Australian Capital Territory

Energy Efficiency (Cost of Living) Improvement Record Keeping and Reporting Code of Practice 2012 (No 1)
Disallowable Instrument DI2012–268
Made under the
Energy Efficiency (Cost of Living) Improvement Act 2012, section 25 (Codes of practice)

1	Name of instrument
This instrument is the Energy Efficiency (Cost of Living) Improvement Record Keeping and Reporting Code of Practice 2012 (No 1).

2	Commencement 
This instrument commences on the day after its notification day.

3	Code of practice
The attached ‘Energy Efficiency (Cost of Living) Improvement Record Keeping and Reporting Code of Practice’ is a code of practice approved by the administrator under the Energy Efficiency (Cost of Living) Improvement Act 2012, section 25 (Codes of practice).

4	Disapplication of notification requirement
The Legislation Act 2001, sections 47 (5) and 47 (6) do not apply to this instrument.

5	Referenced documents
(1)	Australian Standards are available for purchase at www.standards.org.au. 
(2)	A copy of the Building Code of Australia is available for inspection by members of the public between 9am and 4.30pm on business days at the Environment and Sustainable Development Directorate shopfront, Dame Pattie Menzies House, 16 Challis Street, Dickson, or for purchase at www.abcb.gov.au.

John Meyer
Administrator 
19 December 2012

Australian Capital Territory

Energy Efficiency 
(Cost of Living) Improvement 
Record Keeping and Reporting 
Code of Practice

December 2012

made under the 

Energy Efficiency (Cost of Living) Improvement Act 2012

Contents
	Page

Part 1	 Preliminary
1	Name of code
2	Dictionary
3	Offences and other consequences of contravening this code
Part 2	Important concepts
4	Object of code
5	Application to retailers
6	Application to authorised contractors
7	Application to authorised installers
8	Application to authorised sellers
9	Meaning of certain terms—correlation with Act
10	Meaning of consumer
11	Meaning of lessee
12	Meaning of activity record form
13	Code does not limit other obligations
Part 3	 General obligations
14	Application of Part 3
15	Nomination of record keeping and reporting contact
16	Accessibility and privacy
17	Format of documents
18	Control of confidential information
19	Providing information to the administrator
20	Authorised contractor identification
21	Authorised seller identification
22	Authorised installer identification
23	Information to be kept on authorised contractors and installers
Part 4	 Compliance plans
24	Application of Part 4
25	Content of compliance plan—Act section 17(2)
26	Preparation of compliance plan
27	Retailer approval of compliance plan
28	Format of compliance plan
29	Lodgement of compliance plan
31	Use of compliance plan
Part 5	 Activity records
33	Application of Part 5
34	Activity records
35	Activity record forms
36	Nomination of a primary installer
37	Activity record may affect the determination of obligation
38	Copy to be provided to consumer
39	Customisation of forms
40	Information not to be included in the activity record form
41	Standard information
42	Unique identifier
43	Standard statement
44	Priority household information
45	Authorised contractor information
46	Authorised seller information
47	Authorised installer information
48	Value of eligible activities
49	Consumer declaration – activities requiring authorised installers
50	Consumer declaration– activities not requiring an authorised installer
51	Installer declaration
52	Primary installer declaration
53	Seller declaration
54	Specific activity information
Part 6	 Activity certification
55	Application of Part 6
56	Activity certification
Part 7	 Periodic activity reporting
57	Application of Part 7
58	Information to be given to administrator periodically
59	Required information
60	Preparation of periodic activity report
61	Approval of periodic activity report
62	Format of periodic activity report
63	Lodgement of periodic activity report
64	Use of periodic activity report
65	Frequency of reporting – certain eligible activities
66	Frequency of reporting gas boosted solar water heaters—  s 65 (2)
Part 8	 Compliance period report
67	Application of Part 8
68	Compliance period report—Act, s19
69	Other information—Act, s19 (1) (g), (2) (b)
70	Results of independent audit—Act, s19 (2) (a)
71	Preparation of compliance period report
72	Retailer approval of compliance period report
73	Format of compliance period report
74	Lodgement of compliance period report
76	Use of compliance period report
Part 9	 Independent information audits
77	Application of Part 9
78	Audit requirements
79	Purpose of audit
80	Audits to be submitted with compliance period reports
81	Appointment of auditor— administrator
82	Nomination and approval of auditor— retailer
83	Appointment and termination of approval of auditor
84	Obligations of the retailer
85	Briefing of auditors
86	Use of and response to audit report
Part 10	Information and reporting requests
87	Application of Part 10
88	Information and reports required from time to time
89	Information in relation to health and safety risks
90	Activity record forms and activity certifications
91	Lodgement of information
92	Requests for further information
Part 11	 Miscellaneous
93	Copies of referenced documents
Dictionary
Schedule 1	Declaration—periodic activity report
Schedule 2	 Declaration—compliance period report
Part 1		Preliminary

1	Name of code
This code is the Energy Efficiency (Cost of Living) Improvement Record Keeping and Reporting code of practice.

2	Dictionary
The dictionary at the end of this code is part of this code.

Note 1	The dictionary at the end of this code defines certain terms used in this Code, and may include references (signpost definitions) to other terms defined elsewhere in this Code.

Note 2	A definition in the dictionary (including a signpost definition) applies to the entire code unless the definition, or another provision of the code, provides otherwise or the contrary intention otherwise appears (see Legislation Act, s 155 and s 156 (1)).

Note 3	See the Legislation Act, s 127 (1), (4) and (5) for the legal status of notes.

3	Offences and other consequences of contravening this code
The Energy Efficiency (Cost of Living) Improvement Act 2012 provides offence and other enforcement mechanisms that can result from a contravention of this code. 

Offences, other enforcement mechanisms and criminal and civil penalties may apply under other relevant legislation to the recording and reporting of information, such as for fair trading or trade practices, contracts, financial arrangements with consumers, or the undertaking of regulated activities, and can result from a contravention of this code.

Note 1	The Criminal Code, ch 2 applies to all offences against the Act (see Code, pt 2.1).The chapter sets out the general principles of criminal responsibility (including burdens of proof and general defences), and defines terms used for offences to which the Code applies (e.g. conduct, intention, recklessness and strict liability).

Note 2	A reference to an Act includes a reference to the statutory instruments made or in force under the Act, including regulations (see Legislation Act, s 104).

Note 3	See the dictionary to this code for the definition of relevant legislation. 

Part 2	Important concepts

4	Object of code
The object of this code is to prescribe requirements for record keeping and reporting obligations for retailers under the Energy Efficiency (Cost of Living) Improvement Act 2012 (the Act). Obligations may also apply to authorised contractors, authorised sellers, authorised installers and consumers to record or report certain information in accordance with this code. A retailer is responsible for the compliance of records and other relevant information made or given by parties contracted or employed by the retailer.  

Section 26 of the Act provides that a NERL retailer must keep the records that are necessary for the administrator to determine whether the retailer’s energy savings obligations have been complied with. Records must be kept for at least 5 years after the end of the compliance period to which the record relates. Records must be kept in accordance with a relevant approved code of practice. The maximum penalty prescribed for failing to keep records for the required amount of time is 20 penalty units. 

This code provides for record keeping and reporting requirements for the Act and for determining compliance with energy savings obligations, including for—

(a)	compliance plans; 
(b)	eligible activities; 
(c)	compliance period reporting; 
(d)	periodic activity reporting; 
(e)	independent information audits; and
(f)	information and reporting requests from the administrator. 

Note 	Enquiries about the obligations of retailers under this code should be directed to the administrator at ESDD-EEIS@act.gov.au.

This code is one of a number of instruments, including the Act and the Energy Efficiency (Cost of Living) Improvement (Eligible Activities) Determination, which should be read in conjunction with each other. In the event of inconsistency between this code and the Act, the Act takes precedence to the extent of the inconsistency. All applicable instruments can be found at http://www.legislation.act.gov.au/a/2012-17/default.asp. 

5	Application to retailers 
In this code a reference to a retailer means a NERL retailer as defined in the Energy Efficiency (Cost of Living) Improvement Act 2012, in circumstances where an obligation to keep or provide a record, report or other information relating to a retailer’s compliance with that Act applies.  

6	Application to authorised contractors 
In this code a reference to an authorised contractor is a reference to an entity that is directly contracted by a retailer to provide or arrange the undertaking of eligible activities, other than an employee of a retailer, where an obligation to record or report information under this code applies.  

Note 	An authorised contractor may be an individual (sole trader), company or other business but does not include an employee of the retailer.

7	Application to authorised installers
In this code a reference to an authorised installer is a reference to an individual, whether an employee of, or under direct contract to, a retailer or an authorised contractor, who undertakes an eligible activity on behalf of a retailer, where an obligation to record or report information under this code applies.

Note 	An authorised installer can only be a natural person. An individual may be both an authorised contractor and an authorised installer.

8	Application to authorised sellers
In this code a reference to an authorised seller is a reference to a business entity that under contract or by other direct arrangement with a retailer or an authorised contractor, undertakes an eligible activity that specifically refers to the purchase of a compliant product but does not require the installation of the product for the activity to be considered complete, where an obligation to record or report information under this code applies.  

Note 1	An authorised seller may be an individual (sole trader), company or other business but does not include an employee of the retailer or business.

Note 2	Activities that specifically refer to the purchase of a product are Activity 5.2 Purchase of high efficiency refrigerator or freezer, Activity 5.4 Purchase of high efficiency electric clothes dryer, and Activity 5.6 Purchase of a high efficiency television. These activities do not require an authorised installer to install the product, or for the product to be installed for the activity to be considered complete.

9	Meaning of certain terms—correlation with Act
A term used in this code has the same meaning as the term has in the Energy Efficiency (Cost of Living) Improvement Act 2012, unless this code provides a different meaning for the term.  

Note	A term used in this code has the same meaning as the term has in the Energy Efficiency (Cost of Living) Improvement Act 2012 (see the Legislation Act, s 148).

Note 	A reference to a section or subsection is a reference to a section or subsection in this code unless otherwise indicated.

10	Meaning of consumer
In this code a reference to a consumer is a reference to—
(a)	for eligible activities that do not require the installation of a product by an authorised installer, an individual who is a resident of the ACT that purchases the compliant product; or 

(b)	for eligible activities that require the installation of a product by an authorised installer, an individual who is—
(i)	a party to a residential tenancy agreement for the premises; or
(ii)	a lessee of the residential premises; or
(iii)	an occupier of the residential premises at least 18 years of age. 

Note 1	A consumer is not limited to the person that holds the electricity or gas account for the premises or the lessee (owner).  The person named on the individual activity record will generally be determined by which person is involved in contracting for the eligible activity, or is authorised to sign that the eligible activity has been undertaken. For example, if a tenant engages an authorised installer to decommission a refrigerator, install a standby power controller or has permission to arrange for or sign for the installation of a water heater the tenant may be recognised as the consumer. If the lessee (owner) contracts the installation of a water heater in a tenanted property, the lessee may be the consumer. 

Note 2	A premises owner may come to an arrangement with a tenant for the undertaking of eligible activities. An authorised installer is not required to view or witness the authorisation provided by a lessee to a tenant. 

Examples of consumers

1	A tenant of a premises in which eligible activities are undertaken. 
2	A lessee (owner) of a premises in which eligible activities are undertaken. 
3	A lessee (owner) of a premises being constructed or renovated. 
4	A resident of the ACT who purchases a high efficiency television for use in a residential premises.

11	Meaning of lessee
In this code a reference to a lessee is a reference to a person who is a proprietor of the crown lease for the relevant parcel of land on which a premises located.

Note	The ACT operates a leasehold system of land tenure. A lessee is a person who holds the lease for the land. The term lessee does not refer to a tenant, renter or occupier of a premises under a tenancy or other occupancy agreement. 

12	Meaning of activity record form
In this code a reference to an activity record form means a form containing one or more individual activity records. 

13	Code does not limit other obligations
This code does not limit the operation of other legislation relating to the record keeping or reporting requirements applying to a retailer, or modify the obligations of a retailer, under any other relevant law. 

Part 3		General obligations   

14	Application of Part 3
This part applies to the general requirements for record keeping and reporting under the Energy Efficiency (Cost of Living) Improvement Act 2012. 

Note 1 	Section 26 of the Act provides that a NERL retailer must keep the records that are necessary for the administrator to determine whether the retailer’s energy savings obligations have been complied with. Records must be kept for at least 5 years after the end of the compliance period to which the record relates. Records must be kept in accordance with a relevant approved code of practice. The maximum penalty prescribed for failing to keep records for the required amount of time is 20 penalty units. 

