schwab rt call center product resource center/resource... · customer service representative (csrs)...

Schwab Retirement Technologies, Inc. ®

Schwab RT

CALL CENTER User Guide

Schwab RT Call Center

(April 2011)

The material contained herein is proprietary to Schwab and for informational purposes only. The information is not intended to provide tax, legal or investment advice. Schwab does not guarantee the suitabiliy or potential value of any particular information source. Certain information presented herein may be subject to change. The information or material contained in this document may not be copied, assigned, transferred, disclosed or utilized without the express written approval of Schwab.

The Charles Schwab Corporation provides services to retirement plans and Participants through its subsidiaries: Charles Schwab & Co., Inc.(Member SIPC), Charles Schwab Trust Company, a division of Charles Schwab Bank, Schwab Retirement Plan Services, Inc., Schwab Retirement Plan Services Company and Schwab Retirement Technologies, Inc.® (Schwab RT). Schwab RT is engaged in developing and licensing proprietary retirement plan recordkeeping systems to independent Third Party Administrators.

©2011. Schwab Retirement Technologies, Inc. All rights reserved.

Contents

Table of Contents Overview ..........................................................................................................................4

Configuring Call Center (Schwab RT Admin)...............................................................5 Configuration Fast Track ...............................................................................................5 Call Center Options .......................................................................................................6

Configuring Call Center Security (Schwab RT Admin)..............................................18

Using Call Center ..........................................................................................................20 Home Page Options ....................................................................................................20 Call Scenarios..............................................................................................................22 Call Tracking................................................................................................................25 Search Calls ................................................................................................................34 New Participant Calls...................................................................................................36 New Non-Participant Calls...........................................................................................37 Reports ........................................................................................................................38

April, 2011 Schwab Retirement Technologies of 41

Call Center

Overview Customer Service Representative (CSRs) can use Schwab RT Call Center to assist in managing, resolving, and documenting help calls from plan Participants and non-Participants, including Plan Sponsors and Financial Advisors.

Call Center offers the following features and benefits:

Immediate access to all open calls assigned to the CSR on the Home page.

Direct access to the Participant’s account on My Money web, with plan security enforced.

Direct access to the Plan Sponsor or Advisor web site, if caller is a Sponsor or Advisor.

Robust Call Search option.

Built-in data filters allow CSRs to facilitate access to (or to suppress) specific calls.

Customizable reports can be generated for a single CSR or for all CSRs.

Ability to create custom Call Statuses, Priorities, and Activity Categories.

CSR operator security, defined in Schwab RT Admin, ensures that only authorized users with the appropriate plan access permissions can access Call Center functions and caller web accounts.


Call Center

Configuring Call Center (Schwab RT Admin) This section describes and illustrates Schwab RT Admin options used to configure the Call Center application.

Configuration Fast Track The following table provides a summary of steps used to configure the Call Center application in Schwab RT Admin. Use the page references in the last column to access detailed information and screen illustrations for each step.

Task Schwab RT Admin Option

Define Call Statuses Call Center Options>Call Status

Define Call Priorities Call Center Options>Call Priority

Define Call Activity Categories Call Center Options>Call Activity Category

Define Call Activities Call Center Options>Call Activities

Create Operator Security Account for Call Center User

Security>User Wizard


Call Center

Call Center Options Schwab RT Admin includes the following system-level Call Center options:

Call Status The Call Status option lets you maintain the different statuses assigned to calls. The following statuses are provided by default.

• Closed Call

• Open Call

• Verify Open Call

• Voided Call


Call Center

Switching to Graphical View

To view the Call Status detail in graphical form, click the icon, as demonstrated below:

Adding a New Status

To add a new status, click the + icon, type the name of the status, and click Add, as shown below. The new status is added at the bottom of the table.

Note: Once a status is added, it cannot be deleted but you can choose to hide it so that it does not display in the Call Center application.


Call Center

Renaming a Status To change the name of an existing status, click the link in the Description column (if available), type the new status name, and click Rename, as shown below. The new status name appears in the Description column.

