One rule governs how to read this checklist: every affirmative answer must be accompanied by the document, record or measurement that supports it. An affirmative answer with no evidence attached counts as negative, because that is what it will be worth to whoever examines it.
The questions are answered once per market served, not once per organisation. That is the whole point of the instrument.
Harmonised layer — applies in every market
- The consumer contact line costs no more than the basic rate;
- Recording and logging have a determined lawful basis and a justified retention period;
- Prior information about recording is given, and its lawful basis is recorded;
- Objections to direct marketing take effect immediately and across every channel;
- Automated interaction systems disclose that the interlocutor is interacting with an AI system;
- No emotion recognition is applied to agents in the workplace;
- Support channels meet accessibility requirements, and the conformity information exists in written and oral form.
National layer — answered per market served
- It has been determined whether this market has a general customer service regime;
- Where one exists, the waiting-time requirement is known and measured as that regime requires;
- Where one exists, the requirements on menu structure and access to a human operator are known and met;
- The model for telephone marketing in this market — consent or objection — has been determined;
- Where the model is objection, the national register is consulted with the required frequency and the consultation is recorded;
- Where the model is consent, proof of consent exists for every record in the list;
- Calling hours applicable in this market are known and enforced in the dialler;
- The identification requirements of this market are reflected in the script actually in use;
- Where contracts are concluded by telephone, the binding and confirmation requirements of this market are met.
Governance layer
- Someone inside the organisation answers for compliance of this operation, with a written mandate;
- Evidence is organised by obligation and can be produced without preparation;
- Regulatory change in each market served is monitored, and changes are assessed for impact;
- The contractual chain carries the obligations to whoever actually performs the service.
A market with fewer than fifteen affirmative answers with evidence is a market the operation cannot defend. What matters more than the score, though, is its variance across markets: an organisation that scores well in its home market and poorly in three others has a mapping problem, not a compliance problem, and the two are fixed differently.
What this site addresses
Each has a concrete answer on the solutions page.
Gaps concentrated in specific markets
The home market scores well and others poorly, which indicates that the applicable regimes in those markets were never identified rather than never met.
View solutionGaps spread evenly across the harmonised layer
The gaps are in evidence rather than in practice, and they appear in every market equally — which points to an absence of documentation rather than of compliance.
View solutionServices
Bounded products, with defined scope, method and deliverables.
Multi-Jurisdiction Exposure Assessment
Determination of which national regimes apply to an operation serving more than one Member State
SpecificationCompliance File for Customer Service
Building the documentary file that can be produced to contracting authorities, client auditors and regulators
SpecificationEuropean Comparative Regimes Report
A Member State by Member State comparison of customer service and telemarketing obligations
SpecificationWhere to go next
Framework
The subject matter, the applicable regime and what has changed in recent years.
ReadMarket
Who is covered, by category of undertaking, and with what priority.
ViewTraining
Training paths on the applicable regulatory framework.
View programmesFAQ
The questions that always come up, answered with a source.
ConsultDiscuss your case
A concrete question gets a concrete answer. Enquiries are routed directly and answered within three working days.