Compliance Overview
What Is the Compliance System?
Every call your team handles carries the potential for regulatory missteps, missed disclosures, or inconsistent messaging. The AgentTech Dialer compliance system takes the guesswork out of quality assurance by automatically scoring every single call against a set of compliance questions you define.
Instead of manually reviewing random recordings, the platform uses artificial intelligence to listen to every conversation, evaluate agent behavior, and deliver a detailed compliance scorecard — all without any extra work from your agents. Whether you run a five-person team or a five-hundred-seat call center, every call gets the same thorough review.
Key Benefits at a Glance
- 100% call coverage — no more spot-checking a handful of recordings each week.
- Consistent scoring — the same standards are applied to every call, every time.
- Instant feedback — compliance results are available shortly after each call ends.
- Actionable data — drill into individual calls, compare agents, track trends across teams.
- Regulatory confidence — demonstrate that you have a systematic compliance monitoring program in place.
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How Compliance Scoring Works End-to-End
Understanding the full lifecycle helps you appreciate what happens behind the scenes after an agent hangs up the phone. Here is the step-by-step flow:
Step 1: Call Is Recorded
When an agent completes a call, the platform automatically captures the full audio recording. This recording is securely stored and linked to the call record in your Call Logs.
Step 2: Call Is Transcribed
The recording is converted into a written transcript. This transcript captures everything said by both the agent and the caller, creating a searchable text version of the conversation.
Step 3: AI Evaluates the Transcript
The platform's intelligence engine reads the transcript and evaluates it against every active compliance question. For each question, the system determines the appropriate answer — whether it's a simple Yes/No, a selection from a list of carriers, or a detailed free-text analysis.
Step 4: Results Are Published
Once evaluation is complete, the compliance scorecard is attached to the call record. You can view it immediately from the Call Logs page by clicking the Compliance Check button on any individual call.
Step 5: Data Rolls Into Reports
The individual call scores feed into your broader reporting dashboards. You can track average pass rates by agency, agent, team, publisher, state, queue, or across all queues globally.
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Enabling Compliance for Your Agency
Before the system can start scoring calls, you need to turn on two key settings. Both are required — compliance scoring depends on call transcription.
How to Enable
- Navigate to Agency Settings in the sidebar.
- Scroll to the Compliance and Transcription Settings section.
- Toggle Call Transcription to the ON position. This enables the platform to create written transcripts of every call.
- Toggle Call Compliance to the ON position. This tells the platform to run compliance analysis on each transcribed call.
- Click Save to apply your changes.
> Important: Both toggles must be enabled. If Call Transcription is off, the system has no transcript to analyze, so compliance scoring will not run even if the compliance toggle is turned on.
Once enabled, compliance scoring begins on all new calls going forward. Existing calls that were placed before enabling will not be retroactively scored.
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The Two-Tier Question System
AgentTech uses a two-level question architecture to give you flexibility while ensuring platform-wide standards are consistently enforced.
Platform Questions (Universal)
Platform Questions are created by the platform administrator and apply to every agency on the system. These questions enforce universal compliance standards that all agencies must meet — things like proper disclosures, greeting requirements, or recording consent notifications.
Key characteristics of Platform Questions:
- They are managed exclusively on the Platform Compliance page, which is only accessible to platform administrators (superadmins).
- Agency administrators cannot edit, delete, or disable Platform Questions.
- They appear automatically in every agency's compliance scorecard alongside Agency Questions.
- They ensure a consistent baseline of compliance across all agencies on the platform.
Agency Questions (Custom)
Agency Questions are created by agency administrators on the Compliance page in the sidebar. These questions address your agency's specific needs — industry-specific regulations, internal scripts, custom sales processes, or carrier-specific requirements.
Key characteristics of Agency Questions:
- They are managed on the Compliance page by agency admins.
- Only apply to calls within your own agency.
- You have full control to create, edit, reorder, and delete them at any time.
- They appear in compliance scorecards alongside any Platform Questions.
How They Work Together
When a call is scored, the system evaluates the transcript against both Platform Questions and Agency Questions. The resulting scorecard shows all questions together, giving you a complete compliance picture. Platform Questions establish the floor; Agency Questions let you build on top of that foundation.
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Question Types — A Complete Guide
AgentTech offers six different question types, each designed for a specific kind of compliance evaluation. Choosing the right type ensures the system can give you the most accurate and useful answer.
1. Boolean (Yes/No)
The most common question type. The system reads the transcript and answers with a simple Yes or No.
Best for: Pass/fail compliance checks where something either happened or it didn't.
Examples:
- "Did the agent introduce themselves by full name and company name?"
- "Did the agent read the required disclosure statement?"
- "Was the caller informed that the call is being recorded?"
- "Did the agent ask for the caller's date of birth before quoting?"
- "Did the agent confirm the caller's ZIP code?"