15	Nomination of record keeping and reporting contact
(1)	Within one month of the notification of this code, or of an entity becoming a NERL retailer if it is not a NERL retailer at the commencement of this code, a retailer must—
(a)	nominate an employee of its organisation who is an individual as its contact for record keeping and reporting matters (the primary reporting contact); and 
(b)	provide to the administrator the primary reporting contact’s—
(i)	first and last name; and
(ii)	position within the organisation; and 
(iii)	direct business email address; and
(iv)	direct business telephone number.

(2)	A primary reporting contact need not be the individual that approves compliance plans and mandatory reports, but must be a senior officer with sufficient authorisation to arrange the provision of reports and other information required by this code.

(3)	A retailer must notify the administrator in writing of a change of the primary reporting contact, or of the primary reporting contact’s details in subsection (1), within 5 working days after the change happened.

16	Accessibility and privacy
(1)	Records must be kept in writing in the English language.

(2)	For an individual activity record form prepared in a language other than the English language, a copy of the record must be converted into and kept in the English language.
 
(3)	The accuracy of translation of required information into or from the English language is the responsibility of the retailer supplying the information.

(4)	Records must be kept in a manner and form that is readily accessible. 

(5)	As far as is reasonable, retailers must maintain records that enable information provided to the administrator to be verified. 

(6)	All information must be collected and stored in accordance with the Privacy Act 1988 (Commonwealth).

17	Format of documents
(1)	Documents provided to the administrator must be provided in the format applying to the type of record or report in this section.

(2)	For compliance plans, the format prescribed in section 28.

(3)	For periodic activity reporting, the format prescribed in section 62.

(4)	For compliance period reports, the format prescribed in section 73.

(5)	For independent information audits, the format specified by the administrator under section 79 (1) (e).

(6)	For information and reporting requests, including for activity record forms and activity certifications, the relevant format prescribed in section 90 or determined by the administrator under section 88.

(7)	A copy of a document that cannot be edited must be clearly labelled and marked as ‘Uneditable Copy’.

(8)	Documents must be named in accordance with the naming convention of  <Retailer Prefix>_<Issue Date>_<Report Type>_<Reporting Period> where—

(a)	the Retailer Prefix is the individual retailer prefix assigned to the retailer by the administrator; and

(b)	the Issue Date is the date the report is completed, including any approval or declaration relating to the report, in the YYYYMMDD date format; and 
(c)	the report type is not more than one of —
(i)	compliance plan; or
(ii)	periodic activity report; or
(iii)	compliance period report; or
(iv)	independent audit report; or
(v)	for information and reporting requests under part 9, the information request reference provided by the administrator in accordance with that part. 
(d)	the reporting period is the period of time the report relates to. 

(9)	For a periodic activity report for certain eligible activities required under section 65, the report type must include the activity identifier at the end of the report type.

Examples of document naming

1	A Quarter 3 2014 periodic activity report for a retailer with the retailer prefix of ESDD1 issued on 5 October 2014 would be named ESDD1_20141005_Periodic Activity Report_Quarter3 2014. 
2	A monthly report on activity 3.1 for retailer ESDD2 for July 2013 and issued on 2 August 2013 would be named ESDD2_20130802_Periodic Activity Report 3.1_July 2013. 
3	A compliance plan for the compliance period 2015 issued on 9 January 2015 by retailer ESDD3 would be named ESDD3_20150109_Compliance Plan_2015. 
4	A report generated on 1 April 2013 by retailer ESDD4 in response to an information request from the administrator with the request reference number of MO1.82013 covering certain activities in March 2013 would be named ESDD4_20130401_MO1.82013_March 2013.

Note  	The record keeping requirements in this code do not preclude the use of electronic devices. For example, authorised installers may prepare their individual activity records, and facilitate the completion and signing of the forms by the installer and consumer by electronic means (e.g. a handheld computer or such device).

18	Control of confidential information
(1)	Information provided in confidence to a retailer by the administrator must—
(a)	be kept securely in a hard copy or electronic format; and
(b)	be only provided to individuals in the retailer’s organisation that require the information to comply with an obligation under the Act or a relevant code; and
(c)	not be provided to any other party, including an authorised contractor, an authorised seller or an authorised installer, unless approved in writing by the administrator.

Example —confidential information 

Information bound by privacy requirements, information on non-compliance of an authorised contractor, product approval and performance information where that information is not publicly available.

19	Providing information to the administrator
(1)	Reports, records and other required information must be provided to the administrator by a secure electronic link unless otherwise agreed in writing by the administrator. 

(2)	Not later than 2 working days before a compliance plan, periodic report, or compliance period report is due, the primary reporting contact must request the electronic link by email to the administrator at ESDD-EEIS@act.gov.au.

Note	A retailer does not need to wait until 2 working days before the relevant report is due to request the link.

(3)	For information and reporting requests under Part 1, the administrator will confirm the method to be used for providing the information in the request to the retailer.

(4)	Information must be lodged in the relevant format prescribed in section 17.

(5)	If a requirement for the information to be approved exists, the relevant approval or declaration must be included with the approved information. 

(6)	A document must not contain more than one report, or relate to more than one information or reporting request, unless otherwise specified by this code. 

(7)	The time of receipt of a document will be determined in accordance with section 13A of the Electronic Transactions Act 2001.

20	Authorised contractor identification
(1)	A retailer must assign each authorised contractor a unique identifier that is—

(a)	for an entity that holds a licence issued under the Construction Occupations (Licensing) Act 2004, the licence number for the entity given under that Act; or 
(b)	for an entity that does not hold a licence issued under the Construction Occupations (Licensing) Act 2004 and does not require such a licence to undertake an eligible activity, an eight digit numeric identifier with a prefix of the letter C. 

Note	A construction occupations licence number is generally an 8 digit numeric identifier, but may range to 9 digits. The assigned contractor identification is required for the completion of activity records, as provided for under Part 5, and identification of authorised contractors for compliance purposes. 

21	Authorised seller identification
(1)	A retailer must assign each authorised seller a unique identifier that is—

(a)	for an entity that is an authorised contractor, the unique identifier assigned to the entity in accordance with section 20; or 
(b)	for an entity that is not an authorised contractor and holds a licence issued under the Construction Occupations (Licensing) Act 2004, the licence number for the entity given under that Act; or 
(c)	for an entity that is not an authorised contractor and does not hold a licence issued under the Construction Occupations (Licensing) Act 2004 and does not require such a licence to undertake an eligible activity an eight digit numeric identifier with a prefix of the letter S. 

Note	A construction occupations licence number is generally an 8 digit numeric identifier, but may range to 9 digits. The assigned seller identification is required for the completion of activity records, as provided for under Part 5, and identification of authorised sellers for compliance purposes. 

22	Authorised installer identification
(1)	A retailer must assign each authorised installer a unique identifier that is—

(a)	for an individual that is an authorised contractor, the unique identifier assigned to the individual by the retailer in accordance with section 20; or
(b)	for an individual that is not an authorised contractor and is an authorised seller, the unique identifier assigned to the individual in accordance with section 21; or
(c)	for an individual that is not an authorised contractor or authorised seller and holds a licence issued under the Construction Occupations (Licensing) Act 2004, the licence number for the entity given under that Act; or 
(d)	for an individual that is not an authorised contractor or authorised seller and does not hold a licence issued under the Construction Occupations (Licensing) Act 2004 and does not require such a licence to undertake an eligible activity, an eight digit numeric identifier with a prefix of the letter I. 

23	Information to be kept on authorised contractors and installers
(1)	A retailer must keep a register of all authorised contractors, authorised sellers and all authorised installers.

(2)	The register for subsection (1) must include for each entity—

(a)	the unique identifier assigned to the entity by the retailer in accordance with sections 20, 21 and 22; and
(b)	the entity’s legal name; and
(c)	if the entity is not an employee of a retailer or authorised contractor, the entity’s Australian Business Number or Australian Company Number; and
(d)	the name, date of completion and method of completion of all applicable mandatory induction or training courses required for the eligible activities the entity provides.

(3)	Details of training required in subsection (2) must be included in the register within 5 working days of completion of the training.

(4)	A retailer must keep records supporting the completion of any mandatory induction or training courses recorded in the register. 

(5)	A retailer must keep records of non-mandatory training provided to authorised contractors, authorised sellers and authorised installers, and may record this information in the register.

(6)	A retailer may record other relevant information in the register.

Note	The administrator may make an information or reporting request under Part 10 to see the register or extracts from the register for compliance purposes.  

Part 4		Compliance plans   

24	Application of Part 4
This part applies to the giving and lodging of a compliance plan under section 17 of the Energy Efficiency (Cost of Living) Improvement Act 2012. A compliance plan is not considered given or lodged if it does not comply with this part.

Note 1 	Section 17(3) of the Act provides that a NERL retailer commits a strict liability offence if the retailer does not lodge a compliance plan before undertaking eligible activities in the compliance period. The maximum penalty prescribed for that offence is 10 penalty units. 

Note 2  	A tier 1 NERL retailer must undertake eligible activities or acquire approved abatement factors to achieve its energy savings and priority household obligations. A tier 2 NERL retailer must undertake eligible activities, acquire approved abatement factors or pay an energy savings contribution for all or part of its energy savings obligation. A NERL retailer is not required to lodge a compliance plan if it does not undertake eligible activities.

25	Content of compliance plan—Act section 17(2)
(1)	A compliance plan for a compliance period must include a minimum of—

(a)	an estimation of the retailer’s electricity sales in the ACT in the compliance period in MWh; and
(b)	a calculation, based on the reported estimated electricity sales in the ACT for the compliance period and any expected carried forward shortfall or surplus from the previous compliance period, of— 
(i)	the retailer’s expected energy savings obligation for the compliance period; and
(ii)	for a tier 1 retailer, the retailer’s expected priority household target for the compliance period; and
(c)	a description of how the retailer plans to achieve the energy savings obligation reported in accordance with subsection (b)(i) and, if required, the priority household obligation reported in accordance with subsection (b)(ii), including but not limited to—
(i)	the eligible activities the retailer is planning to undertake; and
(ii)	for each eligible activity that requires a product is installed by an authorised installer —
(A)	the expected number of installations; and 
(B)	the estimated number of premises  in which the activity will be undertaken; and
(iii)	for each eligible activity that does not require the installation of a product by an authorised installer, the expected number of products that will be sold; and 
(iv)	an indication of whether the retailer is intending to apply for approval of new activities, including a brief description of the new activities; and
(v)	an indication of whether the retailer is intending to apply for the approval of new products for inclusion on a product register required for a particular activity, including a brief description of the new products; and
(vi)	an estimation of the acquired abatement factors that the retailer may seek approval for during the compliance period; and
(d)	a description of the retailer’s internal allocation of responsibilities in relation to the retailer’s obligations under the Act; and 

Example —internal allocation of responsibility 

A retailer may allocate responsibility for reporting, general compliance, communications, management of contractors and installers and other relevant matters to different officers, or teams within the organisation.

Note  	A retailer may update contact information for required contact officers, such as the primary reporting contact, in the compliance plan. 

(e)	a description of the resources, systems and processes that the obliged retailer intends to use to ensure that the retailer’s obligations and responsibilities under the Act for the compliance period are met; and 

Note  	This may include quality assurance systems, telephone and field audits, data verification and validation processes, payment terms that do not create an incentive for installers to engage in dishonest practices, contractual consequences for non-compliant work, management of requests for duplicate activities or products. 

(f)	a description of how the retailer plans to meet the quality, health, safety, environment and consumer protection requirements relating to eligible activities under the Act, the eligible activity determination, codes of practice made by the administrator and any other relevant legislation including, but not limited to— 
(i)	the training provided to the retailer’s employees, authorised contractors, authorised sellers and authorised installers in relation to the performance of eligible activities, and guidelines for decommissioning practices; and
(ii)	the systems and processes in place to ensure that people undertaking eligible activities are competent to undertake the work, including meeting any mandatory licensing and training requirements outlined in the relevant codes of practice for the activities; and
(iii)	the systems and processes in place to ensure authorised installers undertaking eligible activities in residential customer’s premises are fit and proper to undertake the activities; and
(g)	information about the retailer’s complaint and dispute resolution procedures in relation to the Act, demonstrating that its procedures are—
(i)	established in accordance with Australian Standard ISO 10002-2006; and
(ii)	readily accessible to any customer that has had an eligible activity undertaken in their premises.

(2)	Information in a compliance plan must relate to the relevant compliance period and expected energy savings obligation for that period.

