A Compliance Event is an action that is triggered by another action during the QA auditing process. There are two types of compliance events: Auto and Manual. Internal audits can utilize both event types, while external audits can have manual CEs entered against them.

1. Automatic Compliance Events
   • Configuring a Compliance Event
   • Triggering a Compliance Event
2. Manual Compliance Events
3. Viewing Compliance Event Data

1. Automatic Compliance Events

All Compliance Events are created in the Audit Module.* The following section outlines the steps required to configure an Automatic CE:
*Only users designated as Supervisors will see the option for Audit Module.

• Click Audit Module in the left-hand navigation bar
  
  
  

Configuring a Compliance Event

• From within the Audit Module, click Configuration Settings*
  *Only users that are members of the group Compliance Event Users will see the options for Create Compliance Event and Configuration Settings within the Audit Module.
  
  
• On this page you can:
  
  
  • Add a new compliance event type by entering a new Event Type Name
     Choose a meaningful CE naming convention!
    When Auto Compliance Events are triggered, it is the Event Type Name, along with auditor comments that appear in the Performance Feedback and in CX Explore. 
    It is advised that names align with the event type, For example: 
    - Excessive Hold Time
    - Profanity
    - Did Not Address Caller By Name
    Rather than generic labeling like Event #1 or Agent CE 
    
    
  • Click Add Event Type to add it to list of Current compliance event types
  • Update/Remove current client event types
• Once the new event is created and appears in the list, it can be associated with a selected question or questions on the desired questionnaire
  • Go to Questionnaires 
  • Open the questionnaire you wish to add to
  • Find the question that you want to associate the CE with
  • Select the CE from the Compliance Event dropdown
    
    • In the example below, a score of Fail will trigger the Compliance Event titled "No Upsell Offered"
  • Add a comment (optional)- this field can be used for general comments or to recommend training or action that should be taken against the agent

Triggering a Compliance Event

When an automatic compliance event is associated with a question, it will be triggered when that question receives a score of FAIL during an audit. This event does not require any action on the part of the auditor and the process occurs completely in the background.

2. Manual Compliance Events

These are one-off compliance events that Supervisors/Compliance Event Users can enter against an agent, not tied to a specific question. These are typically outside the scope of the questionnaire and entered after the audit is complete.

To create a manual compliance event:

• From within the Audit Module, click Create Compliance Event
  
• On this page you will need to fill out the following:
  
  
  • Agent ID: type the agent's name here
  • Compliance Event: start typing event name or click to select an available event from the dropdown
  • Event Information: one of the following is required
    • Session ID [default]
    • Program
      *The info for the above two options is available on the Details tab of the Call Evaluation
    • General Performance: select this option if the issue is not related to a specific Session ID or Program. If the option is selected, Comments detailing the event should be added.
      • Comments are optional but strongly suggested

• Click Create to save the completed Compliance Event or Cancel to exit without savings
  
  
  • A success message will be displayed once the event is saved
    
    
    • Press OK to close the pop-up

3. Viewing Compliance Event Data

Compliance Event data can be viewed in a number of places, based on your role.

Agents

The following CE data is viewable in the Performance Feedback Module:

• Compliance Events 
  • Compliance Event Types Label
  • Compliance Events Comments
  • Compliance Events Created Time
  • Shift Users Name
  • Compliance Programs Name
  • Compliance Sessions External ID
  • Manual/Automated (event type)

Supervisors

The above CE data can be viewed in the Supervisor Performance Feedback Report, available in the Reports Module.

All Compliance Event dimensions and metrics are also available in CX Explore.

• Browse to the CX Explore model and click Compliance Events
  
  
  
• The following Compliance Event data sets are available:
  
• Click on any of the above sections to view a list of dimensions/measures available in each.
  
  
  
  

*Auto-generated compliance events will display both the Session ID and Program names, while CEs that are created manually, will not have these parameters associated.