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    November 30, 2023

    A Complete Guide to Call Center Compliance

    Compliance is non-negotiable when it comes to running a successful call center. With so many regulations to navigate, it can be challenging to keep up with the latest requirements and ensure your center is fully compliant. 

    Are you running a call center and worried about compliance with regulations and standards? Look no further! Call Criteria can help you ensure that your call center stays fully compliant. Get in touch with us today to learn more about how we can assist you with all your compliance requirements.

    What is Call Center Compliance?

    Call center compliance refers to a set of regulations, laws, and standards that call centers must adhere to. This is particularly important for institutions that handle client interactions via phone, email, chat, or any other communication channel.

    The purpose of these compliance rules is to guarantee that call centers function morally, lawfully, and in a way that preserves the privacy and rights of both clients and staff.

    Common Compliance Policies Call Centers Adhere to

    The key aspects of call center compliance include the following:

    Payment Card Industry Data Security Standard (PCI DSS)

    These are security standards that ensure the protection of sensitive payment card information during payment card transactions. The PCI DSS‘s goal is to stop fraud and data breaches related to the handling of credit and debit card information. Any entity that processes, stores, or transmits payment card information must comply with PCI DSS.

    PCI DSS specifications address a number of data security-related topics, such as:

    • Building and Maintaining a Secure Network and Systems
    • Protecting Cardholder Data
    • Maintaining a Vulnerability Management Program
    • Implementing Strong Access Control Measures
    • Regularly Monitoring and Testing Networks
    • Maintaining an Information Security Policy

    General Data Protection Regulation (GDPR)

    Call centers must adhere to various laws and regulations that apply to their industry and the geographical areas they serve. GDPR is a legal framework that establishes rules for gathering and handling personal information from individuals residing both within and outside the European Union (EU). It empowers individuals with authority over their personal data and makes companies accountable for their treatment of this data. 

    This regulation is applicable to organizations globally, irrespective of their location, necessitating compliance for all that draw European visitors, even if they are not explicitly targeting EU residents with goods or services.


    Call centers must respect the privacy and communication preferences of customers. Consent involves obtaining clear, voluntary, and documented permission before collecting, processing, or using personal information, especially in situations where it’s legally required. Failure to obtain and respect consent can lead to regulatory violations and potential legal consequences.

    Do Not Call Registry (DNC)

    The DNC Registry is a list of phone numbers in the United States whose owners have requested not to receive unsolicited telemarketing calls. Compliance with the DNC Registry is essential for call centers engaged in telemarketing. Auto dialer solutions must facilitate DNC compliance to prevent call centers from violating DNC standards.

    The Telephone Consumer Protection Act (TCPA)

    This act is designed to protect consumers from intrusive telemarketing practices. It prohibits unsolicited telemarketing calls to residential phone lines and requires prior express written consent for certain types of calls, including auto-dialed or prerecorded voice calls to cell phones. 

    The TCPA mandates the provision of an opt-out mechanism and regulates unsolicited faxes and text messages. Compliance with complex regulations, including Do Not Call lists, is crucial to avoid legal penalties.

    Tracking Agent Performance

    This involves monitoring and evaluating customer service representatives to ensure they adhere to guidelines, regulations, and ethical standards. This is where quality assurance through call and screen monitoring comes in.  

    Documentation of agent performance and regular feedback sessions contribute to maintaining high standards and overall compliance with laws, regulations, and industry standards.

    Health Information

    Health Insurance Portability and Accountability Act (HIPAA) compliance necessitates stringent protection of patient data, including secure communication, employee training, access controls, audit trails, and encryption measures. Call centers may need to sign Business Associate Agreements (BAAs) when working with healthcare entities. Establishing an effective incident response plan, obtaining consent, and adhering to record retention requirements are components of this compliance.

    Regular Agent Training

    Agent training ensures that customer interactions align with legal and ethical standards. Agents must be well-versed in relevant laws, such as those governing telemarketing and data protection, and adhere to clear guidelines. Handling sensitive customer information securely is a priority, requiring agents to follow proper verification procedures. 

    The agents are trained to maintain a professional and respectful demeanor avoid offensive language and discriminatory behavior. Conflict resolution skills and regular updates through refresher training help keep the agents performing well.