(3)	A retailer may include in a compliance plan any other information relating to its compliance that it considers relevant. 

26	Preparation of compliance plan
(1)	A retailer use all reasonable endeavours to accurately prepare a compliance plan and the information, estimates and calculations contained within it.

(2)	Descriptions of systems and processes must, as far as is reasonable, reflect the actual systems and processes the retailer is, or is intending to use.

Note   	The information in the compliance plan is not intended to bind a retailer to offering particular eligible activities or prevent a retailer from revising processes and systems for management of its obligations under the Act. However, it is expected that the retailer will provide accurate information to the administrator to allow an assessment of likely compliance with relevant obligations.

27	Retailer approval of compliance plan
(1)	A compliance plan must be approved and signed by an individual employed by the retailer to which the compliance plan applies with an appropriate delegation for statutory reporting purposes relevant to the Act.

(2)	An approval of a compliance plan must include a statement by the person approving the plan acknowledging the obligations and responsibilities of that retailer under the Act in relation to the giving and lodging of compliance plans.

Note 	A reference to an Act includes a reference to the statutory instruments made or in force under the Act, including regulations (see the Legislation Act 2001, s104).

28	Format of compliance plan
(1)	A compliance plan must be in writing and provided to the administrator in both—
(a)	a portable document format (.pdf); and
(b)	a Microsoft Word document in .doc or .docx format that allows information from the document to be copied, or 
(c)	for calculations, a Microsoft Excel document compatible with Microsoft Office Suite 2007 or higher that allows information from the document to be copied. 

29	Lodgement of compliance plan
(1)	A compliance plan must be lodged in accordance with section 19 of this code.

30	Incomplete plans and further information

(1)	This section applies to compliance plans required before eligible activities are undertaken in the compliance period.

(2)	Within 3 working days of a compliance plan being received, the administrator must determine if the compliance plan is complete. 
 
Example —incomplete compliance plans 

Information on energy savings obligations not included, insufficient information on compliance systems, expected number of installations for each activity not provided.

(3)	If a compliance plan is not complete, the administrator must, as soon as is practicable—
(a)	inform the retailer that the compliance plan is not lodged; and 
(b)	provide a description of the required information to complete the compliance plan and a reference to the relevant provisions of this code; and 
(c)	inform the retailer that a new and complete compliance plan must be lodged before any eligible activities are undertaken in the compliance period; and
(d)	inform the retailer of penalties that may apply for failing to comply with section 17 of the Act.

(4)	If a compliance plan is complete, the administrator must confirm in writing to the retailer within 5 working days that the plan is lodged.

(5)	To remove any doubt, a compliance plan is not considered lodged or given until all required information is included in the compliance plan.

(6)	A determination of whether a compliance plan is complete under this section is not an assessment of the accuracy of the information provided in the plan or the likely compliance of the retailer with its energy savings obligation. 

Note 1	A retailer is obliged to provide complete and adequate information for the administrator to make an assessment under section 31 of this code. If a retailer is informed that a new compliance plan is required it is the retailer’s responsibility to provide the new plan. 

Note 2	A retailer commits an offence if it undertakes eligible activities before it lodges a compliance plan for the compliance period. If a retailer undertakes eligible activities prior to receiving confirmation that a plan is lodged, it does so at its own risk. 

31	Use of compliance plan
(1)	On receipt of a complete compliance plan, the administrator may, based on the information available at the time, assess— 

(a)	the accuracy of calculations for energy savings obligations and priority household obligations, including allowances for any expected carried forward shortfall or surplus from a previous compliance period; and

Note	A compliance plan for the period may be lodged before the energy savings result or any carried forward shortfall or surplus is finalised. However, it is expected that retailers will monitor their progress against their respective targets throughout the compliance period and be able to make a reasonable assessment of any likely carried forward shortfall or surplus for the previous compliance period. 

(b)	the extent to which the type and volume of eligible activities reported in the compliance plan are likely to contribute to the achievement of the retailer’s estimated obligations for the relevant compliance period; and 
(c)	if the systems and processes as described in the compliance plan satisfy, or are likely to satisfy, the retailer’s obligations under the Act. 

(2)	If an assessment that calculations are not accurate is made under subsection (1) the administrator—
(a)	must advise the retailer of the miscalculation in writing within 2 working days of the assessments being made; and
(b)	may request a new compliance plan for the period to be lodged within 10 working days of the request.

(3)	In requesting a new compliance plan under subsection (2) (a) the administrator must have regards to—
(a)	the extent of the miscalculation; and
(b)	the degree to which the miscalculation may affect the retailer’s planning for, or compliance with, its energy savings obligations.

(4)	The administrator may also provide information to the retailer on the assessments made under subsections (1) (b) and (1) (c).

(5)	 An assessment under this section does not constitute a determination of an energy savings obligation, priority household obligation, carried forward shortfall or surplus, or the compliance of an eligible activity undertaken by the retailer.

Note 	The administrator does not approve or endorse compliance plans. 

32	Subsequent compliance plans 
(1)	A retailer may submit a revised compliance plan (subsequent compliance plan) that provides for the addition of new eligible activities or a change in systems and processes for a compliance period at any time during that period. 

(2)	A retailer need not provide subsequent compliance plans unless otherwise required by the Act or this code. 

(3)	The administrator may provide an assessment of the compliance plan in a time agreed with the retailer.

Note	A retailer is not obliged to prepare and give a subsequent compliance plan if changes to its obligations are made, or if undertaking activities not included in the original plan, if not required to do so by legislation. It is, however, recommended that retailers seek information from the administrator, particularly in relation to undertaking new activities. This section does not limit a retailer from providing similar information to that contained in all or part of a compliance plan separately to seek such advice.

Part 5		Activity records  

33	Application of Part 5
The activity records provisions apply to records of eligible activities undertaken and used, or intended to be used, to meet a retailer’s energy savings obligation under the Energy Efficiency (Cost of Living) Improvement Act 2012.  

34	Activity records
(1)	A retailer must collect and record the information specified in this part in relation to each eligible activity undertaken for the purposes of meeting its energy savings obligation (an activity record).

Note 	An activity record corresponds to an individual eligible activity.

(2)	A complete activity record must include—
(a)	all standard information prescribed in sections 41 of this part; and
(b)	all relevant specific activity information for the eligible activity prescribed in section 54. 

(3)	Relevant information for the activity record must be completed at the time the related prescribed activity requirement for the eligible activity is carried out, unless otherwise specified in this code.

Note 	Certain requirements such as disposal of waste products may occur on a date subsequent to the date of installation of a product. All relevant information about the installation of the product should be completed immediately after the installation has been carried out. Information about the disposal of waste products may be recorded at a later time when it is complete. 

(4)	If a format for recording certain information is prescribed that format must be used.

(5)	If more than one format for recording certain information is permitted, or a format is not prescribed, a retailer may choose the format for the information insofar as—
(a)	the meaning of the information can be clearly inferred in the context of the record; and
(b)	it meets all requirements for legibility.

Examples of formats

1	The type of priority household may be denoted by stating the full category, such as TPI gold repatriation card, or the abbreviation provided in section 44 of ‘TG’. The retailer chooses to record information in the abbreviated form.  
2	Tables, checkboxes, short description of product  

35	Activity record forms
(1)	An activity record must be made on a designated activity record form.

(2)	An activity record form must contain fields or sufficient space for recording all required information in relation to the eligible activity. 

(3)	Forms must be clearly legible and developed in consideration of Vision Australia’s Guidelines for Optimum Legibility, particularly with respect to font choice, text layout and colour choice.

Note	Vision Australia’s Guidelines for Optimum Legibility can be found at http://www.visionaustralia.org.au/info.aspx?page=785.

(4)	The activity record form is part of the activity certification.

Note 	Further requirements for activity certification are in Part 6 to this code.

(5)	A retailer may include more than one activity record on a single activity record form (a multiple activity record form).

(6)	If a retailer records more than one activity record on a single form—

(a)	the specific activity information for each eligible activity, other than the installer and consumer declarations, must be co-located on the form; and 
(b)	if more than one installer has carried out the eligible activities, or parts of the activities, each installer must sign an installer declaration; and
(c)	copies of required documentation that form the activity certification for each eligible activity undertaken and recorded on the form must be attached to the form; and
(d)	the consumer declaration must relate to all the eligible activities recorded on the form. 

Note 	Different information requirements apply to the different eligible activities. Retailers may customise their own activity record forms to incorporate the different information requirements into the one form. For example, a retailer that intends to install lamps, low flow shower fixture outlets, water heaters, building sealing and standby power controllers may create its own activity record form to capture the different information requirements for all activities.

(7)	For a multiple activity record form, individual activity records for activities included on the form need not be completed for activities that are not undertaken in the premises.

(8)	All activities recorded on a multiple activity record form must be undertaken in respect to the same premises, or for activities not requiring an authorised installer, the same consumer.

(9)	All relevant information must be recorded on the activity record form before the form is signed by the consumer and the authorised installer or authorised seller. 

36	Nomination of a primary installer
(1)	This section applies only if an authorised installer is required to carry out an eligible activity, or certain prescribed activity requirements, for an eligible activity.

(2)	If more than one authorised installer is involved in carrying out an eligible activity or activities, one authorised installer must be identified as the primary installer on the activity record form.

(3)	The primary installer must organise the completion of all relevant sections of the activity record form and the provision of any required information to the consumer.

(4)	As far as is reasonable, the primary installer must review the activity record form for accuracy and completeness before it is signed by, and a copy provided to, the consumer, but is not required to—
(a)	supervise the work of other authorised installers prior to the signing of the activity record form; or
(b)	supervise or record subsequent completion of prescribed activity requirements by other authorised installers that must be carried out before an eligible activity is taken to be complete.

(5)	A primary installer may be an individual that is also an authorised contractor. 

37	Activity record may affect the determination of obligation
(1)	The administrator may consider the accuracy and completeness of the activity record for the eligible activity in determining whether—
(a)	a retailer has met its obligations under the Act; and 
(b)	an eligible activity has been completed in accordance with all relevant requirements.

(2)	Information on an activity record form that relates to more than one eligible activity may affect all activities to which it relates.

Examples of information that may relate to one or more activities

Declarations, authorised installer numbers, activities that must be undertaken in conjunction with other activities, installed products such as building sealing products. 
38	Copy to be provided to consumer
(1)	An authorised installer or authorised seller, or primary installer if one must be nominated under section 36 of this code, must give a copy of the activity record form to the consumer immediately after the form has been signed by both parties. 

(2)	 At the time of giving the copy to the consumer, the authorised installer, or authorised seller, or primary installer if one must be nominated under section 36, must ensure that— 
(a)	all relevant information is complete, other than the date of completion for activities that require subsequent activity requirements to be undertaken, such as disposal of removed products at a waste facility or a statutory inspection; and 
(b)	the activity certification documents, other than evidence of destruction or disposal of products if this is to be undertaken after the installer has left the premises, has been provided to the consumer.

Note  	The record keeping requirements in this code do not preclude the use of electronic devices to prepare an activity record form.  

39	Customisation of forms
(1)	A retailer may customise an activity record form to include one of more of—
(a)	the retailer’s logo; or 
(b)	the retailer’s branding; or
(c)	contact details for the organisation in addition to those required under section 41 (1) (v) of this code; or
(d)	explanatory text, if that text is not inconsistent with the Act or this code; or
(e)	additional product information or specifications, if the information is not false or misleading; or 
(f)	any other information approved in writing by the administrator. 

(2)	Customised information must not obscure the required information for the activity.

40	Information not to be included in the activity record form
(1)	ACT Government logos or other branding, or information that states or implies that installers are contracted to or otherwise employed by the ACT Government, or that states or implies that an eligible activity is being undertaken on behalf of the ACT Government must not be included on an activity record form.

(2)	Customisation of the activity record form, other than that permitted under 
section 39, must not be included unless approved in writing by the administrator.

(3)	The administrator must not approve customisation or information that contains advertising material for third parties, particular product or services where that information is not related to the undertaking of eligible activities or could be perceived as a government endorsement or promotion of a particular third party, product or service.

(4)	An activity record must not be used to record work or activities other than that provided in relation to the undertaking or determining suitable eligible activities for the premises.

Note	It is recommended that retailers provide a draft of forms they have created to the administrator before they are published and used to avoid the incorrect or incomplete recording of information in relation to an activity or customisation that is not permitted under this section.