In compliance results, Boolean answers appear as color-coded badges: green for Yes (passed) and red for No (failed).
2. Carrier Selection
The system identifies which carrier was discussed on the call and selects it from your configured carrier list.
Best for: Tracking which insurance carriers are being presented to callers, especially useful for agencies that represent multiple carriers.
Examples:
- "Which insurance carrier was discussed on this call?"
- "Which carrier's plan did the agent recommend?"
- "What carrier did the caller express interest in?"
Carrier Selection answers appear as purple badges in compliance results.
> Note: For Carrier Selection questions to work, you need to have your compliance carriers configured. See the "Compliance Carriers" section below for setup instructions.
3. Agent Selection
The system evaluates agent behavior and identifies specific actions or adherence to protocols.
Best for: Questions about agent conduct, script adherence, or behavioral standards.
Examples:
- "Did the agent follow the approved script?"
- "Did the agent use the required greeting format?"
- "Did the agent properly handle the objection?"
4. Disposition Selection
This type links compliance questions to call dispositions, allowing the system to evaluate and categorize call outcomes.
Best for: Questions about how the call concluded or what the primary outcome was.
Examples:
- "What was the primary outcome of this call?"
- "Did the call result in a completed enrollment?"
- "How was the call dispositioned?"
5. Custom Options
You define your own list of answer choices, and the system selects the best match from your options based on the transcript.
Best for: Multi-category compliance checks where you need more than Yes/No but want to control the possible answers.
Examples:
- "What type of insurance product was discussed?" with options:
- Medicare Supplement
- Part D
- Life Insurance
- Dental/Vision
- "What enrollment period is the caller in?" with options:
- OEP (Open Enrollment Period)
- SEP (Special Enrollment Period)
- None / Not Discussed
- "What was the primary reason for the caller's interest?" with options:
- Better coverage
- Agent referral
- Turning 65
- Lost current coverage
When creating Custom Options questions, you enter each answer option on its own line in the Answer Options textarea.
6. Free Text
The system provides an open-ended written response based on the transcript. There are no predefined answers — the system writes its analysis in its own words.
Best for: Subjective evaluations, summaries, and detailed observations where a Yes/No or multiple-choice answer isn't sufficient.
Examples:
- "Summarize the agent's closing pitch."
- "Describe any compliance concerns identified during this call."
- "What objections did the caller raise, and how did the agent respond?"
- "Provide a summary of the benefits discussed during the call."
Free Text answers appear as blue badges in compliance results and can be expanded to read the full response.
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Setting Up Compliance Carriers
If your agency works with multiple insurance carriers, you can configure a carrier list that powers Carrier Selection questions. When the system evaluates a call with a Carrier Selection question, it matches what was discussed against your configured carrier list.
To set up compliance carriers:
- Navigate to your Agency Settings.
- Find the Compliance Carriers section.
- Add each carrier your agency represents.
- Save your changes.
Once carriers are configured, any Carrier Selection question will use this list to identify which carrier was discussed on each call.
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Viewing Per-Call Compliance Results
After a call has been scored, you can view the detailed compliance breakdown at any time.
How to Access Call Compliance
- Go to Call Logs in the sidebar.
- Find the call you want to review.
- Click the Compliance Check button on that call's row.
- The Call Compliance page opens with the full scorecard.
Understanding the Call Compliance Page
The Call Compliance page is organized into several clear sections:
#### Call Information Bar
At the top, you'll see key details about the call:
- Caller — the phone number of the person who called or was called.
- Agent — the name of the agent who handled the call.
- Date & Time — when the call took place.
- Duration — how long the call lasted.
- Status — the current status of the call, which may include a "Sold" indicator if the call resulted in a sale.
A Back to Call Log button in the header lets you return to the full call list.
#### Compliance Overview Card
This is the big-picture summary displayed prominently:
- Pass Rate % — shown in a large, easy-to-read format. This is the percentage of applicable questions the call passed.
- Passed — the number of questions that received a passing answer.
- Failed — the number of questions that received a failing answer.
- Rated Questions — the total number of questions that were evaluated (some questions may be excluded from the pass rate calculation based on your settings).
#### Sales Call Analysis
Below the overview, you'll find a Sales Call Analysis section. This provides a formatted, narrative analysis of the call from a sales and compliance perspective. It highlights key moments, potential concerns, and overall call quality observations.
#### Compliance Summary — Question-by-Question Results
At the bottom, every compliance question is listed with its result:
- Question text — the exact question that was evaluated.
- Answer badge — the answer the system determined, displayed as a color-coded badge:
- Red — No / Failed
- Blue — Free Text response
- Purple — Carrier or selection-based answer
- Answered / Unanswered indicator — shows whether the system was able to determine an answer from the transcript. If a call didn't cover a topic, the question may show as unanswered.
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Compliance in Reports
Individual call scores are powerful, but the real insight comes from tracking compliance trends over time and across your organization.
