, including a list of
category types, are in place, consistently followed, and maintained.
There are documented procedures in place for the categorization
1 Yes
of incidents/requests.
The categorization of incidents/requests is assigned based on the
2 Yes
customer’s description of the affected/requested service.
The procedures for the categorization of incidents/requests are
3 Yes
consistently followed by the support center.
The procedures for the categorization of incidents/requests are
4 Yes
Remarks
Maturity Level 1
Met - Procedures for categorizing incidents and requests can be found in the
respective process guides.
Maturity Level 2
Met - The categories within Jira align to the affected component (application or
device) that the issue relates to.
Maturity Level 3
Met - Quality Monitoring staff review tickets to ensure proper categorization.
Maturity Level 4
Met - Procedures contained in the process guides are reviewed at least annually.
The listing of components shows both active and archived entries indicating that
they are being updated.

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5.080 Prioritization of Incidents/Requests

Documented procedures for assigning and communicating the priority of incidents/requests
are in place, consistently followed, and maintained.
There is a documented prioritization level schema for
1 incidents/requests that is based on business iREDACTEDt and Yes
urgency.
There are documented procedures for assigning and changing the
2 No
priority levels of incidents/requests throughout its life cycle.
The procedures for assigning and changing the priority of
3 incidents/requests are consistently followed by the support center No
and other support groups.
The procedures for assigning and changing the priority of
4 incidents/requests are regularly reviewed for continual No
improvement.
Remarks
Maturity Level 1
Met - Procedures for prioritizing incidents and requests can be found in the
respective process guides.
Maturity Level 2
Not Met - The procedures identify a policy of allowing TIA staff to change priority,
but not the associated procedures.
Maturity Level 3
Not Met - Quality Monitoring staff review tickets to ensure proper prioritization, but
no review of priority change is undertaken.
Maturity Level 4
Not Met - Procedures regarding the changing in ticket priority need to be
documented and included in the review cycle.

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5.090 Status Levels of Incidents/Requests

Documented definitions exist for incident/request status levels. Procedures for assigning
and communicating the status of incidents/requests are in place, consistently followed, and
maintained.
There are documented definitions for incident/request status
1 Yes
levels.
Procedures are in place to maintain the status level of each
2 Yes
incident/request in a timely manner throughout its lifecycle.
Changes in incident/request status are communicated in a timely
3 Yes
manner to stakeholders.
The procedures for updating, changing, and communicating
4 incident/request status levels are regularly reviewed for continual No
improvement.
Remarks
Maturity Level 1
Met - Ticket status definitions can be found in the respective process guides.
Maturity Level 2
Met - The status of tickets is reviewed and managed at the daily scrum attended by
the dispatch swarm lead. Dashboards identify tickets whose status has not been
updated.
Maturity Level 3
Met - The Jira system notifies the reporter when ticket status changes.
Maturity Level 4
Not Met - The lack of clarity in the documented procedures is an indication that
they are not being reviewed for improvement.

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5.095 Initial Investigation and Diagnosis of Incidents

Documented procedures for the initial investigation and diagnosis of incidents are in place,
consistently followed, and maintained.
There are documented procedures in place for the initial
1 Yes
investigation and diagnosis of incidents.
All investigation and diagnosis activities performed by the support
2 center are recorded according to the documented procedures Yes
prior to escalating or resolving incidents.
The procedures for the initial investigation and diagnosis of
3 Yes
incidents are consistently followed by the support center.
The procedures for the initial investigation and diagnosis of
4 Yes
incidents are regularly reviewed for continual improvement.
Remarks
Maturity Level 1
Met - Procedures are documented in the associated process guides. Details can be
found in How To documents and troubleshooting sections in procedures guides.
Maturity Level 2
Met - Staff document actions and findings are within the ticket comments.
Maturity Level 3
Met - Quality Monitoring staff review tickets to ensure the proper troubleshooting
steps were used and documented.
Maturity Level 4
Met - As a result of routine review, templates for investigation and escalation have
been jointly developed.

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5.100 Escalation of Incidents/Requests

Documented procedures for the escalation of incidents/requests, both within and outside of
the support center, are in place, consistently followed, and maintained.
There are documented procedures for the escalation of
1 Yes
incidents/requests.
The procedures for the escalation of incidents/requests clearly
define the parameters for both functional and
2 No
hierarchical/management escalation within and outside of the
support center.
The procedures for the escalation of incidents/requests are
3 consistently followed by the support center staff and other Yes
support groups.
The procedures for the escalation of incidents/requests are
4 Yes
Remarks
Maturity Level 1
Met - Procedures for escalating incidents and requests can be found in the
respective process guides. The Support Awareness Map details the various contacts
and requirements for functional escalation of supported components
(applications/systems).
Maturity Level 2
Not Met - Hierarchical escalations are documented in the process guides, but only
from the perspective of the ticket reporter. Procedures as to how a TIA should
escalate an issue to management are not defined.
Maturity Level 3
Met - An escalation form is included in the ticket which is then escalated to a Senior
TIA. Swarm leads and Quality Monitoring staff review tickets to ensure proper
escalation procedures are being followed.
Maturity Level 4
Met - Routine review of procedures occurs as the Support Awareness Map is kept
as a living document.

