Rothstein Associates Inc.

CALL CENTER CONTINUITY PLANNING
by Jim Rowan and Sharon Rowan
includes CD-ROM

“Whether your company is large or small, plans and budgets in millions or
hundreds of dollars, operates according to strategic plans generated by
committees or by
the
seat of your pants, Call Center Continuity Planning gives you the no-nonsense,
practical,
real-world expertise you need to plan for and survive any and all ‘events’ - from
natural
disasters to mere unexpected volume - and do so efficiently, economically, and
profitably.
Call Center Continuity Planning shows you how to plan for continuity through
disasters large
and small - everything from power outages and hurricanes to unexpected peaks in
inbound
call volume that might threaten to swamp your call-takers.”

“Call Center Continuity Planning provides detailed information on:
- the concept of Call Volume Management, which treats the volume of calls
like
a
fluid which can be channeled from one place to another via computer-managed
switching.
- how to test your call center continuity plan with a full function tactical
evaluation
- how to define and manage all stages of a crisis as it escalates from a
mere
disruption to a full-blown formal emergency.
- the role government is likely to play during wide area disasters.”


“This book will help you to plan for continued operations of your call center
and,
therefore, your business, during a crisis. Whether your company is large or small,
plans and
budgets in millions or hundreds of dollars, operates according to strategic plans
generated
by committee or by the seat of your pants, this book contains helpful advice to
help you
continue business in virtually all circumstances.

“This book has three major sections. The first section is a discussion of
the
principles and philosophy of call center (voice) continuity planning. The second
section is an
examination of what is involved in preparation for planning and "call volume
management."
The third section is a discussion of what comes after the planning process -
testing and, in
case of a disaster, crisis management.”

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CONTENTS

INTRODUCTION

PART 1: PRINCIPLES OF VOICE RECOVERY
1 PLANNING PHILOSOPHY
Business Continuity
What Is a Call Center?
What Is a Disaster?
What Is a Business Continuity Plan?
Why Voice Recovery?
How to Build a Fire Engine
Notes

2 SIX PRINCIPLES FOR DEVELOPING AN EFFECTIVE PLAN
Principle I
Principle 2
Principle 3
Principle 4
Principle 5
Principle 6
Notes

3 ILLUSIONS OF RECOVERABILITY
Illusion 1
Recovery from One Fully Functioning Call Center to Another
Problem
Example
Illusion 2
Recovery to a Cold Site (Dark Site)
Problem
Example
Illusion 3
Recovery to a Virtual Call Center
Problem
Example
Notes

4 RATIONALIZING PROCRASTINATION
"The Executive Won't Support the Idea”
"We're Too Busy”
"We Don't Have the Budget for It”
"We Don't Know How”
"Where Would We Begin?”
"You Can't Plan for Everything”
"It Can't Happen Here”

PART 2: PLANNING

5 PLAN STAGES
Preplan
Recognize Problem
Justify Need
Management Buy-in
Dollar and Time Commitment
Planning
Recovery Team Selection
Business Impact Analysis
Risk Analysis
Plan Contents
Team Responsibilities
Backup Procedures
Disaster Implementation Tasks
Return to Normal Operations
Postplan
Plan Testing
Plan Maintenance

6 BUSINESS IMPACT ANALYSIS
Senior Management Buy-In
Identify Business Functions
Operations
Data
Communications
Utilities
Risk Implications
Lost Sales
Fines/Jail
Lawsuits
Loss of Market Share
Loss of Good Will
Loss of Employee Productivity
Loss of Shareholders
Business Impact Summary
Outline
Recovery Window
How Much Speed to Be Cost-Effective?
How Much Delay Is Deadly?
BIA Report
Why You Must Issue a Document
Executive Summary
Summary of Topics

7 RISK ANALYSIS
What Are The Risks?
Regional, Economic, Seasonal, Political
Statistics and Their Sources
Finding the Risks
Risk Analysis
Risk Categories
Insurance Industry Input
Risk Assessment Matrix
Examples of Levels
Probability
Degree of Predictability
Duration of the Disaster
Severity
Frequency of Types of Disasters
Speed of Onset
Amount of Forewarning
Risk Mitigation
Philosophy
Prevent What Is Preventable
Minimize Vulnerability
Planning and Preparation
Chicken Little and His Friends
Plan to Update Your Continuity Plan

8 RECOVERY TEAM SELECTION
Team Structure
Primary Personnel and Alternates
Tasks and Checklists
Keep Updated
Shift Schedule - Every Shift Must Have a Representative
Representatives from Security and Maintenance
Incident Manager
Centralized Reporting
Emergency Communications Plan
Emergency Operations Center
Authority
What the Incident Manager Does Not Do
Department Managers
No Bureaucratic Sign-Off
Full Support Essential
Keep Subordinates Informed
Keep Departmental Operations Information Updated
Updating Departmental Checklists
Notes

