Step 4 - Ongoing Compliance

Once a company has successfully achieved PACE-SRO Accreditation the company enters the ongoing compliance phase. To ensure companies remain in compliance after accreditation is awarded, companies are required to submit to calling data audits.

Calling Data Audits

The purpose of the calling data audits is to verify compliance with PACE SRO Standards for:

• DNC suppression
• Calling times
• Record keeping

The data audits are conducted by CompliancePoint, PACE's audit partner. CompliancePoint reports the results of the data audits to the accredited company and to PACE. The data audits can help companies identify potential gaps in the DNC suppression or campaign management process. When issues are identified, the accredited company is required to investigate the issue and develop a remediation plan. The accredited company is required to participate in monthly data audits until the issue has been corrected.

The frequency a company is required to submit to data audits depends on its level:

• Level 1 SRO Accredited Company (Contact centers with 10 seats or less)
  • One random calling campaign data audit per year
• Level 2 SRO Accredited Company (Most contact centers)
  • Quarterly calling campaign data audits

Accredited companies are required to provide a list of their active calling campaigns. One campaign will be randomly selected from this list for each data audit. The data audits do not require accredited companies to submit confidential information. PACE only requires companies to submit the following information in the data file:

• List of ten digit phone numbers dialed during the selected campaign
• The data and time of each dial
• The disposition of each dial
• The established business relationship date for each number dialed claiming an established business relationship exemption (if applicable)

Re-Accreditation Audits

The initial accreditation awarded to companies by PACE is valid for 3 years as long as the company participates in the calling data audit program as required. After 3 years, the company is required to undergo another self-assessment and independent audit conducted by PACE's audit partner - CompliancePoint.