Compliance By Tabs
On the Reports page, you'll find dedicated Compliance By tabs that let you slice your compliance data in multiple ways:
- Agency — compare compliance performance across different agencies (superadmin/agency admin view).
- Agent — see which agents have the highest and lowest pass rates.
- Team — compare compliance across teams within your agency.
- Publisher — track compliance by lead source or publisher.
- State — identify geographic patterns in compliance performance.
- Queue — compare compliance across different call queues.
- Global Queue — view compliance data across all queues system-wide.
Each tab displays:
- Calls with Compliance — the number of calls that were scored.
- Average Pass Rate — shown as a badge, this is the average compliance score across all scored calls in that category.
How to Use Report Data
- Spot struggling agents — filter by Agent to find team members who consistently score below your target pass rate.
- Identify training needs — if a particular question has a low pass rate across many agents, it may indicate a training gap rather than individual performance issues.
- Track improvement — use date filters to compare pass rates week-over-week or month-over-month after implementing coaching changes.
- Publisher quality — compare compliance by publisher to see if leads from certain sources result in more compliant conversations.
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Compliance in Agent Analytics
Beyond the Reports page, individual agent performance dashboards include compliance data. When you view an agent's analytics, you'll see their compliance scores alongside their other performance metrics like call volume, talk time, and conversion rates.
This makes it easy to have informed coaching conversations — you can see not just how many calls an agent is making, but how well they're handling compliance on each one.
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Real-Time vs. Post-Call Compliance
It's important to understand when compliance scores become available:
- Post-call compliance — this is the standard mode. After a call ends, the recording is transcribed and then evaluated. Results typically appear within a few minutes of the call ending, depending on call length and system load.
- Real-time monitoring — while compliance scoring itself happens after the call, supervisors can use live monitoring tools to listen to calls in progress. This gives you the ability to catch compliance issues as they happen and intervene if needed.
The combination of real-time monitoring and automated post-call scoring gives you both preventive and detective compliance controls.
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Who Can Access Compliance Data
Access to compliance information follows your platform's role hierarchy:
Agency Administrators
- Can view compliance results for all calls within their agency.
- Can create, edit, and delete Agency Questions on the Compliance page.
- Can set up AI Context for their agency.
- Can view all compliance reports across every tab.
- Can access compliance data in agent analytics for any agent.
Supervisors
- Can view compliance results for calls handled by agents assigned to them.
- Can access compliance reports filtered to their team.
- Can use compliance data to guide coaching sessions.
- Cannot create or modify compliance questions.
Agents
- Can view compliance results for their own calls only.
- Can see their own compliance scores in their performance dashboard.
- Can review individual call scorecards to understand where they passed or failed.
- Cannot access other agents' compliance data or modify questions.
Platform Administrators (Superadmins)
- Have full access to all compliance data across all agencies.
- Can manage Platform Questions that apply to every agency.
- Can set Platform AI Context on the Platform Compliance page.
- Can use the agency selector in the header to view any agency's compliance setup.
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Tips for Getting the Most Out of Compliance
Start with the Most Critical Questions
Don't try to score everything at once. Begin with 5–10 questions that address your most important compliance requirements — required disclosures, consent statements, and identity verification. You can always add more questions later as your team becomes comfortable with the system.
Review Low-Scoring Calls Regularly
Make it a habit to review calls that score below your target pass rate. Click into the Compliance Check for these calls, read the question-by-question results, and listen to the recording if needed. This is where you'll find the most impactful coaching opportunities.
Combine Compliance with Coaching
Compliance scores are most valuable when they drive action. Use the data to:
- Identify specific behaviors an agent needs to improve.
- Recognize agents who consistently score well.
- Create targeted training sessions around frequently failed questions.
- Set compliance goals for individuals and teams.
Update Questions When Regulations Change
Compliance isn't static. When regulations change, new disclosures are required, or your agency adopts new processes, update your compliance questions to reflect the new requirements. The system will automatically start scoring against the updated questions on all future calls.
Use AI Context to Improve Accuracy
The AI Context feature on the Compliance page lets you provide additional background information that helps the system better understand your calls. For example, you might explain industry-specific terminology, describe your typical call flow, or clarify what a "proper disclosure" sounds like for your agency. This context makes the scoring more accurate and relevant.
Leverage the Position Field for Organization
Use the Display Position field (1–100) when creating questions to control the order they appear in compliance results. Group related questions together — for instance, put all greeting-related questions at positions 1–10, disclosure questions at 11–20, and closing questions at 21–30. This makes scorecards easier to scan and review.
Monitor Trends, Not Just Individual Calls
While reviewing individual calls is important for coaching, the real power of compliance is in the aggregate data. Use the Reports page to track trends over time. A declining pass rate across the board might signal a new regulation your team hasn't adapted to, while a rising pass rate confirms that your training efforts are working.
Last updated: February 24, 2026