Compliance, Education and Enforcement Policy is designed to optimise voluntary compliance with the schemes we administer.
Our approach to regulation starts from the premise that responsibility for complying with scheme obligations clearly rests with the individual or organisation to which the legislation applies. We take a harm prevention approach to regulating. We are clear about our objectives and what we want to achieve. To help determine the appropriate response to non-compliance, we use an intelligence-led, risk-based approach that considers the behaviour and motivation of scheme participants.
We recognise that engagement, education and support are critical to ensuring scheme participants meet their obligations and avoid inadvertent non-compliance. We publish various guidance materials and resources to advise our clients of their obligations.
Our well-established monitoring, audit and assessment processes protect against fraud and non-compliance across all our schemes. This includes assessing submitted reports, analysing data to identify trends, anomalies and behaviours, and conducting audits, site visits and inspections.
Where necessary, we initiate investigations, pursue civil action and refer relevant cases for criminal prosecution in more serious cases of deliberate non-compliance.
We intend to publish details of enforcement action when clients do not comply with their obligations, demonstrating that we will take enforcement action in appropriate circumstances and providing added incentive for our clients to voluntarily comply.
By focusing on high levels of compliance and sharing this information, we increase our agency’s transparency and accountability to clients and the public. The aim is to further increase levels of voluntary compliance and identify areas for improvement.
In 2017 we published, for the first time, our complete set of compliance priorities on our website. Our 2017 compliance priorities identified our focus areas for compliance and approach to regulation across our schemes.
Integrity of client declarations and ability to meet contractural obligations
Enhance data integrity
Auditor compliance with standards
Scrutinise integrity of initial baselines
Enhanced monitoring of integrity of claims for small scale renewable energy certificates
Increased scrutiny of annual acquittal of large-scale generation certificate liability
Increased scrutiny of data provided
As our clients and schemes evolve, we will be responsive in shifting our areas of focus and approach to a stronger emphasis on proactively and effectively detecting and addressing non-compliance. We are prepared to anticipate, identify, analyse and respond to potential non-compliance and use the range of engagement, education, compliance and enforcement tools at our disposal.
We will publish outcomes for our 2017 compliance priorities on our website in the second half of 2018. Analysis of these outcomes is informing our compliance priorities for 2018–19.
Compliance activities and outcomes for 2017–18 are reported in
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