9 PLAN CONTENTS
Mission Statement
Scope
Commitment
Responsibility
Time Frame
Not a Career
State the Obvious, Then Start Planning!
Planning Process
Definition of a Disaster
"All Events Are Potential Disasters”
Many Disasters Start out as a "Bad Day”
"Any Event That Adversely Impacts”
Time Frames
RTO That Fits Your Company
Rationale
Team Responsibilities
Checklists Deputies.
Contact Information
Active
Passive IVR Situation Reports
Reports to Incident Manager
Up-to-Date
Escalation Plan
Levels of Response
Declaring an Emergency
Scalable: Same Procedures at Higher Pitch
Critical Documentation
Files (Letters of Agreement, Contracts) and Databases
Vendor Contact List
Equipment and Software Manuals
Critical Functions
Other Critical Tasks
Sales
Fulfillment
Accounts Receivable, Credit Card Payments
Public Relations
Business Communications and Purchasing
Critical Applications
Call Center Computer-Telephony Integration
Customer/Sales Database
Accounting Software
Word Processing and E-Mail
Call Volume Management Plan
Key to Call Center Continuity
Recovery Site Inventory
Backup/Recovery Process
Implementation Plan
Assessment and Declaration of an Emergency
Command Center
Alternate Personnel List
External Contact List
Inventory of Critical Documentation
Inventory of Equipment
Inventory of Forms
Distribution Register
IBM Business Recovery Services

10 TEAM RESPONSIBILITIES
Plan Update Requirements
Every Station
Every Change in Procedure or Contact
Every Department Representative or Alternate, Every New Employee
Every Change of Telephone Extension
Frequency of Updates
Predisaster Responsibilities
Checklist Updates
Training Sessions
Tests, Exercises, Simulations
On-Call Pager/Cellular Phone
Handover to Alternate
Updates of BIA
Disaster Responsibilities
Eyes and Ears of Incident Manager
Passing Messages and Instructions
Checklist Tasks and Notes
Head Counts and Condition Reports (Personnel)
Team Responsibilities by Expertise
Covering for a Disabled or Absent Team Member
Diffusing Panic
Recall/Call Lists (Company Personnel)
Conditions for Use (Privacy)
Ensuring Correctness of Information
Alternatives during Wide-Area Disaster
Constant Updates

11 IS DEPARTMENT RECOVERY PLANNING
What IS Does
Information Systems
Data Center
Site Team
Checklists and Objectives
Damage
Disaster Recovery
Interim Call-Handling Team
The Hot Site Recovery Team
Telco
Data Storage
IS Recovery and the Call Center

12 DISASTER IMPLEMENTATION TASKS
Whether to Declare a Disaster (or Not)
Every Disruption a Potential Disaster
Minor Disruptions with Major Consequences
Declaration of Disaster, Disaster Type
When There Is No Warning
When You Can See It Coming
When It Looks Innocuous, Then Embarrassing, Then...
Slow-Motion Disaster
Disaster of Infrastructure
Escalation Chart
Stages of Disaster
Ripple Effect
Same Methods in All Circumstances
Disaster Checklists
First Person to Notice Sounds Alert
Alerting Recovery Team
Assessment
Declaring a Disaster
Enacting the Plan
Following the Plan
Life Preservation
People First
Training Takes Over
First Aid
Evacuation and Rescue
Call Switching from the Parking Lot (Get Safe First)
When the Whole Recovery Team Is Incapacitated
Disaster Plan Survivability
Likelihood of Being Affected by the Same Disaster
Single Point of Failure
What Happens If Backups Fail?
Battered but Not Beaten

13 RETURN TO NORMAL OPERATIONS
Cold Site
Too Slow for Emergency Use
Useful for Long-Term Recovery from Outsource Call Center
Alternate Locations for Permanent/Temporary Relocation
Precontracted Premises
Similar to Building a Cold Site
Dependence on Assisting Call Center
Assisting Call Center Maintains Company Cash Flow
Restoration Procedures
Ensure Power, Telephony, Supporting Systems
Personnel
Information Systems
Telephony
System Restoration
Technical Personnel
Equipment Fitness
LAN Restoration
Server
Desktop Computers
Booting Up
Applications
Call Volume Management Restoration
Call Management Software Is Operational
Telco Confirms Connectivity
Alerting Assisting Call Center
Switching Call Flow