When you rename a status, the new name is applied retroactively to all call statuses in the system, impacting both historical and future records.

Note: Closed Call and Open Call statuses cannot be renamed.


Call Center

Hiding a Status Call statuses cannot be deleted once they are created but you can suppress the status in Call Center by clicking the Hide option in the Show/Hide column, as shown below.

To restore the status in the Call Center application, click Show.

When hiding a Status, you will be given the opportunity to change the status of the calls currently using that status to another status, as shown here:

Note: Closed Call and Open Call statuses cannot be hidden in the Call Center application.

Sorting

You can use the sort icon in the table header to reverse the order of the information displayed in that column, as demonstrated below.

A - Z Order Z - A Order

To sort a different column, first click inside the table header to move the sort icon from its current location to the new location.


Call Center

Filtering

You can use the filter icon that appears just below the column heading to determine the information that appears in the table.

In the following example, the column is filtered to show only statuses that begin with the letter v.

1. Click filter icon. 2. Select filter option. 3. Type criteria. 4. Click outside box.

To return to the default data view, click Clear Filter.


Call Center

Call Priority The Call Priority option lets you maintain the different priorities that can be associated with a call.

The following priorities are provided by default.

• Red

• Green

• Yellow

You can add new priorities and rename or hide existing call priorities. You can also customize the display by using the data filters and sorting options. For information on using theses standard features, see “Call Status.”

Note: The column Not Closed Calls provides a count of all calls that are not yet been closed.


Call Center

Call Activity Category The Call Activity Category option lets you maintain various categories of call activities. The Call Activity option is used to associate individual activities to Activity Categories.

The following Activity Categories are provided by default.

• Auto-Generated Call Tracking Activities

• Custom

• General

• Other Call Tracking Activities

• Recordkeeping

Note: An additional Web category is used internally for reporting My Money activity. The Web activity category is not displayed in the Call Center application and is not available for modification in Schwab RT Admin.

You can add new Activity Categories and rename or hide existing Activity Categories. You can also customize the display by using the data filters and sorting options.

For information on using theses standard features, see “Call Status.”


Call Center

Call Activity The Call Activity option lets you maintain various call activities and assign them to call Activity Categories.

Activities represent actions and requests processed through Call Center, Participant Web, Plan Sponsor Web, Financial Advisor Web, and Voice. Call Center Activity information from the various Schwab RT applications is updated automatically.


Call Center

Adding a New Activity To add a new Activity, do the following:

1. Click the + icon.

2. In the Select Category field, select the category to which the Activity will be assigned.

3. In the Enter New Activity field, type the name of the Activity and click Add.

Note: Once an Activity is added, it cannot be deleted but you can choose to hide it so that it does not display in the Call Center application.


Call Center

Renaming an Activity To change the name of an existing Activity, click the link in the Activity column, type the new Activity name, and click Rename, as shown below. The new status name appears in the Description column.

Due to historical data tracking requirements, you cannot reassign an existing Activity to a different Activity Category. You must create a new Activity, assign it to the appropriate category, and then hide the original Activity so that it won’t display in Call Center.

For information on using the sort, filter, and hide/show options, see “Call Status.”


Call Center

Default Activities The following activities are provided by default. The Category column identifies the category to which each category is assigned by default.