    How to Ensure Call Center Compliance

    Without a clear strategy and tactical plan, it might be challenging for call centers to adhere to all the compliance rules. Here are tips to help keep up with call center compliance rules:

    Have A Clear Compliance Policy

    A well-defined policy not only communicates legal requirements but also establishes internal guidelines, ensuring consistency and professionalism across the call center. It addresses key areas such as data privacy, communication protocols, and industry-specific regulations. 

    A clear compliance policy is a roadmap for ethical conduct and legal adherence. It is an invaluable tool in mitigating risks, fostering a culture of responsibility, and enhancing the overall customer experience within the call center.

    Call Center Monitoring

    Several activities take place concurrently in call centers, making it difficult to monitor them. Thanks to advanced technology enabling meticulous oversight, call center monitoring has become easier and more effective. Monitoring tools identify potential compliance breaches, alerting supervisors immediately of the occurrence. 

    Monitoring affressively helps call centers to stay ahead of issues, ensuring consistency and compliance with rules. Call center monitoring also improves the customer experience as it fosters agent professionalism.

    Agent Coaching And Development

    A call center will only perform well if agents are well-trained and equipped for customer interactions. Call center agent coaching and training is a continuous process that agents must undergo regardless of performance. 

    Understanding what needs to be trained on and the progress of the individual is one of the hardest things to get right. With advanced tools such as those provided by Call Criteria, you can rest assured your supervisors can identify agent performance gaps, provide proper guidance, and track progress. The Call Criteria Coaching dashboard provides you with all the information needed to track and manage the impact of coaching and training for your agents to attain the highest standards.

    Consider Speech Analytics with Artificial Intelligence for Compliance

    It is generally not possible to review every contact with a customer using human review. However, modern automation tools such as speech analytics can be used to review 100% of interactions in near real-time. Speech analytics is especially applicable to compliance in contact centers. 

    A properly designed speech analytics solution can be configured to look for the presence or absence of keywords and phrases. This can include verbatim disclosures, banned words or phrases, and required words or phrases. Without the proper software, tracking compliance adherence can be a daunting task, leaving your supervisors frustrated. Speech analytics software flags any instance of compliance violation and can be used to immediately notify your supervisors if the compliance violation warrants escalation. 

    Early detection and notification of your team can mitigate risks before they get out of hand. It also provides visibility of those agents who are well-versed and those who are not with compliance rules. This visibility enables your organization to identify those that require further training quickly.

    Consider Using Scripts or Guidelines

    Considering the extensive details agents need to recall, it’s natural that they may not always grasp all the information they need. Providing call center scripts is a workable solution that can lower the burden on your agents. Script adherence can vary from those that provide guidelines to those that have to be followed verbatim and can even vary with a scripted interaction. For instance, the first part of a sales script may be guidelines to manage the flow of the interaction, but the end of the script is verbatim if there are mandatory disclosures that need to be relayed.

    Instead of solely relying on memory, agents can utilize these scripts as a reference, guiding them on what to communicate and do. This not only reduces the risk of oversight but also helps agents feel less overwhelmed in their roles.

    Your agents’ calls will be optimized, and they will correctly assist your consumers if you use call center scripting or guidelines. Additionally, your company will have the opportunity to shorten training periods, enhance customer service, and improve communication.

    Enhance Compliance with Quality Assurance By Call Criteria

    Call Criteria provides unbiased, cost-effective results to organizations to drive reduced costs, increased compliance, and improved sales conversions using world-class quality assurance technology, artificial intelligence, and people. With the many compliance rules for call centers, having a dependable call center quality assurance partner is a requirement. Call Criteria offers advanced tools for call center quality assurance and monitoring. Whether you want to ensure proper agent coaching or monitor your call center activities, Call Criteria is up for the task.

    It is only through achieving accuracy that your call center will improve its performance and compliance, thereby enhancing customer experience. This is why we supplement our speech analytics, Generative AI, and Machine Learning AI with human verification to ensure nothing slips through the cracks. Our human agents are there to verify the quality assurance and monitoring processes done by AI. 

    Call us today for a free diagnostic of your QA needs and to learn more about our advanced call center quality assurance capabilities.