Voice Recording Audit for a National Bank

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A national bank engaged JP Reis to perform a Technology Audit on its voice recording platform which the business side of the organization deemed to be unfit for purpose.

Emotions appeared to be running high and from experience, our consultants knew that the problem would not be purely technology related.

Methodology

Our consultants started by investigating the voice recording platform itself and then interrogated the fault register to gain an insight into isolated and recurring issues. They then interviewed all internal stakeholders to ascertain front and back office perceptions before meeting with the technology vendor to discuss their findings. With inconsistent information coming in, our consultants spent time working alongside production and support functions to gain a better grasp of the situation.

Findings

JP Reis never overlook the business implications or organizational aspects of technology transformation. In this case, the voice recording technology was found to be satisfactory and fully operational. It wasn’t a perfect solution but neither was it the root cause of the perceived problems. The following findings illustrate where the true problems lay:

  • IT representatives never held meetings with The Business to avoid getting shouted at;
  • The Business had several anecdotal issues but because there was no robust tracking or fault reporting process nothing could ever be reviewed or evaluated;
  • IT was asked to maintain and support playback requests but couldn’t because HR withheld access rights from their staff based on perceptions of compliance requirements;
  • The Business was expected to test the voice recording platform and wider infrastructure twice a year;
  • The Compliance department was only concerned with obtaining recordings as required.
  • It transpired that HR’s heavy-handed access policy stemmed from them having no clear idea of what the compliance requirements were, so they had decided to play it overly safe.

As in so many cases, effective communication, or lack of it, was at the heart of the problems. The vague understanding of compliance requirements had exacerbated this and the implementation of the voice recording system had provided a trigger for tensions to escalate.

Solution

JP Reis arranged for the few existing fault tickets to be presented to The Business which demonstrated to them that either the system was more stable than first thought or the tickets were wrong. With those facts established we helped IT work with The Business to set up an effective fault reporting system. We also arranged for monthly meetings to be held between IT and The Business. We acted in a coaching, conciliatory role to help back office staff get through the first few meetings while production staff got other issues off their chest. We also instigated an escalation process in case either party tried to miss these sessions. The aim was to align meeting frequency with business needs.

We also facilitated a meeting between The Business, Compliance, HR and IT to clarify regulatory requirements. Compliance then drafted processes around access rights and reporting. Finally, we agreed to set up a review meeting every quarter to address any changes that had occurred to policy, people or process.

Outcomes

This bank could have spent £75k replacing a functional voice recording system that was already fit for purpose. Instead, they spent less than a third of that on a consultation process that helped drive effective collaboration between departments by removing uncertainty and false perceptions. This would have been achieved during the implementation process had JP Reis been awarded that project.

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