Activity Activity Category

End Call

Assign Call

Start Call

Call Priority Change

Call Status Change

Edit Call

Auto-Generated Call Tracking Activities

Common Question/Inquiries

Call Resolution

Other Call Tracking Activities

View Auto-Rebalance Participant Portfolio Options

Get All Auto-Rebalance Portfolios

Get Auto-Rebalance Portfolio Details

View Participant Balances by Source/Investment

View Participant Balances by Source

View Participant Balances by Investment

Get All Auto-Rebalance Cycles

View Auto-Rebalance Portfolio Info

Auto-Rebalance Elect-IN/OUT

Auto-Rebalance Cancel Pending Activity

Get Auto-Rebalance Pending Activity

Auto-Rebalance Change Cycle

View Auto-Rebalance Cancel Conflicting Activity

View Investment Transfer Pending

View Investment Transfer Fund Sale from List

Cancel Investment Transfer Pending

Investment Transfer

View Investment Transfer Fund Sale to List

View Investment Transfer Available Sources

View Participant Plan List

Recordkeeping

Change Participant PIN


Call Center

Activity Activity Category

View PIN Change Options

Reset PIN

View Participant Transactions

View Participant Hardship

Participant Hardship Request

View Participant Account Projection

Change Current Plan

View Participant Loan Data

Participant Loan Modeling

View Participant Synoptic Data

View Plan Synoptic Data

View Participant Pending Activity

View Participant Loan Modeling

View Investment Election by Source

View Investment Election Pending

Cancel Investment Election Pending

Participant Loan Cancel Pending

Investment Election Change

View Investment Election Available Sources

View Deferral Pending

Cancel Deferral Pending

Catchup Deferral Pending

Delete Note

Change Participant Deferral Percent

View Deferral Sources

View Catchup Deferral Pending

View Realignment by Source

View Realignment Pending

Cancel Realignment Pending

Cancel Catchup Deferral Pending

Participant Account Realignment

View Realignment Available Sources

Recordkeeping


Call Center

Configuring Call Center Security (Schwab RT Admin)

To gain access to the Call Center application, a user must be assigned the appropriate operator security record in the User Wizard, available from the Security menu in Schwab RT admin.

Assigning System Access Call Center users must be assigned to the CC system option on the Systems tab in the Security User Wizard.


Call Center

Defining System-Specific Settings After assigning the Call Center system to a user, you must select the CC system on the System-Specific Settings tab and define the settings shown below.

For complete details on using Schwab RT Security options, refer to the Operator Security User Guide, available from the Resource Center on schwabRT.com.

CC Settings Tab

Plan Group Restrictions Tab


Call Center

Using Call Center To access Call Center, complete the Logon page, shown below, and click Log On.

Home Page Options The Call Center Home page provides a convenient My Open Calls dashboard where you can quickly access all open calls assigned to you and view notes and activities associated with each call.

The My Open Calls grid includes the unique, system-assigned Call Id, Call Start Date, CSR Name, Plan name, Caller Id, and the call Status, Priority, and Notes, as defined in Schwab RT Admin. The Caller Id can be the caller’s Social Security number or other user Id or name associated with the Participant, Plan Sponsor, Plan Advisor, or other non-Participant. By default, the details on the grid appear in descending order by Call Date. The Home page also provides quick links and menu options that you can use to a search all calls in the system, generate reports, and open new calls from Participants and non-Participants.

To access the Home page from any other page in Call Center, select Home from the Main Menu.

For demonstration of the use of data filters, see “Filtering” in the configuration section of this document.


Call Center

The following illustration of the Call Center Home page shows the various menu options, links, filters, and other controls.


Call Center

Call Scenarios Some of the most common scenarios encountered by Call Center Reps are summarized below.

Scenario 1: Handling a New Call from a Participant Perform these steps when you receive a call from a plan Participant: Open the Call

1. From the Call Center menu, select New Participant Call (or click the Participant Quick Link option on the Home page).

2. In the Caller Details field, type the Participant’s User ID, and click Submit.

3. If the Participant has access to more than one plan, the Plan Summary page displays current information for all plans. Address and other synoptic information also appears, which you can use to verify the Participant’s identity. If the Participant has any existing open calls, the record will appear in the Open Calls grid.

Do one of the following:

a. To create a new call, click on a plan name in the list.

b. To open an existing call, click on the Call Id in the Open Calls grid.

4. On the Call Summary page, change the call priority and status, if needed, and click Submit to save the call to the database.

View/Modify the Call Record

5. To assist in resolving the call, you can use any of the following optional call tracking tools:

• My Money—Open this tab to access the Participant’s My Money Web account.

• Participant Activity—Open this tab to view Participant Web and Voice activity for a selected date range. Use data filters as needed to customize the display.

• Call Activity—Open this tab to view or add an activity description. Activities and Activity Categories are pre-defined in Schwab RT Admin.

