Compliance Area outcomes
Analysis of outcomes against Compliance Areas in 2016
    
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RECC's Annual report includes an explanation of the Code’s monitoring strategy and of the 10 Key Compliance Areas under which RECC records the results of:
	- a rolling Consumer Feedback Survey (CSS)
- compliance audits of members and 
- consumer complaints. 
The current analysis presents the monitoring results for each of these elements separately (as set out in RECC’s Annual Report). It then brings these results together, along with some additional data, to show the performance overall against each Compliance Area. The object of this analysis is to assess the extent to which consumer detriment has been prevented across the spectrum of the Code.
The 10 Key Compliance Areas
CA1:  Awareness of consumer protection / RECC (including staff training)
  CA2:  Microgeneration Certification Scheme (MCS)
  CA3:  Marketing and selling 
  CA4:  Estimates/quotes, particularly performance estimates and financial incentive
  CA5:  Finance agreements
  CA6: Contracts  and cancellation rights
  CA7: Taking and  protection of deposits and advanced payments
  CA8: Completing  the installation
  CA9: After  –sales (guarantees, workmanship warranties and warranty protection, after sales  support: customer service)
  CA10: Disputes  numbers, handling, procedures
 
Monitoring results 
Figures 1  to 3 show the results graphically under each of the Compliance Areas areas in: 
  - RECC’s Consumer Feedback  Survey (Figure 1)
- audits of members (Figure  2) and 
- complaints about members  (Figure 3). 

Figure 2: % of audited members compliant on each Compliance Area at audit

Figure 3: % of disputes registered in which Compliance area featured

The  Annual Report provides more detailed commentary on each of these planks of the  monitoring programme (see pp 26-29, 20-25 and 34-44 respectively). Highlighted  points include: 
                           