41	Standard information
(1)	Each activity record form must include—
(a)	a unique form identifier in accordance with section 42; and
(b)	the standard statement prescribed in section 43 in a prominent position on the form; and
(c)	the relevant building classification of the premises the eligible activity was undertaken in, determined by the classification under Part A3 of the Building Code of Australia, or, for premises that are not classified under that document, as described in the definition of a residential premises; and

Note 1		For the definition of a residential premises see the Dictionary at the end of this code. Premises not classified in the Building Code of Australia include transportable homes not permanently fixed to the land. 

Note 2		Classifications of buildings in the Building Code of Australia can be found at http://www.actpla.act.gov.au/topics/design_build/da_assessment/exempt_work/process/definitions. 

(d)	whether the premises is a new residential premises; and
(e)	the approximate year of contruction of the premises in YYYY format, if it can reasonably be identified; and
Note	A consumer may be able to confirm the date of construction or the installer may be able to identify the age of the premises if the ages of the surrounding premises have been identified during undertaking eligible activities in those premises. 
(f)	for an eligible activity that requires an authorised installer, the details of the premises in which the activity has been undertaken, including—
(i)	the street number, street name, suburb, and postcode in the format required by the administrator, if any; and
(ii)	occupancy status, being one of— public rental, community housing, private rental, owner occupied, or other; and

Note	Block, section, and division information can be found at http://www.actpla.act.gov.au/tools_resources/maps_land_survey/maps/actmapi2
(g)	for an eligible activity that does not require an authorised installer, the details of the premises in which the compliant product for the activity is to be installed, if different to the consumer’s residential address, including—
(i)	the street number, street name, suburb, and postcode in the format required by the administrator, if any; and
(ii)	occupancy status, being one of— public rental, community housing, private rental, owner occupied, or other; and
(h)	for an eligible activity that requires an authorised installer, the details of the consumer that is the signatory to the form, including—
(i)	title; and
(ii)	first name; and 
(iii)	family name; and
(iv)	a contact number for the consumer; and
(i)	for an eligible activity that does not require an authorised installer, the details of the consumer that is the signatory to the form, including—
(i)	title; and
(ii)	first name; and 
(iii)	family name; and
(iv)	residential address; and
(v)	a contact number for the consumer; and

Note	A person that purchases a product as part of an eligible activity must be a resident of the ACT. 
(j)	the priority household information prescribed in section 44; and
(k)	the authorised contractor information, prescribed in section 45, if applicable; and
(l)	for activities not requiring an authorised installer, the authorised seller information prescribed in section 46; or
(m)	for activities requiring an authorised installer, the authorised installer information prescribed in section 47; and
(n)	if a primary installer must be nominated under section 36, identification of the primary installer; and
(o)	information on the value of eligible activities undertaken prescribed in section 48; and
(p)	the total abatement being claimed for all eligible activities on the form in tonnes of carbon dioxide-equivalent (tCO2-e) calculated in accordance with the Energy Efficiency (Cost of Living) Improvement (Eligible Activities) Determination, as in force on the date of completion of all eligible activities; and
(q)	the relevant consumer declaration prescribed in section 49 or 50; and
(r)	for activities requiring an authorised installer, an installer declaration for each authorised installer that carried out an eligible activity, or part of an activity, made in accordance with section 51; and
(s)	if a primary installer must be nominated under section 36, the primary installer declaration, made in accordance with section 52; and
(t)	for activities not requiring an authorised installer, the seller’s declaration in section 53; and
(u)	the activity record form numbers for other eligible activities undertaken at the premises at the same time if not recorded on the same form; and
(v)	the manner for the consumer to access the retailer’s information service, and complaint or dispute resolution processes in relation to the eligible activity and relevant contact details for those processes, including a telephone number. 

(2)	The building classification need not be recorded if the activity record relates only to activities that permit the purchase of a product and do not require its installation by an authorised installer.

Note 	There are a number of fields for completion common to all activity record forms, as well as specific information that must be provided to all consumers participating in eligible activities unless otherwise specified.

42	Unique identifier
(1)	The unique form identifier must be in the format ‘abcde-123456789’, where—

(a)	‘abcde’ is the individual retailer prefix assigned to the retailer by the administrator; and
(b)	‘123456789’ is a unique nine digit form number assigned by the retailer.

43	Standard statement
(1)	The following statement must be included in a single block in the activity record form– 

 “The Energy Efficiency (Cost of Living) Improvement Act 2012 (the Act) requires electricity retailers in the Territory to meet an energy savings obligation. This is promoted as the ACT Energy Efficiency Improvement Scheme (EEIS). Under the Scheme, retailers may undertake eligible activities approved by the Minister for the Environment and Sustainable Development. All eligible activities must be carried out in accordance with prescribed standards and codes of practice. 

Retailers may contract businesses and installers to undertake activities on their behalf.  Retailers may negotiate with consumers for activities to be provided for payment. Any payment is to be negotiated between the consumer and the retailer or its agent. The negotiations and contract are subject to standard fair trading requirements. 

[insert retailer’s name] intends that the undertaking of the activity or activities described on this form will be considered in the determination of whether [insert retailer’s name] has achieved its energy savings obligation under the Act. The information provided on this form may affect the determination of [insert retailer’s name] energy savings obligation.

Retailers or their representatives must give you, the consumer, adequate information about the product(s), product warranty period(s), safety instructions and the operation of the product(s) you receive. You should also receive a copy of all relevant electrical, plumbing, gasfitting or other certificates associated with work undertaken, as well as a copy of this form.
Undertaking eligible activities in rented premises may affect the rights and obligations of the lessor and the tenant. Lessors and tenants must comply with their tenancy agreements and other legal obligations. 
Further information about the Scheme and eligible activities can be found at www.eeis.act.gov.au”
(2)	Other than the substitution of the retailer’s name in the relevant sections of the standard statement, the content of the standard statement must not be altered or amended by a retailer. 

44	Priority household information 
(1)	For activities undertaken in a residential premises the following information must be recorded—
(a)	an indicator of whether a person who lives at the premises is eligible for priority household status; and
(b)	if a person who lives at the premises is eligible for priority household status—
(i)	the class of priority being one of—
(A)	a government energy concession, which may be recorded as ‘EC’; or 
(B)	 a Commonwealth health care card, which may be recorded as ‘HC; or
(C)	 a Commonwealth pensioner concession card, which may be recorded as ‘CP’; or
(D)	a war widows repatriation health care card, which may be recorded as ‘WW’; or
(E)	 a Department of Veterans Affairs pensioner concession card, which may be recorded as ‘VA’; or
(F)	 a Department of Veterans Affairs TPI gold repatriation health care card, which may be recorded as ‘TG’; or
(G)	a Department of Veterans Affairs gold repatriation health care card, which may be recorded as ‘GR’; and
(ii)	the number of the card relating to the class specified under (i); and
(iii)	if the resident is not the consumer named on the form, the resident’s first and last name; and
(iv)	the signature of the primary installer and
(v)	an indication in writing that the installer has sighted the resident’s card mentioned in subsection (1) (b) (ii). 

Note 	The person that is eligible for priority household status need not be the consumer that is the signatory to the form. The consumer does not need to view or witness the information on the class of priority for another person who lives in the premises. 

45	Authorised contractor information
(1)	If an eligible activity is not undertaken by an employee of the retailer, the following information must be included on an activity record form—
(a)	the authorised contractor’s unique identifier assigned to the entity by the retailer under section 20; and
(b)	the authorised contractor’s legal name; and
(c)	the authorised contractor’s registered trading name, if different to the legal name; and
(d)	the authorised contractor’s Australian Business Number or Australian Company Number; and
(e)	a direct business telephone number for the authorised contractor.

46	Authorised seller information
(1)	For an eligible activity not requiring an installation by an authorised installer, the following minimum information must be collected on an activity record form—
(a)	the authorised seller’s unique identifier assigned to the entity by the retailer under section 21; and
(b)	the authorised seller’s legal name; and
(c)	the authorised sellers’ trading name, if different to the legal name; and
(d)	the authorised seller’s Australian Business Number or Australian Company Number; and
(e)	the address of the business premises where the products were purchased; and
(f)	a direct business telephone number for the authorised seller.

47	Authorised installer information
(1)	For each authorised installer, the following information must be included on an activity record form—
(a)	the authorised installer’s unique identifier assigned to the entity by the retailer under section 22; and
(b)	the authorised installer’s first and last name; and
(c)	an indication of whether the authorised installer holds one or more of the following occupational licensing issued under the ACT Construction Occupations (Licensing ) Act 2004—
(i)	a current and valid gasfitter licence; or
(ii)	a current and valid plumber licence; or
(iii)	a current and valid builder licence; or 
(iv)	a current and valid electrician licence.
 
Note 	A licence does not include a permit or restricted permit. 

48	Value of eligible activities
(1)	For each eligible activity the following information must be recorded—
(a)	whether the eligible activity was provided at full, partial or no cost to the consumer; and
(b)	if the eligible activity was provided at full or partial cost to the consumer, the type of value or arrangement for undertaking the eligible activity being one or more of—	
(i)	price reduction or rebate on product; or
(ii)	price reduction or rebate on installation; or
(iii)	free product; or 
(iv)	free installation; or
(v)	delayed payment; or
(vi)	instalment plan; or
(vii)	no interest loan; or
(viii)	interest-bearing loan; or 
(ix)	if the arrangement is not described in subsections (i) to (ix), a short description of the arrangement; and
(c)	the total monetary value estimated by the retailer of all the eligible activities to which the activity record form relates in Australian Dollars (AUD); and 
(d)	the value of the retailer’s contribution, if any, towards the cost of the activities in AUD; and 
(e)	the consumer’s contribution, if any, to the costs of the activities in AUD. 

49	Consumer declaration – activities requiring authorised installers
(1)	For activities that require an authorised installer, the consumer must declare that—
(a)	I am the tenant/resident/lessee (owner) of the residential premises at the installation address identified on this form; and
(b)	The eligible activity(ies) recorded on this form have been carried out at the installation address on this form; and 
(c)	I have received adequate information about the product(s), product warranty periods, safety instructions and the operation of the product(s) from the installer; and
(d)	The information I have provided and the value of my contribution to the costs of the activity is correct and complete as recorded on this form; and
(e)	I understand that this form is a record under the Energy Efficiency (Cost of Living) Act 2012 and that information may be disclosed to the administrator for the purpose of related verification, assessment, audit and scheme monitoring and compliance; and
(f)	I understand that authorised people may, with appropriate consent, inspect, examine, test, take samples, or take other recordings in respect to the eligible activities; and
(g)	I understand that knowingly making a false or misleading declaration is a serious offence under the Criminal Code 2002. 

(2)	For eligible activities 1.3(b), 1.6, and 5.5, the declaration must contain additional statements that— ‘I have been provided with printed instructions on the operation of [insert product type(s)].’

(3)	For eligible activity 2.4, the declaration must contain an additional statement that no certificate of occupancy for the respective dwelling has been issued and that the premises has never been occupied.   

(4)	For eligible activity 5.5, the declaration must contain an additional statement that—‘I have been advised about the inbuilt surge protection of the standby power controller(s) provided, and whether this will reduce the level of surge protection relative to any replaced power boards, and what may happen because of reduced surge protection.’ 

(5)	A declaration must be dated and signed by the consumer making the declaration.

(6)	The statements in the declaration that must form part of the activity record must not be altered in any way without the written approval of the administrator.

50	Consumer declaration– activities not requiring an authorised installer
(1)	For activities that do not require an authorised installer, the consumer must declare that—
(a)	I am purchasing this product for use in a residential premises located in the Australian Capital Territory; and 
(b)	The information I have provided and the value of my contribution to the costs of the activity is correct and complete as recorded on this form; and
(c)	I understand that this form is a record under the Energy Efficiency (Cost of Living) Act 2012 and that information may be disclosed to the administrator or another regulatory authority for the purpose of related verification, assessment, audit and scheme monitoring and compliance; and
(d)	I understand that authorised people may, with appropriate consent, inspect, examine, test, take samples, or take other recordings in respect to the eligible activities; and
(e)	I understand that knowingly making a false or misleading declaration is a serious offence under the Criminal Code 2002. 

(2)	A declaration must be dated and signed by the consumer making the declaration.

(3)	The statements in the declaration that must form part of the activity record must not be altered in any way without the approval of the administrator.