• Call Notes—Open this tab to view or enter notes related to the call. Close the Call

6. When the call is resolved, you can close it by accessing the Exit Call tab, changing the status to Close Call, and clicking OK. You can also choose to assign a different status to the call before closing the call record.


Call Center

Scenario 2: Handling a New Call from a Non-Participant The procedure for handling non-Participant calls differs from the Participant call procedure in the following ways: • Use the New Non-Participant Call option instead of New Participant Call option.

(Or click the Non-Participant Quick Link option on the Home page.)

• If the caller is a Plan Sponsor or Financial Advisor, the My Money tab automatically accesses that caller’s home page (Plan Sponsor or Financial Advisor). If the caller is not an authorized My Money user, the My Money tab does not appear.

Scenario 3: Access an Existing Open Call Record Assigned to You Perform these steps to quickly access one of your open call records from the Home page. To locate a call assigned to another Call Center user, use the Search Call option:

1. On the Call center Home page, locate the call you want to access in the My Open Calls grid. To assist in locating the call, use the filter icon that appears just below the column heading to restrict the information that appears in the table. You can also re-sort data using the sort icon in the table headers.

2. If duplicate calls exist for the same caller, you call determine the subject of the call by expanding the activity detail window by clicking the icon in the first column at the left.

3. When you located the call record, click the Call ID to access the Call Summary.

4. Use the My Money, Participant Activity, Call Activity, Call Notes, and Exit Call tabs to resolve and document the call.

Scenario 3: Searching All Existing Calls Perform these steps when you want to search all existing calls, including those assigned to other Call Center reps: 1. From the Call Center menu, select Edit/Search Call (or click the Search Calls

Quick Link option on the Home page).

2. Choose the appropriate criteria (Caller Id, Call Id, or Date Range) at the top of the search page, and click Generate.

3. If needed, use the filter icon and/or sort icon to customize the data display.

5. If duplicate calls exist for the same caller, you call determine the subject of the call by expanding the activity detail window (if available) by clicking the icon in the first column at the left.

6. When you located the call record, click the Call ID to access the Call Summary.

7. Use the My Money, Participant Activity, Call Activity, Call Notes, and Exit Call tabs to resolve and document the call.


Call Center

Scenario 4: Generating Reports Perform these steps to generate Call Center reports:

1. From the Reports menu, select the Call Count or Call Detail option. 2. Choose the appropriate criteria at the top of the search page, including date range,

and click Generate.

3. If needed, use the filter icon and/or sort icon to customize the data display.

4. Click the appropriate icons at the upper right to export the report to PDF or Excel .

Notes:

• The Call Count report can also be accessed directly from the Home page by using the Click Here.. link in the Last 30 Calls Status section of the Home page.

• An additional report, the call-specific Call Summary Report, is available when you click on the Call Id link in the Call Detail report.


Call Center

Call Tracking

The Call Tracking record provides a series of tabs that follow the task flow of a typical call, from opening of the call to tracking caller activity and making notes to closing the call.

Call Summary When you open a new or existing call, the Call Summary tab appears, with basic information about the call, along with options to change the call Priority and Status. The Call Id appears in the Call Tracking header.

To access Call summary for a new call, select New Participant Call or New Non-Participant Call from the Call Center menu. To access Call Summary for an existing call, click the Call Id in the My Open Calls grid on the Home page. The corresponding quick links on the Home page can also be used to access Call Summary.

When you click Submit on this window, the call and any modifications you made to the call record, is saved to the database.


Call Center

My Money Click the My Money tab to view the Participant’s account on the My Money website. No separate login is required to access the My Money account from Call Center. The CSR can see everything the Participant sees, with plan security restrictions enforced.

If the caller is a Plan Sponsor or Financial advisor, as defined in Schwab RT Security, the My Money tab will seamlessly redirect you to the Plan Sponsor or Financial Advisor home page on the My Money web.

If the caller is a non-Participant and is not defined as a Plan Sponsor or Financial Advisor is Schwab RT Security, the My Money tab will not appear.

Note: For the initial release of the new Call Center, only English language My Money content is available.