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5.110 Resolution of Incidents

Documented procedures for the resolution of incidents are in place, consistently followed,
and maintained.
There are documented procedures for the resolution of incidents.
1 Yes
The procedures for the resolution of incidents include notifying
2 Yes
customers when incidents are resolved.
The procedures for the resolution of incidents are consistently
3 followed by the support center and other support groups. Yes
The procedures for the resolution of incidents are regularly

4 No
Remarks
Maturity Level 1
Met - Procedures for resolving incidents can be found in Confluence.
Maturity Level 2
Met - Ticket reporters are automatically notified by Jira when the incident status is
set to Resolved.
Maturity Level 3
Met - Quality Monitoring staff review tickets to ensure the correct resolution state
was used and sufficient details provided.
Maturity Level 4
Not Met - Confusion regarding the application of Closed verses Resolved within Jira
is an indication that the process is not rigorously reviewed for improvement.

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5.120 Closure of Incidents

Documented procedures for the closure of incidents are in place, consistently followed, and
maintained.
1 There are documented procedures for the closure of incidents. Yes
The procedures for the closure of incidents ensure that customers
2 Yes
agree to closure before incidents are closed.
The procedures for the closure of incidents are consistently
3 Yes
followed by the support center and other support groups.
The procedures for the closure of incidents are regularly reviewed
4 No
for continual improvement.
Remarks
Maturity Level 1
Met - Procedures for closing tickets are documented in the process guides. The
system will automatically close a resolved ticket after two business days.
Maturity Level 2
Met - A survey is sent to the user regarding impending closure of the ticket
providing instructions on reopening the ticket if they are not satisfied. During QA
review an analyst may contact the user by phone, email, or instant message to
validate proper closer.
Maturity Level 3
Met - QA practices ensure that procedures are being followed. Proper closure was
also validated during operations observation activities.
Maturity Level 4
Not Met - Proper review of procedures should have identified the uncertainty of the
functionality of the Close button on the incident form and clarified its use.

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5.125 Reopening of Incidents

Documented procedures for the reopening of resolved or closed incidents are in place,
consistently followed, and maintained.
1 There are documented procedures for the reopening of incidents. No
The procedures for the reopening of incidents enable reporting of
2 the number and percentage of reopened incidents for a specified Yes
timeframe.
The procedures for the reopening of incidents are consistently
3 No
followed by the support center.
The procedures for the reopening of incidents are regularly
4 No
Remarks
Maturity Level 1
Not Met - End users may request the reopening of an incident via the self-service
portal but procedures for handling closed incidents are not documented.
Maturity Level 2
Met - A Resolved ticket status goes to Reopened and then changes to any another
active status as per workflow. This change of status is counted and reported.
Maturity Level 3
Not Met - As the procedures are not clear, this cannot be adequately assessed.
Maturity Level 4
Not Met - Procedures cannot be properly reviewed as they are not documented.

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5.130 Problem Management

An effective problem management process will prevent incidents from reoccurring or
reduce the iREDACTEDt these incidents have on the organization through effective
knowledge transfer to the support center. The support center’s role and responsibilities
within the problem management process must be defined, documented, and
communicated.
1 There are documented procedures for logging problems. Yes
Problem management procedures include notifying the support
2 center about problems, known errors and solutions in a timely Yes
manner.
The problem management process is documented and clearly
defines the role and responsibilities of support center management
3 Yes
and staff within the process, as well as the role of other support
groups.
The support center actively participates in proactive problem
4 No
management activities.
Remarks
Maturity Level 1
Met - Procedures are found in the Support Problem Management Process
document. A PRIMARY TICKET is logged, and incidents are linked to this ticket.
Maturity Level 2
Met - An identified problem will trigger a swarm which IT Support leads, thus being
made aware of the issue. A Retrospective following the swarm will provide the
detection/workaround/fix which is typically stored in Confluence.
Maturity Level 3
Met - In the context of reactive problem management (swarming), IT Support roles
and responsibilities are defined as is the responsibility of other support teams to
keep the ticket and dispatch swarm lead updated.
Maturity Level 4
Not Met - Some proactive analysis may result in a Kanban, but formal proactive
problem management analysis is not conducted.

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5.140 Change Management

Change Management manages the introduction of new or changed supported services,
support center tools/systems, processes, procedures, documentation, and other items
necessary to the successful ongoing operation of the support center.
There are documented procedures for managing changes within
1 No
the support center.
The change management procedures include notifying the support
center of upcoming changes, as well as knowledge transfer to
2 Yes
support changes which may iREDACTEDt the customer and the
support
center.
The support center roles and responsibilities are documented
within the change management process or procedures. Roles and
3 Yes
responsibilities are reviewed on a regular basis for potential updates
and improvement.
The support center is adequately represented during the review
and approval of changes, and is authorized to halt the
4 implementation of a change if the change management process Yes
has been violated or if the support center or customer community
is not sufficiently prepared.
Remarks
Maturity Level 1
Not Met - IT Support system changes are governed by the overarching change
management procedures. The Kanban process will drive stories regarding required
changes. These stories are tracked but may not be tied to the change management
process, nor are changes to internal IT Support processes and procedures.
Maturity Level 2
Met - A Change Calendar is maintained in Confluence, Service availability is shown
in JIRA, and identifies services to be iREDACTEDted by impending changes.
Maturity Level 3
Met - The roles and responsibilities of IT Support management and staff are outlined
in the Support Change Management Process document. Version history indicates
that this document is reviewed at least annually.
Maturity Level 4
Met - IT Support is represented at the daily CAB meetings.

