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How Rule breach notifications were processed - archive

This page details the Electricity Commission's internal operation procedures for processing Rule and Regulation breach notifications prior to 1 November 2010.

In the interest of transparency and to assist participants' understanding of how Market Governance processes Rule and Regulation breach notifications, the following internal operation procedures were provided for information:

Operating procedures for processing alleged breaches of the Rules and Regulations - obsolete

Operating procedures for processing alleged breaches of the Low Fixed Charge Tariff Regulations and regulation 15 of the Security of Supply Regulations - obsolete

Operating procedures for processing complaints under the Electricity Governance (Connection of Distributed Generation) Regulations - obsolete

These procedures assisted the Commission when exercising judgment in its decision making process on breaches. In the event of any conflict with the Rules or Regulations, the Rules and Regulations applied but otherwise the procedures were not prescriptive.

Compliance process

The Commission’s Compliance Process followed Part 4 of the Regulations.

The process at a high level involved the following stages;

1. Receipt and acknowledgement of breach notification
2. Initial Fact Finding
3. Report and Recommendation to the EGR Committee
4. EGR Committee decision to;
   • decline to pursue, notify reason and in some cases issue a warning, or
   • appoint an investigator, or
   • request further information.
5. If an investigator appointed, the investigator notified investigation and publicised investigation.
6. The party alleged to be in breach responded to the notification within 10 days.
7. Affected parties joined the investigation within 10 days of it being publicised.
8. The investigator investigated the breach.
9. Investigator attempted to effect a settlement – parties provided with background information and requested to provide settlement requirements, a settlement was negotiated and agreed between parties, or in the case where all parties could not agree, no settlement was possible.
10. Investigator prepared a report and recommendation to the Board, with or without settlement.
11. Board decision to:
    • Approve settlement; or
    • Reject settlement and abandon investigation; or
    • Reject settlement and lay a formal complaint; or
    • Not lay a formal complaint where no settlement could be achieved; or
    • Lay a formal complaint where no settlement could be achieved.
12. Board decision publicised.
13. Investigator laid formal compliant with Rulings Panel (if required).

This page is related to: Rules and Regulations.

Back to top Last updated on 25 October 2010