Call Center

Participant Activity You can use the Participant Activity tab to view a record of the caller’s web activity for a specified date range or confirmation number. Enter the information and click Generate to create the activity report.

The web activity grid includes the web page accessed, the system, the type of activity, the date and time the activity occurred, any system message associated with the activity, and the confirmation number assigned to a completed activity. The grid shows both Participant activity and any activity generated on the Participant’s behalf by the Plan sponsor or Financial Advisor.

The filters provided beneath the column headers allow you to customize the information returned by a search. You can also use the sort icons to resort the data.

For demonstration of the use of data filters, see “Filtering” in the configuration section of this document.

Note: For the initial release of Call Center, the System column will show Participant for all Web activity, regardless of whether the activity was performed by a participant, a Plan Sponsor or a Financial Advisor. A future enhancement will provide the ability to distinguish between the different types of Web users


Call Center

Reprinting Paper Confirmations To support participants requesting duplicate copies of paper confirmation letters that were previously sent to them, Call Center allows users to flag a specific participant activity for reprocessing during the next scheduled run of the SchARP Create eDelivery Letters business activity.

To mark an activity for confirmation letter reprint, do the following:

1. On the call record, select the Participant Activity tab.

2. Use the Date Range option or the Confirmation Number (full or partial) option to search for the activity.

3. Click the down arrow in the first column to view activity date detail.

4. In the Reprint Paper Confirmation column, click the box for the corresponding activity. This box appears only for activities that have been previously confirmed by paper.

5. Click the Reprint Paper Confirmation button. This button does not appear until you select an activity in the Reprint… column. The confirm letter for that activity will be generated during the next scheduled run of the SchARP Create eDelivery Letters business activity.

The Reprint Paper Confirmation option is shown below. (Only the last two columns of the table are shown, using a different skin.)

For more information on eDelivery confirmation letter processing, refer to eDelivery —Notifications & Confirms User Guide, available from the Resource Center at SchwabRT.com.


Call Center

Call Activity You can use the Call Activity tab to document various activities that take place during the call. Descriptions are associated with the Activity Categories and Activities defined for your system in Schwab RT Admin. You cannot change the actual Activity or Activity Category here; you can only enter descriptions associated with an Activity.

To enter a new description, do the following:

1. Click the link that says Click here to add new description.

2. Select the Activity Category. This will restrict the list of available Activities to that category.

3. Select the Activity.

4. Type the description in the Activity Description field.

5. Click Add New Activity.

The Call Activity tab is illustrated below.


Call Center

The first 30 characters of the description appear in the Activity Description column. To view the full content of the description, click the Edit/View Description icon or simply hold your cursor over the icon, as shown below.

To modify an existing activity description, click the Edit/View Description icon , make the change, and click Update Description.

Note: You can view call activity for your open calls by expanding the activity detail window on the My Open Calls grid on the Home page.

Call Notes You can use the Call Notes tab to view or add custom notes to the call tracking record.

To enter a new description, do the following:

1. Click the link Click here to add new note.

2. Type the note.

3. Click Add Notes.

The Call Notes tab is illustrated below.


Call Center

The first 30 characters of a note appear in the Note Description column. To view the full content of the note, click the Edit/View Description icon or simply hold your cursor over the icon, as shown below.

To modify an existing note, click the Edit/View Description icon , make the change, and click Update Notes.

Note: You can view notes for your open calls by clicking the View link in the Call Notes column of the My Open Calls grid on the Home page.


Call Center

Exit Call When you finish working with the call tracking record, the final step is to go to the Exit Call tab, change the Call Status, if necessary, and click OK. The system saves all modifications to the call tracking record, closes the call record, and returns you to the refreshed Home page or, for calls with a status of Closed Call, to the Call Search page.

By clicking OK, you are closing the call record but the call itself is not closed until you change the status to Closed Call. Once the call status is changed to Closed Call, the call will not appear in the My Open Calls section of the Home page. You can continue to access a Closed Call from the Call Search page and view (but not modify) the call tracking record. You can also use the Re-Open Call tab to change the status to Open Call.