51	Installer declaration 
(1)	For activities that require an authorised installer, the installer must declare that—
(a)	I have carried out all eligible activities, or prescribed activity requirements for activities, against which my authorised installer ID is recorded, at the installation address on this form; and
(b)	The eligible activities, or prescribed activity requirements for activities, that I have carried out, and the provision of any advice or information to the consumer or another occupier, has been undertaken in accordance with all relevant codes and legislation applying to the activity, including the giving or arranging for the provision of any mandatory information and statutory certifications; and 
(c)	All products or waste materials for which I am responsible under a requirement of a licence or registration for the decommissioning or disposal of, have been, or will be, decommissioned or disposed in accordance with any requirements in a code of practice or relevant law; and 
(d)	I understand that this form is a record under the Energy Efficiency (Cost of Living) Act 2012 and that information may be disclosed to the administrator for the purpose of related verification, assessment, audit, scheme monitoring and compliance; and
(e)	I understand that an authorised person may, with appropriate consent from the occupier, inspect, examine, test, take samples, or take other recordings in respect to the eligible activities; and
(f)	I understand that other regulation and related inspection powers and penalties may apply to the eligible activities undertaken; and
(g)	The information I have provided is correct and complete as recorded on this form, and I understand that knowingly making a false or misleading declaration is a serious offence; and 
(2)	For eligible activity 5.5, the declaration must contain an additional statement that—‘I have advised the consumer about the inbuilt surge protection of the standby power controller(s) provided, and whether this will reduce the level of surge protection relative to any replaced power boards, and the implications of any reduced surge protection.’ 

(3)	A declaration must be dated and signed by the installer making the declaration.

(4)	The statements in the declaration that must form part of the activity record must not be altered in any way without the written approval of the administrator.

(5)	For a multiple activity record form, the declaration may be included once if there is sufficient space for each authorised installer identified on the form to date and sign the form and it is clear which date and signature relate to each authorised installer. 

52	Primary installer declaration 
(1)	If a primary installer must be nominated under section 36, the primary installer, in addition to completing an installer declaration under section 51, must declare that—
(a)	I have confirmed with the consumer that she/he has been provided adequate information about the product(s), product warranty period(s), safety instructions and the operation of the product(s) from the installer, including any specialist advice provided by other authorised installers or licence holders; and
(b)	I have confirmed with the consumer that she/he has received a copy, or arrangements have been made for provision, of any required electrical, plumbing, gasfitting or building certifications and other statutory documents associated with work undertaken at the premises; and
(c)	All relevant sections of the form that can be completed at this time have been completed. 

(2)	A declaration must be dated and signed by the primary installer making the declaration.

(3)	The statements in the declaration that must form part of the activity record must not be altered in any way without the written approval of the administrator.

53	Seller declaration 
(1)	If an authorised seller must make a declaration, the authorised seller must declare that—
(a)	I have confirmed the customer is a resident of the Australian Capital Territory and that the product will be installed and used in the residential premises recorded on this form; and 
(b)	The consumer has been provided adequate information about the product(s), product warranty period(s), safety instructions and the operation of the product(s); and
(c)	I understand that this form is a record under the Energy Efficiency (Cost of Living) Act 2012 and that information may be disclosed to the administrator for the purpose of related verification, assessment, audit and scheme monitoring and compliance; and
(d)	I understand that an authorised person under the Energy Efficiency (Cost of Living) Act 2012 may inspect, examine, test, take samples, or take other recordings in respect to the eligible activities; and
(e)	The information I have provided is correct and complete as recorded on this form; and
(f)	I understand that knowingly making a false or misleading declaration is a serious offence.  
(2)	A declaration must be dated and signed by the authorised seller making the declaration.

(3)	The statements in the declaration that must form part of the activity record must not be altered in any way without the written approval of the administrator.

54	Specific activity information 
(1)	The required information specific to each eligible activity that forms a mandatory part of the activity record under section 34 (2) (b) is listed in this section.

(2)	For a multiple activity record form, information relevant to each activity must be located so that it is clearly identified as applying to the activity.

(3)	The activity ID for the activity is the number given in this section and relates to the schedule and part number in the Energy Efficiency (Cost of Living) Improvement (Eligible Activities) Determination as in force from time to time.

(4)	Dates of completion for activities that require particular prescribed activity requirements to be carried out after the installation of a product, but before an activity is considered complete, must be recorded after the provision of the activity record form to the consumer if those prescribed activity requirements are carried out after the installation of a product and not at the relevant premises or the associated block.

Examples of prescribed activity requirements carried out after the installation and not at the premises

Destruction and disposal of a refrigerator and certain gases, disposal of removed products that require depositing at designated waste facilities, completion of statutory inspection by an independent inspector for gasfitting work prior to the granting of a certificate of occupancy for a new residential premises. 

Activity 1.1 		Building Sealing Activities

For activity 1.1 the following information must be recorded— 
(a)	the activity ID; and
(b)	the brand name and model number of each installed product; and
(c)	for door sealing activity items, the number of activity item units (N) in doors sealed determined in accordance with Schedule 1 Part 1.1 section 5 (2) (b) of the eligible activity determination; and 
(d)	for window sealing activity items, the number of activity item units in m2 of the total area of glazing determined in accordance with Schedule 1 Part 1.1 section 5 (3) (b); and
(e)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(f)	the type and certificate number of any statutory certification for the work or associated work, if applicable; and
(g)	the abatement factor for the activity calculated in accordance with Schedule 1 Part 1.1 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(h)	the date of completion, being the date all applicable prescribed activity requirements are completed.

Example of date of completion

An eligible activity may have additional requirements that may be undertaken after the date of the installation of a new product – for example the decommissioning, removal and disposal of replaced products and/or waste products. 

Activity 1.2 		Exhaust fan sealing activities

For activity 1.2 the following information must be recorded—

(a)	the activity ID; and
(b)	the brand name and model number of each installed product; and
(c)	for replacing exhaust fans, the number of activity item units (N) determined in accordance with Schedule 1 Part 1.2 section 5 (2) (b) of the eligible activities determination; and
(d)	for sealing exhaust fans, the number of activity item units (N) determined in accordance with Schedule 1 Part 1.2 section 5 (2) (b) of the eligible activities determination; and  
(e)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(f)	for electrical work required in replacing an exhaust fan, the number of the relevant certificate of electrical safety completed for the work in accordance with the Electricity Safety Act 1971; and
(g)	the type and certificate number of any other statutory certification for the work or associated work, if applicable; and
(h)	the abatement factor for the activity calculated in accordance with Schedule 1 Part 1.2 section 5 of the eligible activity determination as in force at the time the activity was completed; and 
(i)	the date of completion, being the date all applicable prescribed activity requirements for the activity are completed.

Activity 1.3 		Ventilation opening sealing activities

For activity 1.3 the following information must be recorded—

(a)	the activity ID; and
(b)	the brand name and model number of each installed product; and
(c)	for ventilation opening sealing, the activity item units (N) being the number of vents sealed determined in accordance with Schedule 1 Part 1.3 section 5 (2) (b) of the eligible activities determination; and 
(d)	the location in the premises of ventilation openings sealed; and
(e)	for chimney and flue sealing, the activity item units (N) being the number of chimneys and flues sealed determined in accordance with Schedule 1 Part 1.3 section 5 (2) (c) of the eligible activities determination;  and 
(f)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(g)	the licence number of the building certifier or certifiers that approved, inspected and certified the building work in accordance with the Building Act 2004; and
(h)	the type and certificate number of any statutory certification for the work or associated work; and
(i)	the abatement factor for the activity calculated in accordance with Schedule 1 Part 1.3 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(j)	the date of completion, being the date all applicable prescribed activity requirements are completed.

Activity 1.4 		Install a thermally efficient window 

For activities undertaken under 1.4 the following information must be recorded—

(a)	the activity ID; and
(b)	for each installed product—
(i)	the brand name and model number; and
(ii)	the identifier given to the product under the Window Energy Rating System; and
(iii)	the heating rating in stars given to the product under the Window Energy Rating System; and
(c)	the activity item units in m2 of area of glazing replaced determined in accordance with Schedule 1 Part 1.4 section 5 (2) (b) of the eligible activities determination; and
(d)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(e)	for work requiring a building approval, the licence number of the building certifier or certifiers that approved, inspected and certified the building work in accordance with the Building Act 2004; and
(f)	the type and certificate number of any statutory certification for the work or associated work; and
(g)	the abatement factor for the activity calculated in accordance with Schedule 1 Part 1.4 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(h)	the date of completion, being the date all applicable prescribed activity requirements are completed.

Activity 1.5  	Retrofit thermally efficient glazing 

For activity 1.5 the following information must be recorded— 

(a)	the activity ID; and
(b)	for each installed product—
(i)	the brand name and model number; and
(ii)	the product type being one of— glass, acrylic or film; and
(c)	the activity item units in m2 of area of glazing installed determined in accordance with Schedule 1 Part 1.5 section 5 (2) (b) of the eligible activities determination: and
(d)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(e)	for work requiring a building approval, the licence number of the building certifier or certifiers that approved, inspected and certified the building work in accordance with the Building Act 2004; and
(f)	the type and certificate number of any statutory certification for the work or associated work; and
(g)	the abatement factor for the activity calculated in accordance with Schedule 1 Part 1.5 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(h)	the date of completion, being the date all prescribed activity requirements are completed.

Activity 1.6	 Install thermally efficient window coverings

For activity 1.6 the following information must be recorded— 

(a)	the activity ID; and
(b)	the brand name and model number of each installed product; or
(c)	an indication of whether a product is custom made; and
(d)	the type of each window coverings being one or more of— curtain or blind; and
(e)	the activity item units in m2 of area of glazing of the window or windows to which product has been installed determined in accordance with Schedule 1 Part 1.6 section 5 (2) of the eligible activities determination; and
(f)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(g)	the type and certificate number of any statutory certification for the work or associated work, if applicable; and
(h)	the abatement factor for the activity calculated in accordance with Schedule 1 Part 1.6 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(i)	the date of completion, being the date all prescribed activity requirements are completed.

Activity 1.7		Install window pelmets

For activity 1.7 the following information must be recorded—

(a)	the activity ID; and
(b)	the brand name and model number of each installed product; or
(c)	an indication of whether a product is custom made; and
(d)	the activity item units in m2 of area of glazing of the window or windows to which product has been installed determined in accordance with Schedule 1 Part 1.7 section 5 (2) of the eligible activities determination; and
(e)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(f)	the type and certificate number of any statutory certification for the work or associated work, if applicable; and
(g)	the abatement factor for the activity calculated in accordance with Schedule 1 Part 1.7 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(h)	the date of completion, being the date all prescribed activity requirements are completed.

Activity 2.1	Replacing a ducted gas space heater with a high efficiency ducted gas space heater

For activity 2.1 the following information must be recorded— 

(a)	the activity ID; and
(b)	the brand name and model number of the installed product; and
(c)	the energy efficiency rating (star rating) of the installed product when tested and rated in accordance with AS 4556; and
(d)	the rated output heating capacity of the installed product as determined in accordance with AS 4556; and 
(e)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(f)	for gasfitting work, the number of the certificate of compliance completed for the work in accordance with the Gas Safety Act 2000; and
(g)	the type and certificate number of any other statutory certification for the work or associated work, if applicable; and
(h)	if the activity is required to be undertaken together with activity 2.5, the associated activity record form number for activity 2.5 if recorded on a separate activity record form; and
(i)	the abatement factor for the activity calculated in accordance with Schedule 2 Part 2.1 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(j)	the date of completion, being the date all prescribed activity requirements are completed.

Note	Activity 2.1 must be undertaken together with activity 2.5 for the insulation of ductwork, where existing ductwork connected to the heater does not meet the installed product requirements in section 3 of Part 2.5 of the Energy Efficiency (Cost of Living) Improvement (Eligible Activities) Determination 2012 (No 1). 

Note 	One of the authorised installers for this activity must be a licensed gasfitter.

Activity 2.2 	Decommission a central electric space heater and install a high efficiency ducted gas heater

For activity 2.2 the following information must be recorded— 

(a)	the activity ID; and
(b)	the brand name and model number of the installed product; and
(c)	the energy efficiency rating (star rating) of the installed product when tested and rated in accordance with AS 4556; and
(d)	the rated output heating capacity of the installed product as determined in accordance with AS 4556; and
(e)	the floor area in m2 the replaced heater provides heating to; and 
(f)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(g)	for gasfitting work, the number of the certificate of compliance completed for the work in accordance with the Gas Safety Act 2000; and
(h)	for electrical work, the number of the relevant certificate of electrical safety completed for the work in accordance with the Electricity Safety Act 1971; and 
(i)	the type and certificate number of any other statutory certification for the work or associated work, if applicable; and
(j)	the abatement factor for the activity calculated in accordance with Schedule 2 Part 2.2 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(k)	the date of completion, being the date all prescribed activity requirements are completed.

