Customer conversation compliance checklist

For contact center, collections and sales teams that talk to customers by phone or chat, with human agents, AI voice agents or both. Use it to find gaps, assign an owner to each item and review it on a regular schedule.

1. Before the conversation

• Scripts exist for each call type and include the disclosures that call type requires.
• Allowed calling hours and contact frequency limits are defined per country or region and enforced by the dialer or campaign settings.
• Do-not-call and opt-out lists are up to date and checked before every campaign.
• The legal basis for contacting customers and for recording calls is documented.
• Agents are trained on the scripts and rules above, and the training is recorded.

Section owner: ________

2. During the conversation

• The agent states who they are, which company they represent and why they are calling.
• The customer is told the call is recorded, where that notice is required.
• The customer's identity is verified before any account details are discussed.
• All mandatory disclosures for the call type are given, in words the customer can understand.
• No pressure, threats or misleading statements, including about consequences of not paying.
• Customers are not asked to say data that should not be spoken or stored, such as full card numbers or passwords.
• Signs that a customer may be vulnerable are recognized and handled according to a written policy.
• Requests to opt out, to complain or to speak to a person are honored and logged.

Section owner: ________

3. After the conversation

• The outcome of every call and the agreed next steps are recorded in a consistent way.
• Complaints are logged and handled within the deadline your policy or regulator sets.
• Recordings and transcripts are kept, and deleted, according to a defined retention policy.
• Access to recordings and transcripts is limited to the roles that need it.

Section owner: ________

4. Monitoring and quality assurance

• You have decided, and written down, which share of conversations is reviewed and why: a sample or all of them.
• Your QA questionnaire covers every item in section 2, with a defined compliant answer for each question.
• Critical failures trigger an alert with a named owner and a target response time.
• Reviewers, human or AI, are calibrated on the same conversations at regular intervals.
• Findings feed back into coaching, scripts and processes, and the changes are tracked.
• Review results are kept with enough evidence (reasoning, quotes, dates) to show internal audit or a regulator what was checked.

Section owner: ________

5. If you use AI voice agents

• Customers are told they are speaking with an automated or AI agent wherever that disclosure is required, and wherever you have chosen to give it.
• The agent's instructions include the same disclosures and prohibited statements as your human scripts.
• Conversations handled by AI agents are evaluated with the same questionnaire as those handled by people.
• There is a clear path to a person, or a callback, when the customer asks for it or the situation requires it.
• What is automated, who oversees it and how changes are approved is documented.

Section owner: ________

6. Governance

• Every item on this list has a named owner.
• The list is reviewed on a set schedule and whenever the rules that apply to you change.

Section owner: ________

Drellia evaluates calls and chats against your own questionnaires, raises alerts, with the quote from the conversation, on the questions you configure an alert for, and shows each answer beside the transcript. Learn more at drellia.com/resources.

Checklist provided by Drellia as general guidance. It is not legal advice, is not exhaustive and does not guarantee compliance with any law or regulation. Confirm the requirements that apply to you with your compliance or legal team.