14 PLAN MAINTENANCE PROCEDURES
Operational Changes
"We Do It Differently This Week”
Planned Changes Changeover Date
Departments Responsible to Announce
Personnel Changes
Preparation to Hire Includes List Change
"He Moved to Another Company“
Human Resources Monitoring of Turnover Rate
Promotions and Task Changes
Hardware Changes
Documenting New Installation
Manuals and Specifications
Checklist Updates
Plan Book Supports Insurance Claim (Damage or Destruction)
Boot-Up and Maintenance Procedures
The Essential Person

PART 3 CALL VOLUME MANAGEMENT

15 CALL VOLUME MANAGEMENT ISSUES
External CVM Solutions
Real-Time Overflow
Interim Call Handling
Hot Site
Company Cold Site
Other Solutions
High-Volume Call Answer
Direct CSR Link
Preestablished Procedures for Disaster Call Routing
Real-Time Backup for Mission-Critical Calls
Internal CVM Solutions
Redundant Site
Distributed Architecture (Virtual Call Center)
Reciprocal Agreement

16 ICH AND RTMO
Interim Call Handling
What Is Interim Call Handling?
How Does it Work?
Scripting
Call Completion
What Should You Look for in an Interim Call-Handling Facility?
IBM Call Protect
Familiarizing External CSRs with Your Products, Services, and Customers
Aid in Answering Calls During a Disaster
Real-Time Minimum Overflow
Definition
Contract with Assisting Call Center
Prearranged Routing of Calls
Benefit to Your Company
Familiarizing External CSRs with Your Product, Services, and Customers
Quality of Service
"Can-Do" Attitude Needs Support
Initial Training on Dummy Databases
Pop-Up Screens and Scripts
Building Skill
Assistance for Peak Time-of-Day Call Volumes
Benefit for Customer
Benefit to Your Call Center Personnel
Aid in Answering Calls During a Disaster

17 OTHER USES FOR YOUR CVM BACKUP
Managing Call Volumes to Reduce Rates of Abandoned Calls
Call-Handling Goal
Caller Response to Being on Hold
Did Anyone Ask If Caller Had Time to Wait?
Hold Time Music or Message (Why, How)
Option to Receive Callback
Adapting to Seasonal or Time-of-Day Peaks
Pre-Christmas Rush (Season)
Cold Season Holiday Rush (Season)
Student School Supply Rush (Season)
Accountant's Tax Rush (Season)
Other Rush Seasons - General Discussion
Noon Hour (Time)
Cellular Rush Hour Calls (Time)
Utility Outages (Event)
Storm Tow Truck Rush (Event)
Monitoring Call Blocking of Faxes
Dealing with Too Much E-Mail
Scheduling Telephone Conferences and Videoconferences outside Peak Periods
Supplementing the Existing Call Center
How to Know If Your CSRs Are Losing Ground

18 CHECKLISTS
Components of a Checklist
Phases of a Crisis
Types of Checklists
Example Checklists

PART 4 TESTING

19 SIX QUESTIONS TO ASK WHEN DESIGNING A TEST
Where Are You Testing?
Live Call Center
Backup Call Center
What Are You Testing?
Revisiting Disaster Types and Causes
When Is the Best Time to Test?
End of Peak or Off-Peak Volume Period
Non-Vacation Time
Holiday Weekend
Midnight Shift, CSRs Off Shift, One Hour before Shift Commencement
How Are You Going to Test?
Notice or No Notice
Logical Review (Look for Flaws) .
Simulated Input Operational Evaluation (Talk-Through)
Physical Verification Exercise (Walk-Through)
Evacuation Exercise (Back-Up, Hand Over, and Walk Out)
Computer Simulation Testing (Heartbeat Drill)
Full-Function Tactical Evaluation (from Exhibit Event to Resumption of Operations)
Who Are You Going to Test?
Recovery Teams
Team Leaders
Call Center by Department
Facility Managers
Why Are You Testing? (Result)
Training Value
Logical Faults
Prove Plan Functionality
Prove Plan Current (Vendor and Other Contact Lists)
Instill Confidence (Team!)

20 TYPES OF TESTING
Simulated Input Operational Evaluation
Paper Test
Planned Inputs
Critical Business Functions
Not Time Sensitive
Physical Verification Exercise
Walk-Through with Checklists
Where Are Emergency Exits
Where Are the Backup Disks
What Equipment Is Used for Handover of Calls
Time Sensitive
Evacuation Exercises
Fire Drill (out of Building)
Handover of Calls and Head Counts
Computer Simulation Testing
AT&T WinCAPS
IQ Services
Full-Function Tactical Evaluation
Yes, It Is a Big Deal
Real Emergencies Come at Worst Time
Obtaining Cooperation of Emergency Organizations
Obtaining Cooperation of Your Critical Vendors
Obtaining Cooperation of Company Personnel
Public Relations
Handing-Over Calls: Keeping Customers Out of It
Security
Time Sensitive

