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Authorisation Compliance
The Tribunal monitors authorisation compliance by various means including:
- Periodic self exception reporting
- Compliance audits
- Energy and Water Ombudsman's complaints (see Memorandum of Understanding below)
- Industry complaints
- Media reports
Periodic self exception reporting
To facilitate the common administration of the electricity and gas regimes, the Tribunal has produced a series of reporting manuals, one for each licence and authorisation type. These explain the Tribunal's approach to compliance monitoring and clarify reporting requirements for holders of NSW licences/ authorisations. The Gas Reticulator Reporting Manual was amended on 22 November 2006. The Gas Retail Supplier Reporting Manual and Gas Standard Supplier Reporting Manual were amended on 22 November 2007.
Compliance audits
The Tribunal will conduct periodic compliance audits. The scope and timing of these will depend on the results of previous compliance audits and each business's licence compliance history. Compliance audits will generally combine systems and performance audits.
New authorisation holders may also be audited in the first six months of operation to confirm that necessary systems have been established to ensure authorisation compliance.
The first round of compliance audits were held over the period November 2002 to May 2003.
The following documents those audits:
Jurisdiction Regulators Harmonise Compliance Audit Approach
The Essential Services Commission of Victoria, the Essential Services Commission of South Australia, the ACT Independent Competition and Regulatory Commisssion and the Independent Pricing and Regulatory Tribunal of NSW have agreed on an inter-jurisdictional approach to compliance audits in the energy retail sector. The following open letter outlines the approach:
Annual Compliance Reports
During 2004 the Tribunal introduced a reporting framework to facilitate common administration of the electricity and gas regimes.
The first annual report to cover both electricity and gas licence compliance was submitted to the Minister in October 2005. This report was publicly released after being tabled in Parliament. It and subsequent reports are available below:
Energy and Water Licence Compliance Policy
(published March 2005)
This policy covers the licensing of electricity, gas and water industries in NSW. It is not a legally binding document but is designed to provide guidance to licence and authorisation holders on:
- how the Tribunal intends to investigate compliance information;
- procedures to be followed prior to enforcement action being taken;
- factors to be taken into account by the Tribunal in deciding whether enforcement action should be taken; and
- what form enforcement action make take.
The policy does not include detailed compliance monitoring and reporting functions as these are covered by section 87 of the Electricity Supply Act 1995 and section 75A of the Gas Supply Act 1996. The policy also does not cover use of incentive reporting arrangements under the Tribunal's energy reporting manuals.
The Tribunal will follow the procedures outlined in this policy when investigating compliance matters and when considering taking enforcement action. It may depart from these procedures if intending to resolve a compliance matter by means other than by enforcement.
The Tribunal may respond to an energy compliance issue by increasing the frequency of reporting for a particular business. The Tribunal's use of compliance monitoring powers falls outside the scope of this policy, as do the Minister's separate enforcement powers.
Memorandum of Understanding between IPART & EWON
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