Use of Call Recording and/or Call Monitoring for Customer Service Improvement

University Policy

New York University (NYU) strives to maintain the highest quality of customer service while fielding calls to assist the University community. To improve and maintain a high level of customer service, NYU encourages ongoing training and career development for its employees. It also acknowledges that review and performance analysis are necessary elements of a state-of-the-art customer service program. Communication by telephone continues to be a critical tool in providing information, advice, and assistance to members of our community. To that end, individual colleges, schools, institutes, operating units, departments, and/or divisions may develop a customer service call recording and/or call monitoring plan solely for: (1) improving customer satisfaction; (2) assessing and improving processes; (3) creating visible accountability for performance; (4) maintaining quality standards; (5) improving efficiency and productivity; (6) demonstrating compliance; and (7) improving training concerning service calls. Neither call monitoring nor call recording at NYU is to be used for any other purposes. This policy does not form an agreement and may be amended, revised, and rescinded at NYU's discretion.

Purpose of this Policy

The purpose of this policy sets forth the rules and guidelines to be followed by all New York University colleges, schools, institutes, operating units, departments and/or divisions when establishing and implementing a customer service call recording and/or monitoring plan. This policy is also to be followed by employees who handle calls that are recorded and/or monitored calls.

Scope of this Policy

This policy applies to all employees involved in the developing, implementing, maintaining, and monitoring of customer service call recording and/or monitoring plans, and all employees who handle service calls that are recorded and/or monitored.

Procedures for Implementation

I. Implementing a Customer Service Call Recording/Monitoring Plan or Call Monitoring Plan

Refer to the Call Recording and/or Monitoring Considerations questionnaire (Appendix A), for guidance.

1. Determine whether to implement a Call Recording/Monitoring Plan or Call Monitoring Plan
   
   1. Call Monitoring Plan: authorized individuals will be able to access and monitor real-time service calls between contact center agents and clients/customers.
   2. Call Recording/Monitoring Plan: authorized individuals will be able to listen to recorded service calls as well as access and monitor real-time service calls between contact center agents and clients/customers.
2. Understand the technical requirements, which must be part of any call recording and/or monitoring plan:
   
   1. All recorded and/or monitored calls must be conducted by contact center agents through the University’s contact center interface.  This includes outbound calls initiated on behalf of the contact center by agents.
      
   2. Inbound callers must hear a pre-recorded message that their call will be recorded and/or monitored. You may select from the following prompts, based on which plan you implement and whether an alternative contact method is to be offered:
      1. “For quality assurance and training purposes, your call may be recorded and/or monitored.”
         
      2. “For quality assurance and training purposes, your call may be monitored.”
         
      3. “For quality assurance and training purposes, your call may be recorded and/or monitored. If you do not wish to have your call recorded or monitored, please email us at [provide departmental email address].”
         
      4. “For quality assurance and training purposes, your call may be monitored.  If you do not wish to have your call monitored, please email us at [provide departmental email address].”
   3. When agents make outbound calls to clients on behalf of their contact center they must state that the call is being recorded and/or may be monitored.
3. Identify who will listen to service calls and handle recorded and/or monitored service calls.
4. If calls are to be recorded, determine how long calls should be saved before they are deleted from storage.
   
   1. In general, recorded calls should not be retained beyond their usefulness or as required by applicable laws and regulations.  
      
   2. It is the responsibility of the Dean, Vice President or their designee at the college, school, institute, operating unit, department or division that will implement the plan to determine if any such regulatory requirements apply to their contact center and provide that information along with supporting documentation to NYU IT Global Infrastructure and Operations (GIO) and NYU IT Global Office of Information Security (GOIS).
      
   3. Where no regulatory requirements exist, recorded calls may be retained for no more than 90 days.
5. All customer service call monitoring plans must include:
   
   1. Training for those employees who will monitor and/or listen to recorded calls, including a directive to refrain from monitoring or listening to a recording of any personal calls due to an employee’s inappropriate use of the contact center agent interface, once it is determined that the call is personal;
      
   2. Training for employees who are handling the service calls;
      
   3. A written procedure for listening to recorded service calls or monitoring calls to assess the quality of the interaction, address common complaints, and evaluate customer/client needs. The written procedure must include: (i) the circumstances under which service calls will be recorded and listened to or monitored; (ii) the number of service calls that will be randomly recorded and listened to or monitored under normal circumstances; and (iii) how feedback will be provided to employees who handled monitored or recorded service calls;
      
   4. Standards on which to evaluate the quality of service, employee productivity, and the performance of the employees handling the service calls that are substantially similar to the Sample Employee Evaluation (Appendix B), which may be adapted to the needs of the college, school, institute, operating unit, department or division;
      
   5. A method to inform employees that negative performance feedback and failure to improve call servicing skills will be treated the same as any other performance issue; and
      
   6. Security controls that safeguard the sensitive information or data heard either while monitoring or listening to recorded calls, such as ensuring that the applications and devices used to monitor calls or listen to recorded calls are accessible only to those entrusted with this responsibility.
6. If a customer service call recording and/or monitoring plan is designed to include unionized employees who handle service calls, the draft customer service call recording and/or monitoring plan must be presented to and approved by the Office of General Counsel and Labor Relations and the Assistant Vice President of Employee and Labor Relations. This must be done prior to final approval by the Dean, Vice President, or their designee at the college, school, institute, operating unit, department, or division that will implement the plan.
7. Before a customer service call recording and/or monitoring plan may be implemented, it must be approved by the Dean, Vice President or their designee at the college, school, institute, operating unit, department or division that will implement the plan. The Dean, Vice President or their designee should complete the Call Recording and/or Monitoring Plan Sign-Off (Appendix C). By signing off on this form, the Dean, Vice President or their designee is approving the final Call Monitoring/Call Recording plan and accepting responsibility for the appropriate use of call recording and/or monitoring by their employees. The final, approved Call Monitoring/Call Recording plan for the college, school, institute, operating unit, department or division should be shared with the appropriate individuals to ensure continuity in the event of staff turnover. NYU IT Global Infrastructure and Operations (GIO) may contact the Vice President, Dean or their designee directly or indirectly to review and renew the Call Recording and/or Monitoring Plan Sign-Off.
8. Once a customer service call recording and/or monitoring plan is approved, the Dean, Vice President or their designee from the college, school, institute, operating unit, department or division must work with GIO to develop roles and permissions necessary to enable call recording and/or monitoring for their contact center(s). GIO can also discuss these technical aspects of call recording and call monitoring with the Dean, Vice President, or their designee during the planning phase of the implementation.
   

II. Employees Who Handle Calls Subject to Monitoring

Employees who handle service calls that will be monitored or recorded and listened to must:

1. Attend training sessions;
   
2. Follow protocol and procedures in the training sessions;
   
3. Refrain from making personal calls using the contact center interface where call monitoring and/or recording are enabled; and
   
4. Refrain from profanity or any other inappropriate language while on a service call.
   

Appendices

Appendix A: Call Recording and/or Monitoring Considerations Questionnaire (PDF)

Appendix B: Sample Employee Evaluation (Donation Solicitation) (PDF)

Appendix C: Call Recording and/or Monitoring Plan Sign-Off (PDF)