Agent Script and Compliance Language Adherence Audit

Inspection template for reviewing whether agents delivered required disclosures, compliance language, and script elements during regulated interactions.

Audit Scope and Interaction Identification

• Interaction record identified and reviewable
  Verify the call, chat, or voice interaction is complete, audible/readable, and available for review.
• Agent, date, and interaction type documented
  Record the agent name or ID, interaction date/time, and channel type.
• Applicable script or compliance version confirmed
  Identify the approved script, disclosure set, or policy version used for the interaction.
• Regulatory or policy framework applicable to the interaction
  Select the framework(s) that governed the interaction.

Required Opening Disclosures

• Agent identified themselves and organization correctly
  Confirm the agent stated their name, role, and organization in the approved format.
• Required disclosure delivered before proceeding
  Verify any mandatory disclosure, consent statement, or notice was delivered before the substantive interaction continued.
• Disclosure content matched approved wording
  Rate whether the wording matched the approved script without material omissions or unauthorized additions.
• Customer acknowledgment or consent captured when required
  Confirm the required acknowledgment, consent, or opt-in was obtained and documented when applicable.
• Prohibited claims or misleading statements avoided
  Verify the agent did not make unsupported promises, guarantees, or statements that conflict with policy or regulation.

Script Adherence and Required Language

• Required script elements delivered in the correct order
  Assess whether the agent followed the approved sequence of disclosures, questions, and closing statements.
• Mandatory compliance language used verbatim or substantively equivalent
  Confirm required language was used as approved, with no material omissions or substitutions.
• Unauthorized script deviations documented
  Note whether any deviations occurred and whether they were approved, neutral, or problematic.
• Escalation or transfer language used correctly when needed
  Verify the agent used the required escalation, hold, transfer, or supervisor-notification language when the situation required it.
• Tone remained professional and non-coercive
  Assess whether the agent maintained a professional tone and avoided pressure, intimidation, or misleading urgency.

Regulatory Safeguards and Exception Handling

• Required warnings or safety notices delivered when triggered
  Confirm any conditional warning, safety notice, or regulatory disclaimer was delivered when the interaction triggered it.
• Agent responded appropriately to customer objections or questions
  Rate whether the agent answered questions without deviating from approved language or creating compliance risk.
• Sensitive data handling followed policy
  Verify the agent did not request, disclose, or mishandle restricted personal or sensitive information.
• Escalation criteria met and actioned when required
  Confirm any compliance issue, complaint, or exception was escalated according to procedure.

Documentation, Outcome, and Corrective Actions

• Deficiencies or non-conformances recorded clearly
  Summarize each deficiency with enough detail to support coaching or remediation.
• Corrective action assigned for each failed critical item
  Confirm a corrective action, owner, and due date were assigned for every critical failure.
• Overall audit outcome
  Select the final audit result based on the observed adherence and any critical failures.
• Inspector signature
  Inspector attestation that the review was completed accurately.