Table 11 shows the compliance activities Clean Energy Regulator conducted on a monthly basis during 2012. These activities do not include investigations, desktop reviews or audits.
Table 11: Compliance activities January–December 2012
|
Activity
|
Jan
|
Feb
|
Mar
|
Apr
|
May
|
June
|
July
|
Aug
|
Sept
|
Oct
|
Nov
|
Dec
|
Total
|
|---|
|
Site visits1
|
0
|
11
|
7
|
0
|
1
|
0
|
2
|
10
|
0
|
1
|
0
|
0
|
32
|
|
Pre-validation checks2
|
7,571
|
5,996
|
7,087
|
4,418
|
6,879
|
6,450
|
8,429
|
11,581
|
7,074
|
6,750
|
8,226
|
4,682
|
85,143
|
|
Outreach visits3
|
0
|
0
|
0
|
0
|
6
|
0
|
0
|
1
|
0
|
1
|
5
|
0
|
13
|
|
Warrants executed4
|
0
|
0
|
0
|
0
|
0
|
1
|
0
|
2
|
2
|
0
|
0
|
0
|
5
|
|
Compliance visits5
|
4
|
6
|
3
|
10
|
6
|
5
|
4
|
8
|
6
|
7
|
17
|
6
|
82
|
|
Enforceable undertakings6
|
0
|
0
|
0
|
1
|
0
|
0
|
2
|
1
|
1
|
0
|
0
|
0
|
5
|
Compliance outcomes
The RET compliance activities undertaken have increased stakeholder awareness of their compliance obligations. The updated compliance web page and publishing of compliance statistics sends a clear message to stakeholders of the Clean Energy Regulator’s commitment to ensuring compliance with the Act by all parties.
The compliance team actively investigates allegations of breaches of the Act. During 2012, the compliance team received 147 allegations and has 50 matters currently open. This includes 45 open cases, three referrals under assessment and two information reports currently being assessed.
The majority of matters requiring further attention in 2012 related to the improper creation of certificates for PV installations.
A total of 134 matters were closed during 2012. While none of the closures were as a result of a finalised prosecution, investigations resulted in a range of administrative action being taken which included:
- warning letters
- voluntary surrender of certificates, and
- voluntary rectification of installations.
In addition, five enforceable undertakings were agreed by the Clean Energy Regulator arising from the outcomes of investigations and four REC Registry accounts were suspended while investigations were undertaken. Two of these accounts are still suspended.
In support of investigations, the compliance team executed three monitoring warrants, assistance was provided to the New South Wales police for one warrant and one warrant under the Crimes Act 1914 was executed with the assistance of the Australian Federal Police.
While the aim of the Clean Energy Regulator is to achieve voluntary compliance, civil and criminal prosecutions are pursued in the more serious matters and in accordance with the Compliance and Enforcement Framework. One matter is currently before the Federal Court for a consideration of a civil prosecution and one matter has recently been heard in the NSW District Court, resulting in a conviction and a sentence of imprisonment, to be served by home detention.