How breach notifications are processed
Compliance process
The Authority’s compliance process follows the process set out in the Electricity Industry (Enforcement) Regulations.
At a high level, the process involves the following:
- receipt and acknowledgement of breach notification;
- initial fact finding;
- report and recommendation to the Compliance Committee;
- Compliance Committee decision to:
- decline to pursue, notify reason and in some cases issue a warning; or
- appoint an investigator; or
- request further information;
- if an investigator is appointed, the investigator notifies investigation and publicises investigation;
- the party alleged to be in breach responds to the notification within 10 days;
- affected parties join the investigation within 10 days of it being publicised;
- the investigator investigates the breach;
- investigator attempts to effect a settlement – parties provided with background information and requested to provide settlement requirements, a settlement is negotiated and agreed between parties, or in the case where all parties cannot agree, no settlement is possible;
- investigator prepares a report and recommendation to the Compliance Committee, with or without settlement;
- Authority Board decision to:
- approve settlement (Compliance Committee); or
- reject settlement and abandon investigation (Compliance Committee); or
- reject settlement (Compliance Committee) and lay a formal complaint (Board); or
- not lay a formal complaint where no settlement can be reached (Compliance Committee); or
- lay a formal complaint where no settlement can be reached (Board);
- Authority decision publicised;
- investigator lays formal compliant with Rulings Panel (if required).
The Authority has internal operating procedures for processing alleged breaches.
This page is related to: Code & Regulations.