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5.150 Service Asset and Configuration Management

Service Asset and Configuration Management provides accurate and reliable information
about assets that provide the support center with its systems and tools, as well as the
support services used by customers. The support center should have access to relevant
service asset and configuration data during the investigation and diagnosis of incidents.
A procedure is in place which identifies, tracks and manages
1 configuration information about the service assets supported by Yes
the support center in the delivery of services.
There are service asset and configuration management procedures
that enable the support center staff to identify and report errors
2 Yes
and omissions in the service asset and/or configuration
management data when discovered.
A service asset and configuration management process is in place
which clearly defines the role and responsibilities of the support
3 Yes
center management and staff within the process, as well as the role
and responsibilities of other support groups.
Service asset and/or configuration management data is used by
4 the support center to facilitate the fulfillment of requests and/or Yes
resolution of incidents.
Remarks
Maturity Level 1
Met - Procedures are in place to manage assets and configuration information.
Tracking is done using the Jira Assets functionality.
Maturity Level 2
Met - The PDQ program takes inventory on systems and identifies discrepancies
which are then logged in JIRA. IT Support staff can edit records and are responsible
to ensure data is correct.
Maturity Level 3
Met - IT Support responsibilities are defined in the Asset Management Audit
Procedures document.
Maturity Level 4
Met - Support staff consult the data to validate client equipment and configurations.

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5.160 Continual Improvement of Support Center Processes/Procedures

The support center is involved with activities to continually identify and implement
improvements.
Procedures necessary to the ongoing operation of the support
1 Yes
center are identified and documented.
Processes and procedures necessary to the ongoing operation of
2 the support center are regularly reviewed to identify deficiencies Yes
and improvement opportunities.
Relevant stakeholders outside of the support center actively
3 participate in the activities to review and improve support center Yes
processes and procedures.
The support center has a documented process to ensure that
processes and procedures are regularly reviewed for
4 No
improvements, and updates are communicated to relevant
stakeholders, in a timely manner.
Remarks
Maturity Level 1
Met - Process guides and documents such as onboarding and off-boarding are
documented.
Maturity Level 2
Met - The commitment to quality improvement within IT Support extends to the
updating of documentation. Version tracking confirms key documents are being
updated.
Maturity Level 3
Met - Scrum activities involve stakeholders in the review and improvement of
processes and procedures.
Maturity Level 4
Not Met - A process to ensure that documents are being reviewed for improvement
opportunities is not in place.

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5.170 Support Center Service Continuity Management

Regularly maintained service continuity plans exist for managing interruptions to normal
support center service operations as a result of both planned and unexpected
circumstances.
There is a documented service continuity plan that defines the level
of service the support center will provide if normal operations are
interrupted or degraded, and how the support center will provide
1 the agreed level of service. The plan should address various No
scenarios (e.g., inclement weather, natural disasters, civil unrest,
etc.) that are appropriate to the support center and its geographic
location.
Support center systems and data that are critical to the ongoing
2 operation of the support center are identified in the service Yes
continuity plan.
There is a documented plan that contains provisions for the
3 availability of the support center’s critical systems and data in Yes
accordance with the support center’s service continuity plan.
The support center’s service continuity plan is regularly updated as
4 changes occur, and periodic tests are conducted to confirm the Yes
validity of the plan.
Remarks
Maturity Level 1
Not Met - Checklists are in place to ensure IT Support capabilities are operational
during contingency. How IT Support will gather equipment to conduct support
remotely is documented. However, the scenarios under which contingency plans
will be enabled are not defined nor are procedures as to how these situations will be
managed.
Maturity Level 2
Met - The required systems for IT Support are included in the IT Disaster Recovery
Program Framework and the Business Continuity Management Framework in the IT
Operations sections.
Maturity Level 3
Met - Restoral timeframes and staffing levels are identified within the above-
mentioned documents.
Maturity Level 4
Met - In addition to tested failovers, a yearly tabletop exercise regarding continuity
is conducted. IT Support management participates in this exercise.

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5.180 Quality Assurance Management

Process and procedures are in place to enable support center management to review the
quality of interactions between support center staff and users.
There are quality assurance procedures in place for monitoring and
1 reviewing interactions (e.g., phone, email, chat, in-person, etc.) Yes
between the support center staff and users.
There is a documented quality assurance process and the defined
2 activities are regularly conducted, and procedures are consistently Yes
followed.
The quality assurance results are communicated to support center
3 staff in a timely manner along with appropriate recognition and/or Yes
coaching.
The quality assurance results are used as a performance indicator
4 No
in the performance management process.
Remarks
Maturity Level 1
Met - Approximately 30% of closed tickets are reviewed for quality.
Maturity Level 2
Met - Quality assurance practices can be found in the IT Support - Quality
Management document. A team of three TIAs is assigned to review closed tickets
on an ongoing basis and assess parameters related to the service level provided,
the ticket details captured and troubleshooting procedures followed.
Maturity Level 3
Met - The IT Support manager meets with Quality Team once per week to review
the data. Overall results are then discussed in the morning call. A Quality Team
member will then conduct appropriate coaching.
Maturity Level 4
Not Met - Due to bargaining unit guidelines, quality scores cannot be incorporated
into the PMA process.

