How Automations in Dialer Solutions Can Make Life Easier for Compliance Officers

How Automations in Dialer Solutions Can Make Life Easier for Compliance Officers

June 3, 2024 | Convoso

Compliance officers for contact centers face the daunting task of ensuring that their organizations adhere to a myriad of regulations. These regulations span state-specific laws, federal mandates, and industry-specific guidelines. Contact center software solutions, or dialers, with built-in automations to support compliance are a powerful ally for compliance officers, streamlining processes and enhancing the accuracy of compliance efforts. 

This article explores how modern dialer solutions can help address the biggest compliance concerns, and what key features they should offer.

The Role of Dialer Solutions in Compliance

Automation in contact center software can significantly ease the workload of compliance officers by addressing several critical areas:

  1. State-Specific Regulations: Different states have varied regulations governing calling practices, including permissible call times and disclosure requirements. Good dialers will have tools that, when correctly employed, recognize and comply with these state-specific regulations, automatically ensuring that calls are only made within allowed times and with the correct disclosures.
  2. Timezone Calling Restrictions: Timezone restrictions can be a challenge. Use dialer settings that restrict agent ability to call individuals outside of legally allowed hours. They should be able to adjust call schedules based on the recipient’s timezone, minimizing the risk of violations.
  3. Call Frequency Rules: Automated systems can track call attempts and enforce frequency rules in accordance with state and federal rules. 
  4. Dynamic Scripting for Language Requirements: Some jurisdictions require specific language to be used during calls, or demand that certain information be conveyed. Dynamic scripting tools can help agents use language that complies with those requirements, adapting scripts in real time based on the recipient’s location and the nature of the call.
  5. Fraud Detection: Every call center today needs to employ some level of fraud detection. Automated systems can include sophisticated fraud detection mechanisms, such as identifying patterns indicative of fraudulent activity and flagging suspicious leads for review. This not only aids in compliance but also protects the integrity of the contact center. Several tools and integrations are available in the marketplace to protect against fraud, bots, and malware, such as
  6. Reassigned Numbers Database (RND): The FCC’s Reassigned Numbers Database helps avoid calling numbers that have been reassigned to new users, thereby preventing potential violations. Integration with RND allows dialers to automatically cross-reference numbers before initiating calls, reducing the risk of contacting individuals without consent.

Challenges of AI in Compliance

AI does NOT necessarily make life easier for compliance officers. Call center operators are increasingly using Conversational AI to boost efficiency and to explore new campaign strategies. While call center executives, managing costs and responsible for revenue, see AI from this vantage point, compliance offers tend to see a world of potential legal issues.

To make their lives easier, compliance officers need to provide clear guidelines for use of AI in SMS and voice when applied to outreach. Here are some key considerations:

  1. Disclosure of AI Use: When AI is used to initiate calls or send messages, the AI must disclose this to the recipient. The FCC considers AI-initiated calls to be “pre-recorded calls,” which have specific regulatory requirements.
  2. Express Written Consent: Both voice calls and SMS messages require express written consent from the recipient. This rule applies equally to AI-initiated outreach, and failure to obtain proper consent can result in significant penalties, increasingly on a state as well as federal level as more AI-specific legislation passes into state laws.
  3. Adherence to Best Practices: The same best practices that apply to human-initiated calls should be enforced for AI-initiated outreach. This includes respecting do-not-call lists, providing opt-out mechanisms, and ensuring message content complies with legal standards.

Dialer Feature Checklist for Compliance Officers

If a contact center is using a robust dialer solution, the compliance officer can leverage the benefits of automation to more effectively ensure compliance support throughout the organization. This checklist provides a quick summary of the capabilities to expect from your technology. Ensure your system can:

  • Verify State-Specific Regulations: Ensure your dialer solution is configured to comply with regulations specific to each state where calls are made.
  • Implement Timezone Restrictions: Configure the dialer to automatically adjust call schedules based on the recipient’s timezone.
  • Monitor Call Frequency: Use automation to track and enforce call frequency rules.
  • Utilize Dynamic Scripting: Implement dynamic scripting to ensure compliance with language requirements and disclosure mandates.
  • Enable Fraud Detection: Integrate fraud detection capabilities to identify and flag suspicious activity.
  • Integrate RND: Ensure your dialer is integrated with the FCC’s Reassigned Numbers Database to avoid contacting reassigned numbers.
  • Disclose AI Use: Clearly disclose when conversational AI is initiating calls or messages.
  • Obtain Express Written Consent: Ensure that express written consent is obtained and documented for all AI-initiated calls and messages.
  • Follow Best Practices: Apply the same best practices for AI-initiated outreach as for human-initiated calls, including respecting do-not-call lists and providing opt-out mechanisms.

Automation in dialer solutions can significantly reduce the compliance burden for call centers, allowing compliance officers to focus on higher-level strategy and oversight. By leveraging technology to adhere to regulations efficiently, contact centers can enhance both compliance and operational efficiency. By following best practices and implementing robust automation features, compliance officers can navigate the complex regulatory landscape with greater ease and confidence.

DISCLAIMER: The information on this page, and related links, is provided for general education purposes only and is not legal advice. Convoso does not guarantee the accuracy or appropriateness of this information to your situation. You are solely responsible for using Convoso’s services in a legally compliant way and should consult your legal counsel for compliance advice. Any quotes are solely the views of the quoted person and do not necessarily reflect the views or opinions of Convoso.

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