Activity 2.3		Install a gas or liquid petroleum gas space heater

For activity 2.3 the following information must be recorded—

(a)	the activity ID; and
(b)	for each installed product—
(i)	the brand name and model number; and
(ii)	the product type being one of— flued natural gas or liquefied petroleum gas space heater; and
(iii)	the energy efficiency rating (star rating) when tested and rated in accordance with AS 4553; and
(iv)	the rated output heating capacity of the installed product as determined in accordance with AS 4556; and
(c)	the number of products installed; and
(d)	identification of each room in which a heater has been installed; and 
(e)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(f)	for gasfitting work, the number of the certificate of compliance completed for the work in accordance with the Gas Safety Act 2000; and
(g)	the type and certificate number of any other statutory certification for the work or associated work, if applicable; and
(h)	the abatement factor for the activity calculated in accordance with Schedule 2 Part 2.3 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(i)	the date of completion, being the date all prescribed activity requirements are completed.

Activity 2.4 	Install a high efficiency ducted gas heater in a new residential premises

For activity 2.4 the following information must be recorded—

(a)	the activity ID; and
(b)	the brand name and model number of the installed product; and
(c)	the energy efficiency rating (star rating) when tested and rated in accordance with AS 4556; and
(d)	the rated output heating capacity of the installed product as determined in accordance with AS 4556; and
(e)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(f)	for gasfitting work, the number of the certificate of compliance completed for the work in accordance with the Gas Safety Act 2000; and
(g)	the date of issue for the building approval for the construction of the residence under the Building Act 2004; and 
(h)	the licence number of the building certifier that approved the building work in accordance with the Building Act 2004; or
(i)	the type and certificate number of any other statutory certification for the work or associated work; and
(j)	the abatement factor for the activity calculated in accordance with Schedule 2 Part 2.4 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(k)	the date of completion, being the date all prescribed activity requirements are completed.

Activity 2.5 	Install insulated gas heating ductwork

For activity 2.5 the following information must be recorded—
(a)	the activity ID; and
(b)	for each installed product, including fittings—
(i)	the brand name and model number; and
(ii)	the product R-value type when measured in accordance with AS/NZS 4859.1; and
(c)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and
(d)	the type and certificate number of any statutory certification for the work or associated work, if applicable; and
(e)	the abatement factor for the activity calculated in accordance with Schedule 2 Part 2.5 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(f)	the date of completion, being the date all prescribed activity requirements are completed.

Activity 3.1 	Decommission and replace electric resistance water heater

For activity 3.1 the following information must be recorded— 
(a)	the activity ID; and
(b)	the brand name, model number and serial number of the installed product; and
(c)	the product type being one of— a natural gas or liquefied petroleum gas storage water heater that may be recorded as NG or LPG Storage as applicable, or a natural gas or liquefied petroleum gas instantaneous water heater the may be recorded as NG or LPG Instantaneous as applicable, or a natural gas or liquefied petroleum gas boosted solar water heater that may be recorded as NG or LPG Solar as applicable; and
(d)	if a new gas connection was required for the water heater to be installed; and
(e)	for gas storage and gas instantaneous water heaters, the minimum energy efficiency rating of the product when tested and rated to AS 4552 for product type, or 
(f)	for gas boosted solar water heaters, the minimum energy performance solar contribution in climate zone 4 in percent as determined in accordance with AS/NZS 4234; and
(g)	the approximate storage capacity of the tank of the water heater being replaced; and
(h)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and
(i)	for electrical work, the number of the relevant certificate of electrical safety completed for the work in accordance with the Electricity Safety Act 1971; and
(j)	for plumbing work, the hydraulic certificate of compliance number completed for the work in accordance with the Water and Sewerage Act 2000; and
(k)	for gasfitting work, the number of the certificate of compliance completed for the work in accordance with the Gas Safety Act 2000; and
(l)	the type and certificate number of any other statutory certification for the work or associated work, if applicable; and
(m)	if the activity is required to be undertaken together with activity 3.3, the associated activity record form number for activity 3.3 if recorded on a separate activity record form; and
(n)	the abatement factor for the activity calculated in accordance with Schedule 3 Part 3.1 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(o)	the date of completion, being the date all prescribed activity requirements are completed.

Note	Activity 3.1 must be undertaken in conjunction with activity 3.3 to replace all relevant shower fixture outlets where required by Schedule 2 Part 2.6 of the Water and Sewerage Regulation 2001. The associated retailer ascribed form number for the correlating activity under 3.3 must be recorded on the form for this activity;

Activity 3.2 	Decommission a gas or liquefied petroleum gas water heater and install a gas or liquefied petroleum gas boosted solar water heater

For activity 3.2 the following information must be recorded— 

(a)	the activity ID; and
(b)	the installed product brand name, model number, tank serial number and collector serial number; and
(c)	the installed product type being one of—  a natural gas boosted solar water heater or a liquefied petroleum gas boosted solar water heater; and
(d)	the minimum energy performance solar contribution in climate zone 4 in percent as determined in accordance with AS/NZS 4234; and
(e)	if the water heater being replaced is a storage water heater, the approximate storage capacity of the tank of the water heater being replaced; and
(f)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(g)	for plumbing work, the hydraulic certificate of compliance number completed for the work in accordance with the Water and Sewerage Act 2000; and
(h)	for gasfitting work, the number of the certificate of compliance completed for the work in accordance with the Gas Safety Act 2000; 
(i)	for electrical work if applicable, the number of the relevant certificate of electrical safety completed for the work in accordance with the Electricity Safety Act 1971; and 
(j)	the type and certificate number of any other statutory certification for the work or associated work; and
(k)	if the activity is required to be undertaken together with activity 3.3, the associated activity record form number for activity 3.3 if recorded on a separate activity record form; and
(l)	the abatement factor for the activity calculated in accordance with Schedule 3 Part 3.2 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(m)	the date of completion, being the date all prescribed activity requirements are complete.

Note 1	Activity 3.2 must be undertaken in conjunction with activity 3.3 to replace all relevant shower fixture outlets where required by Schedule 2 Part 2.6 of the Water and Sewerage Regulation 2001. The associated retailer ascribed form number for the correlating activity under 3.3 must be recorded on the form for this activity.

Note 2	The gasfitting and plumbing work may be certified on the same hydraulic certificate of compliance, where an installer is licensed to undertake both the gasfitting and plumbing work components of the activity.

Activity 3.3 	Replace an existing shower fixture outlet with a low flow shower fixture outlet

For activity 3.3 the following information must be recorded— 

(a)	the activity ID; and
(b)	for each installed product—
(i)	the brand name and model number; and
(ii)	water efficiency rating when assessed and labelled in accordance with AS/NZS 6400; and
(iii)	the maximum flow rate of the fixture outlet; and
(c)	the number of activity item units (N) determined in accordance with Schedule 3 Part 3.3 section 5 (2) (b) of the eligible activities determination; and
(d)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(e)	for plumbing work, the hydraulic certificate of compliance number completed for the work in accordance with the Water and Sewerage Act 2000; and
(f)	the type and certificate number of any other statutory certification for the work or associated work, if applicable; and
(g)	the abatement factor for the activity calculated in accordance with Schedule 3 Part 3.3 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(h)	the date of completion, being the date all prescribed activity requirements are completed.

Note		The maximum number of shower fixture outlets that can be claimed per premises 
is 2.

Activity 3.4 	Hot water tap improvements

For activity 3.4 the following information must be recorded— 

(a)	the activity ID; and
(b)	for each installed product—
(i)	the brand name and model number; and
(ii)	the product type being one— an aerator or a flow controller; and 
(iii)	the maximum flow rate of the tap after installation; and
(c)	for aerators, the number of activity item units installed (N) determined in accordance with Schedule 3 Part 3.4 section 5 (2) (b) of the eligible activities determination; and
(d)	for flow controllers, the number of activity item units installed (N) determined in accordance with Schedule 3 Part 3.4 section 5 (3) (b) of the eligible activities determination; and
(e)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(f)	the hydraulic certificate of compliance number completed for the plumbing work in accordance with the Water and Sewerage Act 2000; and
(g)	the type and certificate number of any other statutory certification for the work or associated work; and
(h)	the abatement factor for the activity calculated in accordance with Schedule 3 Part 3.4 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(i)	the date of completion, being the date all prescribed activity requirements are completed.

Activity 4.1	Lighting Activities

For activity 4.1 the following information must be recorded— 

(a)	the activity ID; and
(b)	for each installed product—
(i)	the brand name and model number; and
(ii)	the product type being one of— a general lighting services lamp, a reflector lamp, a low energy lamp, or a recessed fitting; and 
(iii)	the product output in lumens; and
(iv)	the product lighting efficacy in lumens/watt; and
(v)	the product manufacturer rated hours; and
(vi)	the power factor of the lamp; and
(c)	for each product type the number of activity item units installed (N) determined in accordance with Schedule 4 Part 4.1 section 5 (2) (f) of the eligible activities determination as in force at the time the activity was completed; and
(d)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(e)	for a replacement fitting, the number of the relevant certificate of electrical safety completed for the work in accordance with the Electricity Safety Act 1971; and
(f)	the type and certificate number of any other statutory certification for the work or associated work, if applicable; and
(g)	the abatement factor for the activity, including subtotals for each product type, calculated in accordance with Schedule 4 Part 4.1 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(h)	the date of completion, being the date all prescribed activity requirements are completed.

Activity 5.1 	Decommissioning and disposal of pre-1996 refrigerator or freezer

For activity 5.1 the following information must be recorded— 
(a)	the activity ID; and
(b)	for each decommissioned product—
(i)	the brand name and model number; and
(ii)	the product type being one of— a 1-door refrigerator or freezer, or a 2-door refrigerator or freezer; and
(iii)	the year of manufacture of the product; and
(c)	the number of each product type removed and decommissioned; and
(d)	the authorised installer’s refrigerant handling licence number issued under the Ozone Protection and Synthetic Greenhouse Gas Management Act 1989 (Commonwealth); and
(e)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(f)	the type and certificate number of any statutory certification for the work or associated work; and
(g)	the abatement factor for the activity calculated in accordance with Schedule 5 Part 5.1 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(h)	the date of completion, being the date all prescribed activity requirements are completed.

Activity 5.2	Purchase of high efficiency refrigerator or freezer

For activity 5.2 the following information must be recorded— 
(a)	the activity ID; and
(b)	for each purchased product—
(i)	the brand name and model number; and
(ii)	the product type being one of— a 1-door refrigerator, a 2-door refrigerator, a chest freezer, or an upright freezer; and
(iii)	the installed product group as defined by AS/NZS 4474.1 being one— 1, 4, 5B, 5S, 5T, 6C, 6U or  7; and; 
(iv)	the product volume in litres; and
(v)	the star rating as determined in accordance with AS/NZS 4474.2; and
(c)	for multiple activity record forms, the authorised seller identifier of the seller that  sold the product; and
(d)	the receipt number or transaction reference issued by the authorised seller; and 
(e)	the abatement factor for the activity calculated in accordance with Schedule 5 Part 5.2 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(f)	the date of completion, being the date all prescribed activity requirements are completed.

Note 	Refrigerator and freezer group definitions can be located at  http://www.energyrating.gov.au/products-themes/refrigeration/domestic-refrigeration/meps/

Activity 5.3 	Installation of high efficiency gas clothes dryer

For activity 5.3 the following information must be recorded— 

(a)	the activity ID; and
(b)	the installed product brand name and model number; and
(c)	the drying load of the product in kilograms as defined by AS 4554:2005; and 
(d)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(e)	the number of the certificate of compliance completed for the gasfitting work in accordance with the Gas Safety Act 2000; and
(f)	the type and certificate number of any other statutory certification for the work or associated work, if applicable; and
(g)	the abatement factor for the activity calculated in accordance with Schedule 5 Part 5.3 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(h)	the date of completion, being the date all prescribed activity requirements are completed.