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6.6 6.0 Staff Satisfaction Results

The satisfaction of the staff that provides support center services can significantly influence
the organization’s success. Actual satisfaction results must be tracked and compared to
established goals in order to measure progress and proactively identify negative trends that
might iREDACTEDt morale, the degree of job satisfaction, and performance.
0
Staff Satisfaction Turnover Unplanned Absence Utilization
6.010 6.020 6.030 6.040

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6.010 Staff Satisfaction

The staff satisfaction management process should include an activity to collect measurable
support center staff satisfaction feedback data. Results should be reviewed and published to
stakeholders, including participants and management. Support center management should
engage participants in developing action plans from results and identifying specific
opportunities for improvement.
Performance data is collected and reported on a regular schedule
1 Yes
(e.g., monthly, quarterly, semi-annually, or yearly).
Reports show performance data compared against an established,
2 Yes
quantitative performance goal/target.
Reports show performance data trending toward the established
3 Yes
goal/target over the past two reporting periods.
Reports show the established performance goal/target has been
4 achieved or exceeded in at least three of the last four reporting Yes
periods.
Remarks
Maturity Level 1
Met - IT Support conducts a staff satisfaction survey quarterly.
Maturity Level 2
Met - A target is established for each question on the survey prior to its release.
Maturity Level 3
Met - Results show that no targets have been missed on any of the questions over
the past 4 quarters.
Maturity Level 4
Met - See above.

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6.020 Turnover
Unplanned staff turnover can be an indication of low morale and increased job
dissatisfaction. Actual turnover must be tracked and compared against an established goal.
1 Yes
(e.g., monthly, quarterly, twice yearly, or yearly).
2 Yes
3 goal/target over the past six months (or equivalent reporting Yes
periods).
Reports show the established turnover goal/target has been
4 achieved or exceeded in at least nine of the past twelve months (or Yes
Remarks
Maturity Level 1
Met - Data on planned and unplanned exits is tracked annually and reported by HR
monthly.
Maturity Level 2
Met - The target is no more than one unplanned exit per year. No goal is set on
planned exits as they are normally retirements which are identified a year in
advance.
Maturity Level 3
Met - There have been no unplanned exits in the last 3 years.
Maturity Level 4
Met - See above.

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6.030 Unplanned Absence

Unplanned absences of support staff have an iREDACTEDt on support center
operations. Unplanned absence days should be tracked separately from time lost due to
planned absences, short-term disability, or long-term disability. Actual unplanned
absences must be tracked and compared to an established goal.
1 Yes
2 Yes
Reports show unplanned absence data trending toward the
3 established goal/target over the past six months (or equivalent Yes
reporting periods).
Remarks
Maturity Level 1
Met - Data regarding unplanned absences is collected and reported monthly.
Maturity Level 2
Met - The target is to have no more than 16 days of unplanned absences in a
calendar month.
Maturity Level 3
Met - Only 13 days of absences have been occurring on average over the last year.
Maturity Level 4
Met - Within the past 12 months, there has been only one month where the target
was not met.

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6.040 Utilization
Optimal utilization of support staff is necessary for successful support center performance.
Actual utilization must be tracked and compared to an established goal.
1 No
2 Yes
3 goal/target over the past six months (or equivalent reporting No
periods).
4 achieved or exceeded in at least nine of the past twelve months (or No
Remarks
Maturity Level 1
Not Met - In the submitted data for this activity, utilization was being defined as the
measure of elapsed time from ticket creation to its resolution, excluding time in
paused states. This is really a measure of service performance and not TIA effort.
Maturity Level 2
Met - A target was set for utilization of 70% as defined above.
Maturity Level 3
Not Met - As the measurement is not properly stated, performance could not be
assessed.
Maturity Level 4
Not Met - See above.

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6.7 7.0 Customer Satisfaction Results

The perception of customers and users about the support center’s ability to meet their
expectations is an important factor in its overall success. Processes and procedures
designed to collect measurable feedback provide results that support center management
can use to manage satisfaction levels. Actual satisfaction results must be tracked and
compared to established goals in order to measure progress and proactively identify
negative trends that might iREDACTEDt the degree of customer and user satisfaction.
0
Periodic Satisfaction Results Ongoing Satisfaction Results Feedback Results
7.010 7.020 7.030

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7.010 Periodic Satisfaction Results

Periodic customer and/or user satisfaction surveys (also referred to as relationship or annual
surveys) are designed to measure overall satisfaction with the support center rather than
satisfaction with the handling of a specific incident/request.
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - An annual survey of all REDACTED staff containing 10 questions related to
their satisfaction with IT services is run by an external company. The most recent
survey had 1200 respondents.
Maturity Level 2
Met - A target has been established to achieve an average rating of 52 out of 100 on
the 10 questions.
Maturity Level 3
Met - Performance has been 2 to 3 points above target.
Maturity Level 4
Not Met - Only 3 surveys (years) worth of data was available which is not enough to
assess long term consistency.

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7.020 Ongoing Satisfaction Results

Ongoing customer satisfaction surveys are designed to measure satisfaction with the
handling of a specific incident/request.
1 Yes
(e.g., monthly).
2 Yes
periods).
Remarks
Maturity Level 1
Met - A 5-star rating system is used to capture user satisfaction following resolution
of the incident or request. A dashboard displays daily/weekly/monthly/quarterly
performance. The results are reported quarterly.
Maturity Level 2
Met - A target has been set to attain a rating of 4.9, out of a possible 5. Recently,
satisfaction was reported at 4.91.
Maturity Level 3
Met - Results have been consistently above 4.9 over the past five quarters.
Maturity Level 4
Met - See above.

