{"id":8679,"date":"2024-06-21T02:33:46","date_gmt":"2024-06-21T07:33:46","guid":{"rendered":"https:\/\/activeprospect.com\/blog\/\/"},"modified":"2024-08-05T16:35:19","modified_gmt":"2024-08-05T21:35:19","slug":"audit-to-gain-compliance","status":"publish","type":"post","link":"https:\/\/activeprospect.com\/blog\/audit-to-gain-compliance\/","title":{"rendered":"Trust, but verify: The importance of auditing to gain compliance"},"content":{"rendered":"\n
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As we navigate the rule changes that will impact the consent requirements surrounding the Telephone Consumer Protection Act (TCPA), support and guidance are paramount for businesses. To extend a helping hand in these uncertain times, ActiveProspect conducted a webinar, \u201cAlignment, Auditing, and Adherence: The AAA approach to TCPA compliance\u201d<\/a>, discussing strategies businesses may use to address these changes effectively.<\/p>\n\n\n\n

Benjamin Farrar, our Director of Privacy, Security, and Compliance, and Michael Peronto, our Director of Professional Services, had an insightful discussion with Peggy Daley, Attorney and Vice President at Charles River Associates, and Benjamin Zitter, Chief Compliance Officer at What If Media Group.<\/p>\n\n\n\n

In this blog post, we will focus on the importance of due diligence when beginning relationships with companies<\/strong>. This is a necessary step to gain compliance and emphasize the significance of audits to affirm trust in partners. Let\u2019s dive right in!<\/p>\n\n\n\n

First things first: Beware of known litigants<\/h2>\n\n\n\n

The FCC’s upcoming changes to the one-to-one consent rule are set to take effect soon<\/a> in January 2025, and it’s well-known that there are active litigants monitoring these developments. How quickly should we expect these litigants will begin pursuing legal action concerning the one-to-one consent rule?<\/p>\n\n\n\n

As Peggy says: \u201cI would expect instantaneous lawsuits.\u201d<\/strong> This is because, as Peggy continues to explain, the gap in compliance becomes apparent when the new regulations take effect and lawsuits begin to emerge, prompting businesses to recognize the severity of the issue.<\/p>\n\n\n\n

Often, seeing a verdict or observing peers facing legal challenges spurs companies into action. It’s a typical business reaction – once your peers start facing consequences, it usually escalates your own efforts to comply. It’s likely to be quite straightforward for litigants to target companies right after the new rules are implemented, especially as businesses begin to understand the significant risks involved and rush to rectify their practices.<\/p>\n\n\n\n

According to Peggy, for companies that have previously been targeted for TCPA violations, there won’t be any grace period; plaintiffs’ attorneys will be monitoring these companies closely from day one. Those who have managed to stay under the radar might have slightly more time, but it’s unrealistic to expect any leniency from the plaintiffs’ bar <\/strong>during this transition.<\/p>\n\n\n\n

Best practices when collaborating with third-party vendors<\/h2>\n\n\n\n

1. Vet your vendors over time<\/h3>\n\n\n\n

As you know, there are various ways that third-party vendors are involved in the lead managing process. In this context, it’s crucial to understand that the \u201csee no evil, hear no evil\u201d defense doesn’t hold up. Typically, these third-parties are considered your agents, and regardless of the strength of your contracts, they are likely to be viewed as such. This means that any <\/strong>violations<\/strong><\/a> they commit could be attributed to you<\/strong> as if you committed them yourself.<\/p>\n\n\n\n

Therefore, it’s essential to thoroughly vet these vendors not just initially, but continuously over time<\/strong>. Their performance can change, and it’s often more critical to monitor them after the partnership has begun since they are acting on your behalf.<\/p>\n\n\n

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Before entering into any business relationship with a third-party vendor, make sure you have the right to conduct audits and include a cooperation clause<\/strong> in case of legal issues, ensuring access to all necessary documents. Continual vetting for their reliability is crucial, as Peggy advises.<\/p>\n\n\n\n

2. Only collaborate with top-notch vendors<\/h3>\n\n\n\n

There is a range of lead generation companies out there, from the highly professional to the decidedly dubious. According to Peggy\u2019s own experience, it’s crucial to partner with the former – top-tier, professional lead generators and call centers.<\/p>\n\n\n\n

Engaging with the less reputable ones, especially those serial entities run by individuals who frequently shut down and reopen under new names, can lead to significant problems. Such companies often fail to cooperate, disappear, or may be involved in outsourcing their lead generation to numerous questionable sources, leaving you to face the consequences.<\/p>\n\n\n\n

Therefore, as Peggy says, conducting thorough due diligence before establishing any relationship is essential<\/strong>. This includes evaluating the company’s and its leaders’ reputations, as well as their policies, procedures, and compliance standards.<\/p>\n\n\n\n

You are ultimately responsible for compliance<\/strong>, so it’s wise to ensure you’re entering into business relationships with partners who share your commitment to high compliance standards.<\/p>\n\n\n

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3. Run audits to make sure everything is working properly<\/h3>\n\n\n\n

Having the right to audit is crucial because sometimes you might uncover serious violations<\/strong>, which could occasionally stem from mere technical issues that are fixable.<\/p>\n\n\n\n

As Peggy explains, it\u2019s not uncommon to see this with software where, for example, a feature like \u201cpress five to stop calls\u201d might malfunction for months due to a technical glitch. However, the law doesn’t take intent into consideration, making audits essential. They are important not only to verify trust in the people and policies but also to ensure that everything is functioning correctly<\/strong>.<\/p>\n\n\n\n

Sometimes, the failures are due to innocent reasons, not malice. In defending these companies, Peggy\u2019s approach involves demonstrating that there was consent for the types of calls identified as breaches of the TCPA. She does this by selecting a sample of the calls in question and then retrieving all related records to establish whether consent was indeed given.<\/p>\n\n\n\n

However, as Peggy says, \u201cour clients get consent, but it’s sometimes hard to document or find it. This is why you go into business with good partners because they, your third-party vendors, may have all the consent documentation.\u201d<\/p>\n\n\n\n

4. Make sure you have easy access to consent documentation<\/h3>\n\n\n\n

This is where ActiveProspect comes in with a solution to help you easily document and store proof of consent: TrustedForm<\/strong>.<\/p>\n\n\n\n

TrustedForm<\/a> is the ultimate compliance solution for documenting TCPA consent on digital lead capture forms.<\/p>\n\n\n\n

First, use TrustedForm Certify<\/a> to generate documentation of consent<\/strong>. You\u2019ll be able to see a session replay that documents exactly when and where prior express written consent was obtained throughout a lead capture event.<\/p>\n\n\n\n

Then, once the certificate is issued, use TrustedForm Retain<\/a> to get certificate availability for up to 5 years<\/strong>, so you can easily access proof of consent in case you need it to mitigate TCPA litigation.<\/p>\n\n\n\n

Watch this short video to see how TrustedForm works<\/strong>.<\/p>\n\n\n\n

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