Compliance Archives

May162026 by Connor JamesNo Comments

Energy Retailer Assurance Audits in 2026: An Australian Guide

Assurance audits used to be a tick-the-box exercise. They are not anymore. With the Australian Energy Regulator (AER) refreshing its Compliance Procedures and Guidelines and releasing an updated Practice Guide for Compliance Audits last year energy retailers in Australia are operating in a sharper, more evidence-driven assurance environment than at any point in the National Energy Retail Law's history. This post explains, in plain English, what an assurance audit looks like under the current settings, where the AER is looking hardest in 2025/26, and how Australian energy retailers can prepare without burning out their compliance teams. What is an assurance audit, in the AER's words? An assurance audit is an independent review of an authorised retailer's compliance policies, procedures and systems and a sample of their operation in practice. The AER may either carry…

Feb72025 by Connor JamesNo Comments

Implementing an Effective Compliance Management Framework in Energy Retail

AU Energy Compliance, Compliance

Energy retail is one of the most highly regulated sectors in Australia. Retailers must navigate a web of national and state laws, industry codes, and licence conditions – all enforced by multiple regulators – making compliance a complex task. An effective compliance management framework is therefore essential to avoid legal penalties and reputational damage; in fact, failing to comply can cost millions in fines or worse, result in loss to consumers and severely harm an organisation’s reputation. To assist businesses in managing these obligations, international standards like ISO 37301:2021 (Compliance Management Systems) and its predecessor AS ISO 19600:2015 (Compliance Management Guidelines) provide structured guidance. This article explains how energy retailers can apply these standards in practice, with a focus on governance, risk assessment, policies and procedures, monitoring, and continuous improvement. It offers practical insights…

Dec62024 by Connor JamesNo Comments

Understanding Record-Keeping Requirements for Energy Retailers: A Guide to Compliance

AU Energy Compliance, Compliance

Record-keeping is a fundamental compliance obligation for energy retailers operating under the National Energy Retail Law (NERL), the National Energy Retail Rules (NERR), and the Australian Competition and Consumer Commission’s (ACCC) Electricity Retail Code. Good record management practices not only ensure compliance and mitigate the risk of penalties, but also foster transparency, accountability, and trust with customers, regulators, and other stakeholders. In this article, we outline key record-keeping requirements for energy retailers, provide a reference table for commonly encountered obligations, and offer practical recommendations for establishing robust record management policies, systems, and processes. Please note that this list is not exhaustive; it does not, for example, include requirements under the National Electricity Rules (NER) or other jurisdictional energy legislation. Key Record-Keeping Obligations Energy retailers are subject to a range of…

Oct172024 by Connor JamesNo Comments

Australian Energy Market Commission Consultation Paper on real time access to data

AU Energy Compliance

Millions of Australian households and businesses are adopting consumer energy resources (CER) such as solar panels and batteries. The energy landscape in Australia is rapidly evolving, driven by technological advancements, market changes, and the transition to a cleaner energy system. Smart meters play a crucial role in this transition by enabling real-time access to energy usage data, which can help consumers optimise their energy use and reduce costs. However, the AEMC's Review of the regulatory framework for metering services found that access to real-time data is limited, and changes to the regulatory framework may be necessary to ensure all consumers can benefit. Following the Review, Energy Consumers Australia (ECA) submitted a rule change request to improve access to real-time data. This consultation paper seeks stakeholder feedback on the barriers to…

Jun82024 by Connor JamesNo Comments

Avoiding Compliance Atrophy: The Critical Role of Assurance Reviews for Growing Energy Retailers

AU Energy Compliance, NT Energy Compliance

As energy retailers expand their customer base and operations, ensuring ongoing compliance with regulatory obligations can become increasingly challenging. A key risk is "compliance atrophy" - where initially compliant documents, processes and systems slowly deteriorate and waste away over time if not regularly monitored and reviewed. What is compliance atrophy? Compliance atrophy is typically a result of documents, processes and systems being 'updated' or 'reworded' to reflect changes in focus for the business and input from other stakeholders including marketing and sales teams. Oftentimes, a business incorrectly assumes that provided that the original intent is retained, a document, process or system will remain complaint. That is not the case. In energy, and in other industries the regulatory framework is ultra specific in what it tells businesses to do. For example,…