Activity 5.4	Purchase of high efficiency electric clothes dryer

For activity 5.4 the following information must be recorded— 

(a)	the activity ID; and
(b)	the brand name and model number of the product; and
(c)	the star rating of the product as determined in accordance with AS/NZS 2442.2; and
(d)	the rated capacity of the product, as measured in kilograms and defined by AS/NZS 2442.1; and
(e)	the comparative energy consumption (CEC) measured in kilowatt hours per year (kWh/y) specified on the energy rating label as defined by AS/NZS 2442.2; and
(f)	the receipt number or transaction reference issued by the authorised seller; and
(g)	for multiple activity record forms, the authorised seller identifier of the seller that  sold the product; and 
(h)	the abatement factor for the activity calculated in accordance with Schedule 5 Part 5.4 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(i)	the date of completion, being the date all prescribed activity requirements are complete.
Activity 5.5  	Install a standby power controller

For activity 5.5 the following information must be recorded— 

(a)	the activity ID; and
(b)	for each installed product—
(i)	the brand, model and serial number of the product; and
(ii)	the standby power controller type being one of— audio visual (AV) or information technology (IT); and
(iii)	whether the product has inbuilt surge protection; and
(iv)	the room types where the product is installed; and
(v)	a description of the master appliance, and the number and type of controlled appliances connected; and
Examples of information technology controlled appliances

The type of Information Technology controlled appliances connected may include, but is not limited to: 

Laptop Computer
Desktop Computer
Printer
Router
Fax
Scanner
Photocopier
Speakers
Modem
Monitor
 Gaming Controller
 External Hard drive
•	

Examples of audio visual controlled appliances

The type of Audio Visual controlled appliances connected may include, but is not limited to:
TV
Projector
Set Top Box
VCR
Audio Department
Gaming System
Pay TV Device
Blue Ray Player
DVD Player
Gaming Accessories
Surround Sound
Stereo
(c)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(d)	the type and certificate number of any other statutory certification associated with the work or associated work, if applicable; and
(e)	the abatement factor for the activity, including subtotals for each product type, calculated in accordance with Schedule 5 Part 5.5 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(f)	the date of completion, being the date all prescribed activity requirements are completed.
Activity 5.6	Purchase of a high efficiency television

For activity 5.6 the following information must be recorded— 

(a)	the activity ID; and
(b)	for each purchased product—
(i)	the brand name and model number of the product; and
(ii)	the product star rating as determined in accordance with AS/NZS 62087.2; and
(iii)	the rated capacity, as measured in kilograms and defined by AS/NZS 2442.1; and
(iv)	the comparative energy consumption (CEC) in kWh/y specified on the energy rating label as defined by AS/NZS 62087.2.2; and
(v)	the screen area in square centimetres as defined in AS/NZS 62087.2.2; and
(c)	the receipt number or transaction reference issued by the authorised seller; and
(d)	for multiple activity record forms, the authorised installer identifier of each installer that carried out the activity; and 
(e)	the abatement factor for the activity, including subtotals for each product type, calculated in accordance with Schedule 5 Part 5.6 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(f)	the date of completion, being the date all prescribed activity requirements are completed.

Activity 5.7	Install a high efficiency swimming pool pump

For activity 5.7 the following information must be recorded—

(a)	the activity ID; and
(b)	for each installed product—
(i)	the brand name and model number; and
(ii)	the product input power when tested in accordance with AS 5102.1; and
(iii)	the energy efficiency rating determined in accordance with AS 5102.2; and
(iv)	the projected annual energy consumption (PEAC) in kWh/y listed on the energy rating label; and
(v)	the number of units installed; and
(c)	for multiple activity record forms, , the authorised installer identifier of each installer that carried out the activity; and 
(d)	for electrical work, the number of the relevant certificate of electrical safety completed for the work in accordance with the Electricity Safety Act 1971; and
(e)	the type and certificate number of any other statutory certification for the work or associated work; and
(f)	the abatement factor for the activity, including subtotals for each product type, calculated in accordance with Schedule 5 Part 5.7 section 5 of the eligible activities determination as in force at the time the activity was completed; and 
(g)	the date of completion, being the date all prescribed activity requirements are completed.

Part 6		Activity certification

55	Application of Part 6
The activity certification provisions apply to records for eligible activities under section 14 of the Energy Efficiency (Cost of Living) Improvement Act 2012.  

Note 	Section 26 of the Act provides that a NERL retailer must keep the records that are necessary for the administrator to determine whether the retailer’s energy savings obligations have been complied with. Records must be kept for at least 5 years after the end of the compliance period to which the record relates, and in accordance with a relevant approved code of practice. The maximum penalty prescribed for failing to keep records for the required amount of time is 20 penalty units. 

56	Activity certification
(1)	An activity certification for an eligible activity must include—
(a)	the activity record form for the activity; and 
(b)	a copy of each statutory certification required in relation to the activity under another law of the Territory; and
(c)	a copy of each statutory certification required in relation to the activity under a law of another jurisdiction; and
(d)	if a prescribed method in a code of practice or other relevant law applies to the disposal or destruction of an existing product at a waste facility or other prescribed place, evidence of the disposal or destruction at that place; and 
(e)	if an eligible activity requires that a removed product is decommissioned, evidence that the product has been decommissioned and the method of decommissioning; and
(f)	proof of purchase for each installed product. 

Note 1	Proof of purchase for installed products may include a sales, purchase or service record, invoice, receipt, supply contract or the like. A proof of purchase may apply to more than one activity. For example, a person purchases a large consignment of general service lighting lamps, which are recorded on a single invoice. If a person has made a bulk purchase, the products must be able to be reconciled to the relevant eligible activities they were used in. 
Note 2	Evidence of decommissioning may include reconciliations, recycling receipts, count forms or the like.

(2)	An activity certification may include any other information that allows the administrator to verify the activity was completed in accordance with all relevant requirements.

(3)	Information on statutory certifications and other evidence of compliance must correspond to the information recorded on the activity record form.

Part 7		Periodic activity reporting  

57	Application of Part 7
This part applies to periodic reporting of eligible activities undertaken by a retailer during a compliance period, to determine a retailer’s compliance with eligible activity requirements under section 14 of the Energy Efficiency (Cost of Living) Improvement Act 2012.  

In this part:
quarter, in relation to a compliance period means, the time periods including the dates below—
•	Quarter 1: 1 January – 31 March
•	Quarter 2: 1 April – 30 June
•	Quarter 3: 1 July – 30 September
•	Quarter 4: 1 October – 31 December

58	Information to be given to administrator periodically
(1)	For each quarter in a compliance period that a retailer undertakes eligible activities in, the retailer must give the administrator a periodic activity report. 

(2)	The periodic activity report must contain information specified in this part about eligible activities completed during the relevant quarter. 

(3)	A periodic activity report must be given to the administrator within 15 working days of the end of a quarter.

(4)	A report for quarter 4 is not a compliance period report for section 19 of the Act, and need only contain eligible activities completed in that quarter.

Note	Only retailers undertaking eligible activities for the purpose of meeting their obligation under the Act are required to submit a periodic activity report.

59	Required information
(1)	For each activity completed in the relevant quarter the following minimum information must be given to the administrator—
(a)	the unique activity record form identifier on which the eligible activity is recorded; and
(b)	the activity ID; and

(c)	the authorised contractor, authorised seller and authorised installer identifiers of the entity or entities that undertook the activity; and
(d)	the relevant building classification of the premises the eligible activity was undertaken in, determined in accordance with section 41 of this code, if required; and
(e)	an indication of whether the premises is a new residential premises; and
(f)	for an eligible activity that requires an authorised installer, the details of the premises in which the activity has been undertaken including—
(i)	the block, section, and division or district, as identified in the crown lease for the relevant parcel of land on which the premises is located; and
(ii)	the suburb, street name and number and postcode of the premises in the format required by the administrator, if any; and
(iii)	occupancy status, being one of— public rental, community housing, private rental, owner occupied, or other; and

Note	Block, section, and division information can be found at http://www.actpla.act.gov.au/tools_resources/maps_land_survey/maps/actmapi2
(g)	for an eligible activity that does not require an authorised installer, the details of the premises in which the product is to be installed, if different to the consumer’s residential address, including—
(i)	the block, section, and division or district, as identified in the crown lease for the relevant parcel of land on which the premises is located; and
(ii)	the suburb, street name and number and postcode of the premises in the format required by the administrator, if any; and
(iii)	occupancy status, being one of— public rental, community housing, private rental, owner occupied, or other; and
(h)	the approximate year of contruction of the premises in YYYY format, if identified; and
(i)	whether the premises is a priority household; and
(j)	the consumer’s first and last name, and contact number; and 
(k)	all specific activity information corresponding to the activity ID, as required to be collected under section 54.

(2)	A copy of a retailer’s current register of authorised contractors, authorised sellers and authorised installers must also be given in the periodic activity report.

(3)	A retailer may include additional information relevant to the activity.
60	Preparation of periodic activity report
(1)	A retailer must use reasonable endeavours to accurately prepare a periodic activity report and to include all eligible activities completed in the period.

61	Approval of periodic activity report
(1)	A periodic activity report must be approved and signed by a person employed by the retailer to which the periodic activity report applies, and who holds an appropriate delegation for statutory reporting purposes relevant to the Act.

(2)	An approval of the periodic activity report must include the signed declaration prescribed in Schedule 1 to this code. 

Note 	A reference to an Act includes a reference to the statutory instruments made or in force under the Act, including regulations (see the Legislation Act 2001, s104).

62	Format of periodic activity report
(1)	A periodic activity report must be given in—
(a)	a comma separated value (CSV) file; and
(b)	Microsoft Excel document compatible with Microsoft Office Suite 2007 or higher. 
(2)	A retailer may provide separate files for each eligible activity containing all of the relevant information for that activity. 

(3)	The signed declaration required under section 61 must be made in writing and given to the administrator in a portable document format (.pdf).

(4)	A copy of a retailer’s current register of authorised contractors, authorised sellers and authorised installers may be given in either a comma separated value format or a portable document format, provided that it is in a form that cannot be edited.

63	Lodgement of periodic activity report
(1)	A periodic activity report must be provided to the administrator in accordance with section 19. 

64	Use of periodic activity report
(1)	The administrator may use the information provided in a periodic activity report to— 
(a)	assess whether information is recorded and reported in accordance with this code; and 
(b)	identify eligible activities for inspection, auditing, or for a request for further information under Part 10; and
(c)	determine the accuracy of abatement factor calculations for eligible activities reported; and 
(d)	assess the extent to which the type and volume of eligible activities reported are likely to contribute to the achievement of the retailer’s estimated energy savings obligations for the relevant compliance period; and
(e)	aggregate data to prepare reports, briefings or public documents on the administration and operation of the Act, including to fulfil the administrator’s reporting functions under section 24 of the Act.

(2)	If the administrator makes an assessment that information on certain eligible activities is not recorded and reported in accordance with this code, the administrator—
(a)	must inform the retailer within 5 working days of the assessment being made; and
(b)	must inform the retailer that only eligible activities undertaken that comply with relevant approved codes of practice can be considered in determining the retailer’s energy savings result for the compliance period; and  
(c)	may request additional information on the eligible activities identified as not being recorded and reported in accordance with this code; or 
(d)	if the non-compliance with record keeping and reporting requirements in this code affects a significant number of activities or activity records, the administrator may request a revised periodic activity report to be given within a specified timeframe. 

Note 	The administrator does not approve or endorse periodic activity reports.

(3)	If the administrator determines that an abatement factor calculation for an eligible activity may be inaccurate, within 5 working days of the determination being made the administrator must—
(a)	notify the retailer of the potential inaccuracy; and
(b)	inform the retailer that an inaccuracy may affect the determination of the retailer’s energy savings result for the compliance period; and 
(c)	inform the retailer that only eligible activities undertaken that comply with relevant approved codes of practice can be considered in determining the retailer’s energy savings result for the compliance period.

(4)	An assessment under this section does not constitute a determination of a retailer’s energy savings obligation for the compliance period. 

65	Frequency of reporting – certain eligible activities
(1)	The administrator may require that reports are provided for certain eligible activities, or the installation of certain products, more frequently than a periodic activity report for compliance purposes.

(2)	An eligible activity, or product, that is subject to a requirement to provide a regular report under this section must be prescribed in this code. 

(3)	In determining whether certain activities require more frequent reporting the administrator must consider—
(a)	the health, safety, environmental and other compliance risks associated with the activity; and
(b)	the existing inspection and auditing requirements, whether under the Act or another law of the Territory, associated with the activity; and
(c)	the complexity of standards relating to the activity; and
(d)	any recent changes in prescribed activity requirements that may affect the compliance of the activity; and
(e)	any previous evidence or history of non-compliance with prescribed activity requirements identified under this Act or another law of the Territory.

(4)	The administrator must review a reporting requirement under this section at the end of every 6 month period the reporting requirement is in force.

(5)	The administrator may remove a reporting requirement under this section at any time after considering the matters in subsection (3).

66	Frequency of reporting gas boosted solar water heaters— 
s 65 (2)
(1)	Installations of liquid petroleum gas and natural gas boosted solar water heaters under activities 3.1 and 3.2 are prescribed.