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7.030 Feedback Results

Other sources of ad-hoc customer feedback exist and should be tracked and managed for
continual improvement of support center services. Compliments, complaints, and
suggestions from customers and/or users should be routinely collected from all possible
sources.
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - Ticket survey results are reviewed, and user sentiment is assigned based on
ratings and comments. The review of survey returns is ongoing, and results
reported quarterly.
Maturity Level 2
Met - The target is to ensure that 96% of the feedback is positive. Most recently,
feedback was rated at 96.44% positive.
Maturity Level 3
Met - Performance has trended down from a high of 98% but has consistently
stayed above the target.
Maturity Level 4
Met - See above.

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6.8 8.0 Performance Results

Performance results are the output of collecting and reporting performance data. Actual
performance should be reported and compared to established targets to measure progress
and identify trends that might iREDACTEDt the quality of services delivered by the support
0
Number of Number of Incoming Self-Service Effectiveness Average Time to Respond Abandon Rate Incident Resolution Time
Incidents/Requests Contacts
Logged
8.010 8.013 8.016 8.020 8.030 8.040
0
First Contact First Level Resolution Reopened Incidents Backlog Hierarchical Functional Escalation
Resolution Rate Rate (Management) within Support Center
Escalations
8.050 8.055 8.060 8.070 8.080 8.085
center.

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0
Functional Escalation Incident Resolution Time Knowledge Management Cost per Unit Quality
outside Support Center Distribution (Resolved by Link Rate
Support Center)
8.090 8.100 8.110 8.120 8.130

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8.010 Number of Incidents/Requests Logged

The number of incidents/requests logged by the support center from contacts received
from all support channels (e.g., phone, email, chat, web request, walk-up, fax, etc.).
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - The number of incidents and requests logged are tracked and reported
quarterly.
Maturity Level 2
Met - A service level objective has been set at 18,000 incidents/requests logged per
year (4.5K/Qtr.). The current average is around 7,000 per quarter.
Maturity Level 3
Met - Have been above target in all 5 quarters reported.
Maturity Level 4
Met - See above.

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8.013 Number of Incoming Contacts

The number of incoming contacts received by the support center from all support channels
(e.g., phone, email, chat, web request, walk-up, fax, etc.).
1 Yes
2 No
periods).
Remarks
Maturity Level 1
Met - The number of tickets logged by contact channel method is reported
quarterly.
Maturity Level 2
Not Met - The target is measuring performance against the same criteria as 8.010
(number of tickets logged). Actual interactions are not being accurately captured
nor is a target set that could be used to drive desired changes in behavior.
Maturity Level 3
Not Met - Performance cannot be assessed without valid targets against which to
compare.
Maturity Level 4

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8.016 Self-Service Effectiveness

Measurement of the adoption or effectiveness of self-service (e.g., website or portal visits,
use of knowledge content by customers, use of portal functionality to initiate
incidents/requests).
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - The number of page views on the IT Support Portal is tracked and reported
quarterly.
Maturity Level 2
Met - A target has been set to achieve 6,500 page views per quarter which is based
on 30% of staff accessing the support site once per week. 7,214 page views were
counted in the most recent quarter.
Maturity Level 3
Met - Although the target was missed in two quarters, it had previously been
exceeded significantly and has trended back above target in the most recent
quarter.
Maturity Level 4
Not Met - The target was not met in two of the last five quarters.

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8.020 Average Time to Respond

The average time required for the support center to answer or respond to incoming
contacts from all support channels (e.g., phone, email, chat, web request, walk-up, fax, etc.).
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - Response time is determined when the status of a ticket changes from New to
In Progress. It is calculated and reported quarterly.
Maturity Level 2
Met - The SLO has been set for first response within 0.5 hours. In the most recently
reported quarter, it was 0.31 hours.
Maturity Level 3
Met - Response time has been below target for the last five quarters, averaging
around 0.36 hours with a consistent downward trend.
Maturity Level 4
Met - The SLO has not been breached in the six quarters of data reported.

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8.030 Abandon Rate

The number of contact attempts from support channels (e.g., phone, chat, web request,
walk-up, etc.) that are terminated by the user prior to establishing contact with support
center resources.
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - Abandoned calls are measured and reported quarterly.
Maturity Level 2
Met - The target on abandoned phone calls is set at 3%. Currently, it has been
reported at 4.58%.
Maturity Level 3
Not Met - A positive trend back toward the target was being evidenced, but the
target was not reached, and the trend has turned negative in the most recent
quarter.
Maturity Level 4
Not Met - Performance has not been consistent, and the abandoned rate has not
been met in the last four quarters.

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8.040 Incident Resolution Time

The average time to restore service for incidents that are resolved by the support center.
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - Incident resolution times by priority are tracked and reported quarterly.
Maturity Level 2
Met - Resolutions SLOs are set by priority - 3 hours for high priority, 5 hours for
medium, and 12 hours for low. In the most recent quarter, objectives were met for all
priorities.
Maturity Level 3
Met - The average resolution time has been met for all priorities over the past four
quarters except for medium priority incidents in Q2 2019.
Maturity Level 4
Met - With only one breach almost 12 months ago, performance can be considered
consistent.