21 TEST OBJECTIVES
Prove Functionality of the Plan
Do Not Be Distressed If Tests Seem Like a Mess
Finding the Leak in the Fire Engine Tire
Test More, Not Less
Test Continuity of Business Processes
Backing Up Data
Handing over Calls to an Alternate Site
If You Plan for the Alternate Site to Make Sales
If You Plan for the Alternate Site to Receive Payments
If You Plan for the Alternate Site to Provide Fulfillment
If You Plan for the Alternate Site to Process Payables
If You Plan for the Alternate Site to Handle Business Communications
If You Plan for the Alternate Site to Handle Customer Service and Public Relations
If You Plan for the Alternate Site to Handle Purchasing
Testing Function and Timeliness
Test Backup Plans
Test Call Flow Patterns
Peaks and Lows; Orders and Customer Service; Intuition and Graphs
IVR Programming Loops ("IVR Hell")
Prove Logistical Plans
Delivering Calls to Alternate Site(s)
Delivering Backup Data to Alternate Site(s)
Receiving Replacements of Equipment
Receiving Electrical Generators
Emergency Supplies for Employee Residences
Delivering Personnel to Hot Site
Testing Use of the Continuity Fund
Testing Vendor Response
Testing Insurance Arrangements
Wide-Area Disaster: Dealing with Distant Vendor Representatives
Walk-Through and Time-Sensitive Tests
Test Restoration Procedures
Restoration of Building and Systems
Data Reconciliation
Restoration of IAN
Restoration of Call Volume
Restoration of Critical Business Functions
Prove Network Connectivity
Familiarize Personnel with Emergency Procedures
Virtues of a Messy First Test
Breaking the Plan into Bite-Sized Chunks
Five-Minute Walk-Through Test
Teaching "Second Nature" (Learning to Live by Checklist)
Explaining Plan Updates
Make Testing Part of Normal Routine
Announcing Test by Name
After-Test Morale Boost (T-Shirts, Congratulatory E-Mail, Perspective)
Running Your Test
Use Responses Laid Out in Checklists and Manuals
Note What People Really Do in (Simulated) Crisis
Flag Deviations from the Plan in Your Test Notes
Use Only Resources That Are Available at the Time of the Test
Act as if the Event Were Real (for Training Value)
Use Monitoring Staff from Departments Not Being Tested
Be Prepared to Terminate Test If Someone Suffers Panic (and Reschedule)
Identify Each Incident with Its Own Test Name
Plan Test Objectives in Advance
Plan Test Assumptions in Advance
Test Evaluation
All Participants Attend After-Test Assessment Meeting
Distant Participants Attend by Telephone or Videoconference
Record Proposed Plan Amendments
Update All Plan Books and Checklists

PART 5 CRISIS MANAGEMENT

22 CRISIS LEADER, INTERNAL COMMAND, AND CONTROL
Authority to Deal with All Aspects of the Crisis
Chain of Delegated Authority
Discussion of Crisis Communications
Internal Command and Control Procedures
Public Relations Coordination
Authorized Release of Information
Designated Meeting Place

23 BASIC CRISIS MANAGEMENT
Event
Alarm
Assessment
Notification
Phases of a Crisis

24 PERSONNEL ISSUES
Location
Wide-Area Disaster Makes Commuting Arduous
Alternative Call Center
Cost
Capacity
Coordination of Transportation
Post-Disaster Trauma
Willingness to Return to Work
Family Care Issues
Replacement Workers

PART 6 CONCLUSION

25 CONTINUITY PLANNING FOR YOUR CALL CENTER
The Well-Equipped Fire Engine
Brief Summary
Discussion: Continuity Might Be of Essentials Only
Just Reading This Book Is Not Enough!
Successful Recovery
Testing Continuity
Planning for Continuity in Banking
Planning for Continuity for Utilities
Discussion: Not Just Like It Was
Call to Action: Plan and Test
Call to Action: Keep Plans Up-to-Date
Contact Us

PART 7 APPENDICES
A Tables
B Sources
Major Sources
Minor Sources
C A "Wake-Up Call" for the Call Center Industry
The Storm
Returning to Work: Anecdotes
Why Planning Is Essential: The Costs Associated with Wide-Area Disaster
“Wake-Up”
D Glossary
Index

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ABOUT THE AUTHORS

Jim Rowan is Director and Founder of Voice Recovery Services, an IBM
Partner
company. Sharon Rowan is a professional writer.

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1999, 421 pages - PLUS CD-ROM. Order #DR349.
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4 Arapaho Rd.

Brookfield, CT 06804-3104

1-888-ROTHSTEin

Telephone: 203.740.7444; 888.768.4783

Fax: 203.740.7401

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