Click Cancel if you wish to continue working with the call record.

Best Practice: Always use the Exit Call tab to close the call record and automatically return to the Home page. Avoid using the back button on your browser to access the home page from the call record as this method may not refresh your data consistent manner.


Call Center

Re-Open Call When you access the call record for a closed call, the Re-Open Call tab appears, as shown below.

When you click the Re-Open Call tab, a prompt asks if you’re sure you want to re-open the call. If you click OK, the call status is reset from Closed Call to Open Call.


Call Center

Search Calls The Search Calls option lets you search all calls in the database, regardless of the CSR assigned to the call, using a variety of search criteria.

To use the Search Calls options, do the following

1. From the Call Center menu, select Edit/Search Call or click the Search Calls quick link on the Home page.

2. At the top of the Search page, specify the desired criteria (Date Range, Caller Id, or Call Id) and click Generate. Note: When searching by Caller Id or Call Id, you must first select the option and then enter a specific Caller Id (SSN or User ID) or Call Id in the field provided.

3. The system returns a list of calls that match your criteria. You can then use filter options and sort options to further customize the call data.

4. To view or modify a call, click on the Call Id link to access the call record. Note: You cannot modify a call with the status Closed Call.

If the Show Activity option is selected, the search will include activity detail which can be viewed by clicking the expansion icon in the left column. This information can help to distinguish multiple calls from the same user.

This illustration show the Search page along with the data filter options. For demonstration of the use of data filters, see “Filtering” in the configuration section of this document.


Call Center


Call Center

New Participant Calls The procedure for opening a new cal from a Participant, as described in “Call Scenarios”, is illustrated below.


Call Center

Notes:

• A link is provided at the top left if you need to return to the Caller Details prompt and try different Participant.

• The option to require the PIN field when verifying a Participant is defined in RK SQL System Maintenance/C282.

New Non-Participant Calls The procedure for opening a new call from a non-Participant is illustrated below:


Call Center

Note: For non-Participants, the My Money tab on the Call Record provides access to the Plan Sponsor or Financial Advisor home page, if that user has the appropriate security rights. If the caller has no security access to Schwab RT web, the My Money tab does not appear.

Reports The Call Count Report and Call Detail Report are available from the Reports menu. The Call Count Report can also be accessed directly from the Home page by using the Click Here... link in the Last 30 Calls Status section of the Home page.

An additional report, the Call Summary Report, is available when you click on the Call Id link in the Call Detail Report.

All three reports are illustrated below.

Call Count Report The Call Count report shows breakdown of calls by Call Status in both graphical and text formats.

You can specify a date range and generate counts for your own calls only (default setting) or for calls assigned to all CSRs.

Export options are available for both PDF and Excel.


Call Center

Call Details Report The Call Details Report provides detailed information on each call, including Call Id, Call Date, Elapsed Time, CRS Name, Plan, Priority, Caller Id, and Status, with the option to view activity detail associated with each call. A color-coded chart shows a breakdown by Call Status.

You can specify a date range and generate counts for your own calls only (default setting) or for calls assigned to all CSRs. You can also restrict the report to selected activities.

The report includes the standard data filters and sort options, and also features a regrouping option. Export options are available for both PDF and Excel.

You can click on the Call Id link for any call to display the Call Summary report for that call.


Call Center

Regrouping Data The Call Details report includes a regrouping option that you can use to resort and regroup the entire report based on selected data elements. The regrouping option is located in the upper left corner of the report grid.

By default, the report is sorted by Call ID. To regroup data, drag column header to the line above that says Drag a column here to group by. The display will change to a regrouped view and the primary sort element will appear at the upper left.

In the example below, the report is regrouped by Status. In this view, each status is listed in a tree display, with arrow icons that expand or collapse the corresponding data for each status.


Call Center

Call Summary Report This report, accessed by clicking the Call Id link on the Call Detail report, contains the Call summary, Activity Summary, and Call notes for the call selected by the user.


schwab rt call center product resource center/resource... · customer service representative (csrs)...

Documents