Live presentation of Case Management: The Definitive Guide

CASE MANAGEMENTTHE DEFINITIVE GUIDE

Live WebcastMarch 3 | 2016

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


THE EXPERTS

MELISSA FRENCHContent Marketing Expert

MODERATOR

AUTUMN SANELLIProfessional Certified Investigator

KEITH READFormer CCO, British Telecom


SECRET SHOPPING

SECRET SHOPPING


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


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”

“

INVESTIGATION PROCESS


INVESTIGATIONS: PROCESS

74% of compliance executives use investigation

statistics to measure program effectiveness

- Compliance Strategy & Performance report 2016,

Ethisphere and Convercent


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

THE STAGESTO CONDUCTING A WORKPLACE

INVESTIGATION


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

INFORMATION GATHERING


SIX METHODS OF INVESTIGATIONS

1 Physical surveillance

2 Electronic surveillance

3 Research & Audit

4 Forensic Analysis

5 Undercover

6 Interviews

VERIFICATION & ANALYSIS


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

DECISION MAKING


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!

RETALIATION


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

NUDGE


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 …


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


NUDGE

Nudge in Compliance

So … will a well-delivered nudge make compliance performance budge?


CASE MANAGEMENT: THE DEFINTIVE GUIDE

Q & A

Thank You.

Software

Live presentation of Case Management: The Definitive Guide