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8.050 First Contact Resolution Rate

The percentage of incidents resolved during the initial contact between the customer and
the support center.
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - FCR is measured and reported quarterly as a combined total for incidents and
service requests, excluding requests such as purchases. Resolution is considered
FCR based on the indication by the resolving TIA.
Maturity Level 2
Met - The target on FCR is set at 70%. It has been recently reported at 98%.
Maturity Level 3
Met - FCR has not been below 96% in the past 5 quarters.
Maturity Level 4
Met - See above.

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8.055 First Level Resolution Rate

The percentage of incidents resolved between the customer and the support center without
escalation to another support group.
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - Any ticket closed by a TIA within IT Support (Service Desk, Head Office, or
Field) is counted as having been resolved at first level. FLR is reported quarterly.
Maturity Level 2
Met - The SLO is to keep FLR above 90%. In the last full quarter, it was reported to
be 96%.
Maturity Level 3
Met - FLR has been reported at 96% or above for the past 4 quarters.
Maturity Level 4
Met - See above.

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8.060 Reopened Incidents

The total number or percentage of incidents that are resolved or closed and subsequently
reopened because the service was not satisfactorily restored.
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - An incident whose status has changed from Resolved back to an active state
qualifies as a reopened incident. Performance is reported quarterly.
Maturity Level 2
Met - The target has been set to keep the reopened rate at or below 3%. It is
currently reported at 1.6%.
Maturity Level 3
Met - The target has not been breached in the past five quarters. Performance has
ranged from 1.26% to 1.94%.
Maturity Level 4
Met - See above.

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8.070 Backlog
The total number or percentage of open incidents/requests at the support center compared
to their age.
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - Backlog is a measure of the number of tickets still open at the end of the
reporting period, which is currently quarterly.
Maturity Level 2
Met - Targets have been set to keep the number of open tickets below 400, with
the average number of days open below 250 days. For Q2 2020, only 162 issues
were open with an average open time of 118 days.
Maturity Level 3
Not Met - Prior to Q2, performance had been trending well above both targets, with
around 450 open tickets averaging over 400 days open. While the trend in volume
was down, the average number of days open was increasing.
Maturity Level 4
Not Met - Changes in closure requirements were made to help drive down the
backlog. The change in performance has not been evidenced to assess consistency.

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8.080 Hierarchical (Management) Escalations

The number or percentage of incidents/requests escalated to management due to a need
for additional resources, visibility to an issue regarding policies or procedures, or
customer/user feedback regarding services.
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - A ticket where a manager has been assigned or added as a participant is
considered a management escalation. Performance is reported quarterly.
Maturity Level 2
Met - The target is to ensure that less than 3% of tickets get escalated. Currently,
performance was reported at 1%.
Maturity Level 3
Met - On average, only 1% of tickets have been escalated to management over the
past five quarters. Q2 2020 reported the highest rate at only 2%.
Maturity Level 4
Met - See above.

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8.085 Functional Escalation within Support Center

The number of incidents or requests escalated within the support center, due to policy or
procedures, workload, or lack of knowledge/skills or expertise.
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - A ticket where a Senior TIA has been added as a participant, an assignee, or
added comments is considered to have been functionally escalated within IT
Support. Performance is reported quarterly.
Maturity Level 2
Met - The target is to ensure that less than 3% of tickets get escalated. Currently,
performance was reported at 1%.
Maturity Level 3
Met - Only 1% of tickets have been functionally escalated within IT Support over the
past five quarters.
Maturity Level 4
Met - See above.

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8.090 Functional Escalation outside Support Center

The number of incidents or requests escalated to support groups outside of the support

1 Yes
2 Yes
periods).
achieved or exceeded in at least nine of the past twelve months (or Yes
4
center due to policy or procedures, workload, or lack of knowledge/skills or expertise.
Remarks
Maturity Level 1
Met - When a member of another team outside IT Support has been added as a
participant or assigned to a ticket it is considered a functional escalation. These are
tracked and reported quarterly.
Maturity Level 2
Met - The SLO for functional escalations is to ensure that less than 4% of closed
tickets were escalated. Currently, performance was reported at 2%.
Maturity Level 3
Met - Only 2% of tickets have been functionally escalated outside IT Support over
the past five quarters.
Maturity Level 4
Met - See above.

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8.100 Incident Resolution Time Distribution (Resolved by Support Center)

Distribution of resolution times by a breakdown meaningful to the support center (e.g.,
priority, category, shift, user department, etc.) for incidents that are resolved within the
support center.
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - The average incident resolution time by priority level is reported quarterly by
location and compared against the SLA and SLO resolution targets.
Maturity Level 2
Met - The target is to ensure that there are no breaches of SLO/SLA targets.
Maturity Level 3
Met - Only one SLA average resolution time target has been missed for medium
priority issues in one location.
Maturity Level 4
Not Met - The number of SLO resolutions times was missed. The number had been
dropping since its peak in Q2 2019 but appears to be rising.

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8.110 Knowledge Management Link Rate

The percentage of incidents or requests linked to information contained in the knowledge
base used to assist in resolution.
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - The number of times an article within the Confluence knowledge base gets
linked to a resolved ticket is tracked and reported quarterly.
Maturity Level 2
Met - A target is set to exceed a 1% link rate. Currently in Q2, the link rate is 0.47%.
Maturity Level 3
Not Met - While a positive trend has been seen over the past 4 quarters,
performance is still far away from the desired target, which is found to be very low.
Maturity Level 4
Not Met - The target has yet to be achieved.

