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Transcript of Live presentation of Case Management: The Definitive Guide
Convercent © 2015. All Rights Reserved.
WHAT WE’RE COVERING TODAY
Secret ShoppingA best, but underused, practice
The InvestigationWhy have a process?
What About RetaliationActually using your policy
The NudgeWhat it means and how to use it
+ All attendees will receive a recording of the presentation and copy of the slides. + Please use the Chat/Question function to submit questions to our speakers.
HOUSEKEEPING
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THE EXPERTS
MELISSA FRENCHContent Marketing Expert
MODERATOR
AUTUMN SANELLIProfessional Certified Investigator
KEITH READFormer CCO, British Telecom
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SECRET SHOPPING
Mystery shopping is an underused practice industry wide
Conduct a mystery shop by calling into your own call center and posing as an employee presenting a problem
Identify gaps, areas to retrain, gather data to test and measure performance
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SECRET SHOPPING
Put simply, the mystery shopping program was a
revelation; we found that despite all our blood,
sweat and tears invested in training, there were
often common compliance failures across whole swathes of operators”
“
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INVESTIGATIONS: PROCESS
74% of compliance executives use investigation
statistics to measure program effectiveness
- Compliance Strategy & Performance report 2016,
Ethisphere and Convercent
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INVESTIGATIONS: PROCESS
“Regardless of which channel an incident is reported, best practice is to have all incidents recorded and managed in a single, streamlined and central location for accessibility.”
You need to have a documented process / guideline
It has to be structured, yet generalized
Not enough to have a process, must follow it consistentlyDocument: how complaints are received, how they are assigned, timelines, general steps/stages, follow-up
Establish a good faith investigation
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INVESTIGATIONS: CONDUCTING A WORKPLACE INVESTIGATION
TIMEIs the matter worthy of an investigation? At what level?
WHOIf the parties involved are, in fact, employees and were working on the date and time in question
NOTIFYWho else in the organization should be notified prior to the initiation of the fact-finding or before interviews take place. If there are any parties external to the organization that should be notified?
SUPPORTWhat policies, practices, and precedents exist which may impact the intended investigation and the manner in which it is to be conducted
THE ASSESSMENT
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SIX METHODS OF INVESTIGATIONS
1 Physical surveillance
2 Electronic surveillance
3 Research & Audit
4 Forensic Analysis
5 Undercover
6 Interviews
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INVESTIGATIONS: VERIFICATION & ANALYSIS
Timeliness and Materiality of the allegations
Cooperation of reliable witnesses
Compare information learned in interviews with known facts Quality of corroborative or supporting evidence
Creditabilityof interviewees
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INVESTIGATIONS : DECISION-MAKING
Responsibility of the organization’s decision-makers
Finding should be presented in the form of a verbal and/or written report
More difficult without an admission
Disciplinary and corrective action Not always necessary Normally, it is HR and management who dispenses discipline DOCUMENT!
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RETALIATION
Retaliation can take many forms:
Organizational level Managerial level Peer level
Retaliation can involve
”Hard” and “soft” Discipline Dismissal Harassment
Retaliation impacts
Individual reporter Employees’ initiative to
report incidents in the future
Retaliation indicators
Annual performance reviews Raises Bonuses Disciplinary actions Career progression
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NUDGE
EFFECTIVE COMMUNICATION IS KEY TO COMPLIANCE
But… “Not another compliance e-mail” Ignored, skimmed or deleted, often without reading Limited compliance communications best practice
Nudge Theory Nudge theory (or Nudge) is a concept in behavioral science, political
theory and economics which argues that positive reinforcement and indirect suggestions to try to achieve non-forced compliance can influence the motives, incentives and decision making of groups and individuals, at least as effectively – if not more effectively – than direct instruction, legislation or enforcement
Nudge in Practice Minor changes in communications approach can bring major benefit Critics argue that nudge will not bring sustained behavior change However, in some trials …
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NUDGE
NUDGE 1A trial with Her Majesty’s Revenue & Customs - the UK IRS - showed how telling late tax payers that most people in their towns had already paid their tax increased payment rates by 15 percentage points. When rolled out this will generate £30M of extra revenue to the government annually
NUDGE 2A trial with the Courts Service showed how personalized text messages were six times more effective than final warning letters at prompting fine payments. The Courts Service estimate that this will save some 150,000 bailiff interventions and £30M year when it is rolled out across the country
NUDGE 3
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NUDGE
Nudge in Compliance
So … will a well-delivered nudge make compliance performance budge?