Licence Compliance and Reporting

The Tribunal monitors licence compliance by various means including periodic self reporting; audits; information from other Regulators and Energy and Water Ombudsman's complaints.

Periodic self reporting
The Tribunal has produced two reporting manuals, one for each licence type. These explain the Tribunal's approach to compliance monitoring and clarify reporting requirements for licence holders.
Network Operator's Reporting Manual
Retail supplier's Reporting Manual

Audits
The following Fact Sheet sets out the audit requirements for the licensing regime:
Summary of Audit Framework

The Tribunal has produced an Audit Guideline to provide information and guidance to auditors on the framework and procedures for undertaking water licensing audits to ensure the objectives of the licensing regime are met and to encourage consistency in the assessment and reporting of audit results.  The Audit Guideline addresses the various audit categories, prescribed by the relevant legislation and licence conditions, and sets out the role, the conduct and requirements of these audits.

Annual Compliance Reports
The Tribunal is required to report to the Minister by 31 October each year on licence compliance by water network and retail suppliers. The report is publicly released after being tabled in Parliament.
Compliance Reports - yearly (under development)

The Tribunal's Compliance Policy
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 considered by the Tribunal when deciding if enforcement action should be taken; and what form any enforcement action may take.

Incident Notification

All licence holders are required under a standard licence condition (imposed by the Regulations) to provide immediate notification to relevant authorities and affected parties of any incident arising in the conduct of its licensed activities that threatens, or could threaten, water quality, public health or safety.  The Tribunal, in consultation with NSW Health and the Department of Water and Energy, has produced an Incident Notification procedure for licence holders to follow in order to comply with this licence requirement.

Incidence Notification by private sector water licensees - procedures

Further Information

Compliance Reports - annual reports to minister (under development)

Audit Guidelines - Water Licence Audits

DRAFT Annual Licence Fees - (Submissions Close 3 July 2009)