Mar112024 by Jodi DonovanNo Comments

Modernising Electricity Regulation: The AES Framework and Embedded Networks in Western Australia

Embedded Networks, WA Energy Compliance

Background The existing licensing framework overseeing the sale and supply of electricity in Western Australia (WA) has struggled to adapt to the rapid expansion of emerging and atypical electricity business models in recent years. To address this, in 2019, the then Minister for Energy commissioned Energy Policy WA to assess the regulatory framework in Western Australia. In 2020, Energy Policy WA initiated consultations on a proposed regulatory framework for various categories of 'alternative electricity services' called the Alternative Electricity Services (AES) registration framework. This framework aims to apply customer protection obligations to persons providing electricity services through atypical business models not covered by the existing licensing framework, or where the current framework is deemed inadequate. Legislative amendments to the Electricity Industry Act 2004 (WA) to give effect to the AES…

Feb272024 by Connor JamesNo Comments

How to Build an Effective Energy Retailer Compliance Program

AU Energy Compliance, Compliance, NT Energy Compliance

It is very difficult for energy retailers who are operating independently of one another to understand what an effective compliance management program is. Typically, the only feedback that they receive is from regulators when something goes wrong i.e. when there is a breach that they are required to report on, and they subsequently go through an investigation and enforcement process. Regulators themselves do not fully understand the compliance function’s roles and responsibilities- they typically see the tail end, what goes wrong, and not the work that goes in to avoiding non-compliance. Compliance Quarter has the advantage of having worked with a number of energy retailers and as a result is in a unique position in being able to explain what an effective compliance program looks like. So, what are some…

Jan212024 by Connor JamesNo Comments

How to comply with the life support equipment registration rules

AU Energy Compliance

Introduction If you are a retailer selling energy to customers who require life support equipment, you need to be aware of your obligations under the National Energy Retail Rules (NERR). Life support equipment is any equipment that is needed to sustain or support the life of a person, such as oxygen concentrators, kidney dialysis machines, ventilators, and so on. The NERR provides a definition of life support equipment. Customers who rely on such equipment are entitled to certain protections under the NERR, such as advance notice of planned interruptions, emergency contact numbers, and exemption from de-energisation. To provide these protections, you need to register the customer's premises as requiring life support equipment and keep your registration details up to date. You also need to obtain medical confirmation from the customer…

Oct262023 by Connor JamesNo Comments

Navigating Energy Regulation: Best Practices for Effective Communication

AU Energy Compliance, NT Energy Compliance

Energy retailers operate in a dynamic and highly regulated environment so dealing with energy regulators is an inevitable aspect of this business. To maintain a healthy and compliant relationship with energy regulators, there are some key principles to keep in mind. Be Succinct When communicating with energy regulators, less can often be more. Energy retailers should strive for succinctness because providing excessive information increases the risk of regulators raising further questions on other areas of the business not previously in the spotlight. By offering precisely what's requested and nothing more, retailers minimise the chances of inadvertently highlighting furtherissues. When responding to requests for information, provide the regulators with precisely what they have asked for and ensure your response is directly relevant to their inquiry. Address any specific questions asked without…

Aug82023 by Connor JamesNo Comments

Energy Retailer under Scrutiny for Banned Door-to-Door Sales

AU Energy Compliance, Victorian Energy

Victoria's energy regulator has accepted a court enforceable undertaking from retailer 1st Energy Pty Limited following allegations that the company violated the Statewide ban on door-to-door energy sales. The ban, which took effect in December 2021, prohibits unsolicited visits and cold calls by energy retailers and their representatives. Evidence gathered by the Essential Services Commission indicates that between January and March 2022, 1st Energy signed up 81 new customers through unsolicited home visits conducted by third-party sales agents. Agents gained entry to homes under the pretense of installing in-home energy monitoring devices, but then used the opportunity to solicit energy quotes and contracts from 1st Energy via SMS without the customers' prior consent. Commissioner Sitesh Bhojani stated there are clear rules prohibiting these types of unsolicited sales tactics. He said…