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8.120 Cost per Unit

The cost per unit for an element that is meaningful to the support center and organization
(e.g., user, customer, contract, incident/ request, etc.).
1 Yes
2 No
periods).
Remarks
Maturity Level 1
Met - The cost per resolved ticket is calculated using actual labour costs for all TIAs.
It is calculated and reported quarterly.
Maturity Level 2
Not Met - No target has been set. The cost per ticket in Q1 was $89.
Maturity Level 3
Not Met - Costs range from a low of $72 to a high of $93 per resolved ticket over
the past 6 quarters. However, performance cannot be assessed without an
established target.
Maturity Level 4

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8.130 Quality
The quality of support center interactions should be measured and reported (e.g.,
measurable results from criteria defined in the quality assurance management program).
1 Yes
2 Yes
periods).
Remarks
Maturity Level 1
Met - The review of quality of recorded tickets is ongoing. Results are tabulated and
reported quarterly.
Maturity Level 2
Met - The overall target on quality was raised from 90 to 94 in 2020. The combined
rating for the most current reported data is 95.5%.
Maturity Level 3
Met - Quality scores have stayed above the target and improved slightly.
Maturity Level 4
Not Met - Quality reviews only began in Q4 2019, not allowing enough data to
qualify for the rating of a 4.

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7. Auditor Information
7.1 Auditor
Darrell Bond is one of the founding partners of RADAR Solutions Group Inc., a services
management consulting and training provider focused on creating service excellence. Since
1998, RADAR has been helping customers enhance their service delivery operation s through
business and operations assessments, process improvement activities, and skills
development.
Darrell has applied his successful management techniques to a wide variety of projects and
programs ranging from locally focused service improvement projects to implementation of
worldwide service programs. He has been instrumental in helping transform organizations
through the adoption and integration of ITSM principles and processes including Incident,
Problem, Change, and Knowledge Management. In addition to defining and improving
processes, many of these projects have involved enhancing or integrating new service
management systems and telephone technologies.
With more than 36 years of experience in customer service delivery, Darrell has a strong
background in helping new businesses build service capabilities and existing organizations
transform, expand and improve their services through the application of proven best
practices. With a reputation for exceeding client expectations, Darrell’s quest to help others
improve service quality led him to become an HDI Certified Auditor, Assessor, and Instructor
where he teaches various classes for directors, managers, analysts, and individual
contributors.
HDI Certified Instructor for the following classes:

• HDI Support Center Analyst
• HDI Support Center Team Lead
• HDI Support Center Manager
• HDI Support Center Director
• HDI Problem Management Professional
• HDI Technical Support Professional
• KCS Foundation
• KCS Principles
Member of:
• HDI International Standards Committee
Mobile: 613-797-5141
Email: [email protected]

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7.2 Reviewing Auditor
Steve Matthews, Principal Consultant and Founder – DorLind, LLC

Steve is an experienced and seasoned consultant, mentor, and accredited trainer with over
36 years of Information Technology experience in various industries such as Insurance,
Health Care, Airline Sales Reporting, Transaction Processing and Merchant Services, Public
Utilities, and Transportation Services. Steve's experience spans both public and private IT
sectors and multiple IT areas including IT Management, Applications Development and
Support, Service Desk, Technical Support, Operations, and Systems Administration.
Fourteen years ago, Steve’s path migrated to IT Service Management consulting and training
utilizing the ISO/IEC 20000 Standard for IT Service Management and the ITIL® best
practices framework. It was this path that also led Steve to becoming an advocate and
ardent supporter of HDI and the HDI Support Center Standard. He’s been a Certified HDI
Auditor since 2012 and is also a member of the HDI Certification Standards Committee,
which is responsible for the development and maintenance of HDI standards used
worldwide.
Steve holds a B.S. in Business Administration from the University of Louisville and possesses
two of the highest-level IT Service Management (ITSM) related certifications.
Certifications and Credentials

• ITIL® 4 Managing Professional
• ISO/IEC 20000 Executive Consultant Manager (ECM)
• Auditor in Service Management for ISO/IEC 20000
• HDI Certified Auditor. Steve is also a member of the HDI Certification Standards
Committee, which is responsible for the development and maintenance of HDI
Standards.
• Distinguished Professional in Service Management (DPSM®) through The priSM®
Institute
Mobile: (502) 216-9954

[email protected]

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8. How to contact us
If you have questions or comments after reading this report, or need clarification, please do
not hesitate to contact the auditor or HDI.
HDI
121 S. Tejon Street, Suite #1100
Colorado Springs, CO 80903
Toll-free: (800) 248-5667
Email: [email protected]

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9. Appendix: HDI Support Center Standard Reference Model
Figure 1: HDI Support Center Standard Reference Model

The HDI Support Center Standard is organized into eight categories. Each category includes
multiple activities against which a support center is rated. The first five categories contain
activities which represent the enablers of quality. The remaining three contain activities
which represent results. Thus, the first five relate to performing activities, processes, and
procedures, while the last three relate to proof of actual performance compared against
targets.
9.1 Leadership
Leadership defines how managers and employees guide their organizations toward success
by inspiring and motivating employees. Support personnel should understand why their job
is important, receive satisfaction from their work, and feel supported and valued for their
efforts by management. 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. Important leadership
skills include fostering meaningful teamwork, resolving communication issues, determining
resource requirements, determining priorities, and inspiring an environment of cooperation
and enthusiasm.
9.2 Strategy and Policy

