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When and How to Escalate Matters to Compliance

When and How to Escalate Matters to Compliance

Owned by Anthony Martinez (Unlicensed)
Last updated: Jan 24, 2025 by Rafael Gonzalez
3 min read

Handled By: Resolution Specialists

Background: There may be instances where a homeowner’s concern requires escalation to EverBright’s Compliance team.

If you need to follow up on a Case Assignment that is being handled by the Compliance department, you can tag the following people in the chatter for a quick response:

  • Elizabeth McGinley & Ayoub Ziani

    • If there’s still no reply within 48 hours tag @Mark Fredericks to follow up with them

Process Overview

STEP

ACTION

1

Important: When communicating with the homeowner, simply share in their frustration without apologizing or accepting/deferring any blame and explain we will attempt to investigate their concern.

2

3

  • From the related tab on the case, download and attach any required documents (e.g., welcome call recording, DocuSign, etc.)

image-20240617-175330.png

4

  • Create a case assignment and assign it to Compliance/Legal

  • Referral Reason (choose one)

    • Fraudulent/Deceitful Act

    • Contract Violations

  • Referral Comments

    • Include an overview of the matter, actions taken, findings made, Engine job link

Qualifiers for Compliance’s Involvement

QUALIFIERS

  • Claims of unlawful actions and activities

  • Agreement violations

  • Customer privacy violations

  • Violation concerns with a federal or state-administered solar incentive program (e.g., Illinois (IL) Shines Program (A.K.A Adjustable Block Program))

  • False, unfair, or deceptive trade practices:

    • Statements that indicate systems are “free,” “at no cost,” or “$0”

    • Statements that consumer will no longer have a utility bill

    • Misrepresenting Federal Tax Credit eligibility

    • Statements that misrepresent details regarding the system or their financing agreement

    • Engaging in a sale with an individual whom, due to intellectual or linguistic challenges, would be unable to make informed decisions

    • Misrepresenting as the homeowner, or knowingly allowing an unauthorized party to conduct business on behalf of/as the homeowner

    • Allowing deceased, absent, or uninvolved parties to engage in an agreement

    • Falsifying permission-to-operate letters

→ BACK TO PROCESS OVERVIEW

Important: A compliance issue is any violation or failure to adhere to laws, regulations, policies, or ethical standards that govern an organization's operations. The above list is not all-inclusive; if there is doubt on whether or not a matter requires Compliance’s involvement, please seek validation from a Resolution Lead

Preliminary Research for a Compliance Case

ACTION

  • Collect and review relevant details of the job in Engine. This includes but is not limited to:

    • Comments/Milestone Feed

    • Contracts and Documents

    • If needed, DocuSign event details:

      • IP Addresses

      • Email Addresses

    • If needed, download and review the Welcome Call:

      • Note any odd interactions

      • Compare the voice to other voice interactions with the homeowner

  • Collect and review previous Support tickets

  • Request that the homeowner, if possible, provide supporting documentation or evidence that back’s their claim

  • Attempt to communicate with the organization’s “Homeowner Escalation Contact” to obtain their perspective on the matter

→ BACK TO PROCESS OVERVIEW