  - overall the majority of  consumers who provided feedback were positive about their experience with RECC  members, with 80% rating their  overall  experience as 4/5 or 5/5, indicating they were satisfied or very satisfied.  There was slightly less positive feedback in the areas of the consumer being  made aware of the existence of a dispute resolution procedure (part of CA10)  and of deposit protection (CA 7): of the 75% of respondents who had paid a  deposit, 68% confirmed they had received an insurance policy  which protected it; 
- the most frequent area of  non-compliance found at audits was in pre-contractual information, contracts  and cancellation rights and awareness of the Code; 
- after-sales (guarantees,  workmanship warranties and warranty protection, after-sales support and  customer service) was the most frequently-featured Compliance Area in disputes.
As the  Annual Report outlines, RECC has used these results to steer its work in  producing model documents, running webinars and providing training, as well as  in providing the focus of its compliance activities. 
The following section brings together all the  performance measures from the monitoring programme under each of the 10  Compliance Areas.  
Performance measures 
Table 1 provides the 10 Key Compliance Areas with all associated  performance measures against which RECC undertook to report. The areas are  shaded to show their relative priority – the darker the shade, the higher the  priority. 
Table 1: Performance by Compliance Area
	| Awareness of consumer protection / RECC (including staff training) | 
	| 
        75% of CSS respondents said they had been  made aware of RECC 33% overall  audit compliance in this area 60% of members at audit providing consumer  leaflet with quotes 53% of members at audit with link to RECC  on their website 30 (2.6%) disputes registered featuring a  CA1 issue Members completed 249 exams on RECC’s  online training | 
	| CA2: Microgeneration Certification Scheme (MCS) | 
	| 
	  85% of CSS responders indicating receipt  of MCS handover documents within 10 days 78% overall  audit compliance on this area 94% of members at audit who are  MCS-certified for the relevant technologies 167   (14.6%%) disputes registered featuring a CA2 issue 20% of complaints predominantly or partly  about technical issues, which are referred on to MCS Certification Bodies (CBs) | 
	| CA3: Marketing and selling | 
| 
  89% of CSS responders satisfied or very satisfied  with how the system was sold39% overall audit compliance on this area 242 (21.2%) disputes registered featuring  marketing and selling   | 
| CA4: Estimates/quotes, particularly performance estimates and financial incentive | 
| 
  87%   of CSS responders indicating sufficient pre-contractual information was  provided 92% of CSS responders indicating the  performance of the system as well as what this meant in financial terms were  explained clearly to them17% overall audit compliance in this area 347 (30.4%) disputes registered featuring  estimates etc  | 
| CA5: Finance agreements: overall audit compliance | 
| 
  8% of CSS responders indicating that they  took finance,  81% of whom consider they  were given adequate information and documentation 22% of the members audited indicated they  are offering finance. Of these, 75% were found to be compliant. 108 (9.4%) disputes  registered featuring finance agreements with members  | 
| CA6: Contracts and cancellation rights | 
| 
  88% of CSS responders indicating no concerns about the  contract  they signed87% of CSS responders said they were made aware of the  cancellation period33% overall audit compliance in this area 198 (17.3%) disputes registered featuring contractual issues  and/or cancellation rights  | 
| CA7: Taking and protection of deposits and advanced payments | 
| 
  74% of CSS respondents indicating they paid a deposit,  of which 68% said they’d received an insurance policy protecting it78% overall audit compliance in this area 61% of members indicated at audit that they take  depositsOf these, 64% had deposit insurance in place at audit;  Of those that did not, 50% had it in place by the end of the audit process (the  remainder were referred to the Non-Compliance Team)42 (3.7%) disputes registered featuring deposit issues | 
| CA8: Completing the installation | 
| 
  85% of consumers completing CSS questionnaires were  satisfied or very satified with the quality of work 89% of CSS responders said their system was delivered  and installed on time61% overall audit compliance in this area 159 (13.9%) disputes registered featuring issues  relating to  completing the installation  | 
| CA9: After –sales (guarantees, workmanship warranties and warranty protection, after sales support: customer service) | 
| 
  94% of CSS respondents indicating they were provided  with at least a 2-year workmanship warranty 78% of CSS respondents indicating they received an  insurance policy for the warranty 61% overall audit compliance in this area 723 (63.3% ) disputes registered featuring after-sales  issues | 
| CA10: Disputes numbers, handling, procedures | 
| 
  67% of CSS respondents indicating they were made aware  of  a dispute resolution procedure 19% of CSS respondents indicating they made a  complaint to the member; of these, 9% were satisfied with its handling82% overall audit compliance in this area 140  (12.2%)  disputes registered featuring issues relating to  complaints to members 1,143 disputes registered by RECC 
  Of which: 
      445 within RECC’s remit221 feedback about members33 feedback about non-members29 non-domestic181 potential 231 referred onwardsnumber of disputes received by issue – in order of CACA1:   30CA2:   167CA3:   242CA4:   347CA5:  108 CA6:  198 CA7:   42CA8:   159CA9:   723CA10: 14086 (47%) of in-remit disputes resolved in 2016 were  resolved by RECC dispute resolution case workers (see Table 3 below). | 
Table 2: Disputes registered with RECC by technology and as % of all domestic installations of that technology
    
        
            | Technology | Percentage | Disputes registered with RECC | Total domestic installations | 
    
    
        
            | ASHP | 2.1 | 108 | 5,135 | 
        
            | Biomass | 11.7 | 113 | 962 | 
        
            | GSHP | 2.3 | 28 | 1,236 | 
        
            | Solar PV | 1.0 | 764 | 73,306 | 
        
            | Solar thermal | 9.7 | 64 | 660 | 
    
Table 3: Elements of dispute resolution brokered by RECC case workers 
 
	
        
            | Elements of resolution brokered by RECC* | Number | 
	
    
    	
        	| Total resolutions by RECC | 86 | 
        
        	| Of which: | 
        	
        	| refunds | 23 | 
        
        | compensation/price reduction | 37 | 
        
        | goodwill gesture | 2 | 
        
        | cancellation of contract and/or amendment | 6 | 
        
        | removal of system | 8 | 
        
        | repair/remedy problem | 18 | 
*  Resolving disputes may involve more than one element, hence the total number of elements of resolution is greater than the total number of resolved disputes. 
 
Table 4: Resolution of disputes within RECC’s remit
	
    	
        	| 24 weeks was the average length of time taken by RECC case workers to resolve disputes | 
        
        	| 87 (48%) of in-remit disputes resolved in 2016  were resolved by means of independent arbitration |