The vision, mission, goals and objectives of the support center’s functions must clearly and
effectively support the business purposes of the organization. As with any business activity,
goals and activities must all contribute to the organization’s ability to achieve its stated
goals. It is also essential that any support function be fully integrated into the IT
organization. Strategies and policies must translate into goals and objectives that can be

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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 organization.
9.3 Staff Management

An 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 continue to
evolve the required competencies needed to respond effectively to business requirements.
Performance feedback, peer and management recognition, corporate communication, and
opportunities for technical and professional growth are proven motivators.
9.4 Resources
The support center must have access to the resources and tools necessary to achieve its
goals and objectives; these may be infrastructure-related or support-specific. The scope of
this includes 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 including telephony, labs and
equipment, workforce management systems, service management systems, remote access
tools, knowledge management systems and reporting systems can provide significant
improvements in support center efficiency and customer productivity, which should result in
cost savings, revenue enhancements, higher quality services, and better alignment with
business needs.
9.5 Process and Procedure

The support center must have processes and procedures in place that enable it to achieve
its goals and objectives. These processes must be measurable, documented, communicated,
and understood by those who will manage and execute them. Examples of support center
processes include: proactive detection and remediation, self-service, customer satisfaction
management, service level management, feedback management, incident and request
handling, problem management, change management, asset and configuration management,
continuous improvement, service continuity management, and call and incident monitoring.
9.6 Staff Satisfaction Results

The satisfaction of the people belonging to an organization can significantly influence the
organization’s success. Support center personnel should be motivated to perform their jobs,
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
attitude toward work, absenteeism and turnover can reveal the degree of job satisfaction
within an organization.

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9.7 Customer Satisfaction Results

The perception of customers with regard to the support center’s ability to meet customer
expectations is an important factor in its overall success. Customers may have alternatives
for obtaining the support services; for example, customers can get support from other
providers, co-workers, product vendors, and the Internet. For the support center to earn the
position of favored provider, the organization’s culture should recognize the value and
support the importance of support. The support center’s value should be recognized at a
senior level and be visible throughout the organization. This is reflected in the existence of
an effective Service Level Management program and customer-centric performance
measures. Customer satisfaction measurement processes enable the support center to
collect feedback, manage satisfaction levels, and create an effective collaboration between
the support center and its customers.
9.8 Performance Results

Performance results are the measured achievements of goals and objectives. Goals and
objectives must be defined and realistic, and measurement processes must be reliable.
Results must be clearly communicated to the appropriate audiences. Performance results
must be consistently achieved, or the reasons for any variance must be clearly understood
and appropriate actions taken to achieve the desired results or revise goals as a result of
changes in the business.

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HDI Support Center

Certification Audit Report

1340 Pickering Parkway, Suite 101

On-site Visit Dates: July 06-10, 2020

Draft Report Date: July 22, 2020

Information Classification: General

©2018, HDI, All Rights Reserved, Final: July 28, 2020

1.060 Distribution and Communication of Information ....................................................................29

©2018, HDI, All Rights Reserved, Final: July 28, 2020

5.010 Event Management ..................................................................................................................64

©2018, HDI, All Rights Reserved, Final: July 28, 2020

8.016 Self-Service Effectiveness.........................................................................................................98

©2018, HDI, All Rights Reserved, Final: July 28, 2020

1.2 Executive Summary

©2018, HDI, All Rights Reserved, Final: July 28, 2020

©2018, HDI, All Rights Reserved, Final: July 28, 2020

Category Category Weighting Audited Passing Variance

1.0 Leadership 10% 4.0 2.3 1.7

Opportunities for Improvement

©2018, HDI, All Rights Reserved, Final: July 28, 2020

5.xxx – Workflows provide a roadmap to staff regarding execution of a process. Consider

©2018, HDI, All Rights Reserved, Final: July 28, 2020

1.3 Certification status

1.4 Word of Thanks

©2018, HDI, All Rights Reserved, Final: July 28, 2020

2.2 On-Site Audit

2.3 List of Evidence

2.4 Interviews Conducted

©2018, HDI, All Rights Reserved, Final: July 28, 2020

©2018, HDI, All Rights Reserved, Final: July 28, 2020

9:05 - 10:00 TIA

2.5 Analysis of Data Collected

2.6 HDI Review

©2018, HDI, All Rights Reserved, Final: July 28, 2020

©2018, HDI, All Rights Reserved, Final: July 28, 2020

4.2 Results Categories

©2018, HDI, All Rights Reserved, Final: July 28, 2020

5. Summary of Rating Scores

Category Category Weighting Audited Passing

©2018, HDI, All Rights Reserved, Final: July 28, 2020

5.2 Rating Scores in Graphical Format

Overall Strategy and Policy

Customer Satisfaction Results Resources

People Satisfaction Results Process and Procedure

©2018, HDI, All Rights Reserved, Final: July 28, 2020

5.3 Activity Rating Scores

Weighted Rating 4.0

2.0 Strategy and Policy

Weighted Rating 2.9

©2018, HDI, All Rights Reserved, Final: July 28, 2020

3.0 People Management

Weighted Rating 2.9

Weighted Rating 3.4

©2018, HDI, All Rights Reserved, Final: July 28, 2020

5.0 Process and Procedure

Weighted Rating 3.0

©2018, HDI, All Rights Reserved, Final: July 28, 2020

6.0 People Satisfaction Results

Weighted Rating 3.3