(2)	Installations of liquid petroleum gas and natural gas boosted solar water heaters under activities 3.1 and 3.2 must be reported for each calendar month.

(3)	For months that are not the last month in the quarter, reports provided under subsection (2) must be provided within 5 working days of the end of the calendar month.

(4)	For months that are the last month in the quarter, the reporting may be included in the periodic activity report for the quarter.

Part 8		Compliance period report

67	Application of Part 8
This part applies to the provision of information to the administrator under section 19 of the Act to help the administrator work out if a retailer has met its obligations under the Energy Efficiency (Cost of Living) Improvement Act 2012. 

Note	Section 19 of the Act provides for certain information to be provided by a retailer not later than 3 months after the end of the compliance period. Subsection 19(1) (g) of the Act requires that a NERL retailer must give the administrator any other information that the administrator reasonably requires to help the administrator work out if a retailer has met their obligation. A NERL retailer commits an offence if the retailer does not comply with this section of the Act. The maximum penalty for not complying with this obligation is 50 penalty units.

68	Compliance period report—Act, s19
(1)	A retailer must give the administrator certain information (a compliance period report) containing the following information in relation to a compliance period—
(a)	the retailer’s total electricity sales in the ACT in megawatt hours; and
(b)	the eligible activities undertaken by the retailer in the ACT that comply with a relevant approved code of practice; and
(c)	the approved abatement factors acquired by the retailer, that comply with a relevant approved code of practice; and
(d)	the total abatement factors for the eligible activities undertaken or  acquired by the retailer that comply with a relevant approved code of practice; and
(e)	for a tier 1 NERL retailer—the total abatement factors for eligible activities undertaken in, or acquired in relation to, priority households by the retailer that comply with a relevant approved code of practice; and
(f)	for a tier 2 NERL retailer—the extent to which the retailer’s energy savings obligation was achieved by paying an energy savings contribution.

Note	A NERL retailer than has made no sales in the ACT for the compliance period and has an energy savings obligation of zero is still obliged to provide a compliance period report under section 19 of the Act. The maximum penalty for not complying with this obligation is 50 penalty units.

(2)	If a retailer has a carried forward surplus or carried forward shortfall from the previous compliance period, the amount of the shortfall or surplus must be included in the report. 

(3)	For each activity completed in the compliance period that complies with a relevant approved code of practice, the following minimum information must be given to the administrator—
(a)	the unique activity record form identifier on which the eligible activity is recorded; and
(b)	the activity ID; and
(c)	the authorised contractor, authorised seller and authorised installer identifiers of the entity or entities that undertook the activity; and
(d)	the relevant building classification of the premises the eligible activity was undertaken in, determined in accordance with section 41 of this code, if required; and
(e)	an indication of whether the premises is a new residential premises; and
(f)	for an eligible activity that requires an authorised installer, the details of the premises in which the activity has been undertaken including—
(i)	the block, section, and division or district, as identified in the crown lease for the relevant parcel of land on which the premises is located; and
(ii)	the suburb, street name and number and postcode of the premises in the format required by the administrator, if any; and
(iii)	occupancy status, being one of— public rental, community housing, private rental, owner occupied, or other; and

Note	Block, section, and division information can be found at http://www.actpla.act.gov.au/tools_resources/maps_land_survey/maps/actmapi2
(g)	for an eligible activity that does not require an authorised installer, the details of the premises in which the product is to be installed, if different to the consumer’s residential address, including—
(i)	the block, section , and division or district, as identified in the crown lease for the relevant parcel of land on which the premises is located; and
(ii)	the suburb, street name and number and postcode of the premises in the format required by the administrator, if any; and
(iii)	occupancy status, being one of— public rental, community housing, private rental, owner occupied, or other; and
(h)	the approximate year of contruction of the premises in YYYY format, if identified; and
(i)	whether the premises is a priority household; and
(j)	if applicable the class of priority as determined under section 44 (1) (b) (i) and the card number relating to the class; and
(k)	the consumer’s first and last name, and contact number; and 
(l)	all specific activity information corresponding to the activity ID, as required to be collected under section 54.

(4)	A retailer may include additional information it considers relevant for the administrator to determine the retailer’s energy savings result.

69	Other information—Act, s19 (1) (g), (2) (b)
(1)	For a Tier 2 retailer that achieved all or part of its energy savings contribution by paying an energy savings contribution, the retailer must include the details of any payments made including— 
(a)	the date of the payment; and
(b)	the monetary value of the payment in Australian Dollars (AUD); and
(c)	a receipt number or transaction reference from the ACT Government relating to the payment.

(2)	A retailer that has made electricity sales in the ACT during the compliance period and has an energy savings obligation greater than 0 tonnes of carbon dioxide equivalent greenhouse gas emissions must also include the following information in a compliance period report—
(a)	a calculation of the total costs incurred by the retailer of meeting its obligations under the Act in AUD, exclusive of any reduction from payments or contributions from consumers and other parties to those costs; and  
(b)	a calculation of the total costs incurred by the retailer of undertaking eligible activities during the compliance period, including any administrative costs in AUD; and 
(c)	the total monetary value of the retailer’s contribution to the total costs incurred, if any, to the costs of meeting its obligation net of any payments or contributions from consumers and other parties in AUD; and 
(d)	the total monetary value of all contributions and payments for eligible activities made by consumers in AUD; and
(e)	the total monetary value of all contributions and payments by other parties that were used for costs incurred in meeting the retailer’s obligations under the Act. 

70	Results of independent audit—Act, s19 (2) (a)
(1)	If the administrator requires the results of an independent audit of some or all of the information provided to be given with the compliance period report, the results of the audit must be lodged with the compliance period report in accordance with part 9 of this code.

71	Preparation of compliance period report
(1)	A retailer must use reasonable endeavours to accurately prepare a compliance period report and the information, estimates and calculations contained within it.

72	Retailer approval of compliance period report
(1)	A compliance period report must be approved and signed by—
(a)	the Chief Executive Officer or General Manager of the retailer, or 
(b)	a person holding an equivalent position to Chief Executive Officer of the retailer; or
(c)	a person holding a delegation from the retailer to exercise the powers and functions of the retailer at a level equivalent to that held by a Chief Executive Officer; or 
(d)	the person acting as Chief Executive Officer or equivalent position during an absence of the substantive officeholder.

(2)	An approval of the compliance period report must include the signed declaration prescribed in Schedule 2 to this code. 

Note 	A reference to an Act includes a reference to the statutory instruments made or in force under the Act, including regulations (see the Legislation Act 2001, s104).

73	Format of compliance period report
(1)	The information in the report, other than the detailed information relating to individual eligible activities under section 68 (3) and including the signed declaration required under section 72, must be made in writing and given to the administrator in— 
(a)	a portable document format (.pdf); and
(b)	an unprotected Microsoft Word document in .doc or .docx format. 

(2)	Information relating to individual eligible activities for the compliance period must be given in a comma separated value (CSV) file.

(3)	A retailer may provide separate CSV files for each eligible activity containing all of the relevant information for that activity. 

74	Lodgement of compliance period report
(1)	A compliance period report must be provided to the administrator in accordance with section 19. 

(2)	A compliance period report must be given to the administrator not later than 3 months after the end of the compliance period as follows:
(a)	for compliance period 1, no later than 5 pm Monday 31 March 2014; 
(b)	for compliance period 2, no later than 5 pm Tuesday 31 March 2015;
(c)	for compliance period 3, no later than 5 pm Thursday 31 March 2016.

75	Incomplete reports and further information
(1)	Within 5 working days of a compliance period report being received, the administrator must determine if the compliance period report is complete. 

Example —incomplete compliance period reports 

Detailed information of eligible activities is not included; results of a required independent audit are not included, insufficient information on activities undertaken in priority household

(2)	If a compliance period report is complete, the administrator must confirm in writing to the retailer within 2 working days that the report is given.

(3)	If a compliance period report is not complete, the administrator must as soon as is practicable—
(a)	inform the retailer that the compliance period report is not given; and 
(b)	provide a description of the required information to complete the compliance period report and a reference to the relevant provisions of this code; and 
(c)	inform the retailer that a new and complete compliance period report must be lodged within a specified timeframe; and
(d)	inform the retailer of penalties that may apply for failing to comply with section 19 of the Act; and
(e)	inform the retailer that inaccurate or incomplete information may affect the determination of the retailer’s energy savings result for the compliance period.

(4)	To remove any doubt, a compliance period report is not considered given until all required information is included in the report.

(5)	A determination of whether a compliance period report is complete under this section is not an assessment of the accuracy of the information provided in the plan or the compliance of the retailer with its energy savings obligation. 

Note 1	A retailer is obliged to provide complete and adequate information for the administrator to make determination of the retailer’s energy savings result under sections 20 and 21 of the Act. If a retailer is informed that a new compliance period report is required it is the retailer’s responsibility to provide the new plan.  

76	Use of compliance period report
(1)	The administrator may use the information provided in a compliance period report to— 
(a)	determine the retailer’s compliance with its energy savings obligations for the compliance period; and
(b)	assess whether information is recorded and reported in accordance with this code; and 
(c)	identify eligible activities for inspection, auditing, or for a request for further information under Part 10; and
(d)	determine the accuracy of energy savings obligations calculated for the compliance period; and
(e)	determine the accuracy of abatement factor calculations for reported eligible activities; and 
(f)	determine any carried forward shortfall or carried forward surplus for the period; and
(g)	assess the extent to which the abatement factors claimed contribute to the achievement of the retailer’s energy savings obligations for the relevant compliance period; and
(h)	aggregate data to prepare reports, briefings or public documents on the administration and operation of the Act, including to fulfil the administrator’s reporting functions under section 24 of the Act.

Note 	The administrator is not limited to considering only the information provided under section 19 an energy savings result or the compliance of the retailer with other obligations under the Act. However, the compliance period report establishes a retailer’s claims in relation to the compliance period and is one of the main mechanisms for determining compliance.

Part 9		Independent information audits

77	Application of Part 9
This part applies to independent audits of some or all information required by the administrator under subsection 19 (2) (a) of the Energy Efficiency (Cost of Living) Improvement Act 2012.

Note 1	Subsection 19(2) (a) of the Act provides that the administrator may also require an independent audit of some or all of the information provided by a retailer under that subsection.

Note 2	See section 255 of the Legislation Act for information relating to approved forms.

78	Audit requirements
(1)	In relation to information provided under section 19 of the Act, the administrator may—
(a)	arrange an independent audit of some or all the information; or
(b)	require a retailer to provide an audit report of some or all of the required information prepared by an independent auditor at the time of giving the relevant compliance period report; or 
(c)	after reviewing a compliance period report, require a retailer to provide an audit report prepared by an independent auditor of some or all of the required information. 

(2)	An independent audit for the purposes of subsection (1) (a) includes an audit by an authorised person appointed by the administrator under section 30 of the Act.

79	Purpose of audit
(1)	If the administrator requires an audit, as soon as practicable the administrator must in writing— 
(a)	inform the retailer which information provided requires auditing; and 
(b)	the date that the audit must be completed by; and 
(c)	the scope of the audit required; and  
(d)	the process for nominating and appointing an auditor; and
(e)	the form of the audit report.

Examples of audit scope

Investigating compliance with certain sections of the Act or this code, analysing relevant data in a retailer’s systems and records, verifying correct application of formulae and the accuracy of arithmetical calculations, identify any missing data or unusual figures or trends that might suggest incorrect data, errors in data entry or manipulation, analysis of source data, audit of staff processes, analysis of quality controls, testing a sample of cases or data.

80	Audits to be submitted with compliance period reports
(1)	This section applies if the administrator requires a retailer to provide an audit report of some or all of the required information prepared by an independent auditor at the time of giving the relevant compliance period report under subsection 78 (1) (b).

(2)	The administrator must notify a retailer by 1 December in any year of a requirement to provide an audit report at the time of giving a compliance plan.

(3)	In requiring a retailer to provide an audit report under subsection 78 (1) (b), the administrator must consider—
(a)	the obligations of the relevant entity under the Act; 
(b)	the objects of the Act;
(c)	the risk associated with a retailer in relation to—
(i)	the likelihood of non-compliance; and
(ii)	the likelihood of information being defective, unreliable, lacking in quality or not conforming with relevant specifications; and
(iii)	 any previous audit results or evidence of non-compliance;
(iv)	 the likely or known extent of information defects;
(v)	any issues identified by the administrator during the ongoing administration of the scheme;
(vi)	the consequences of non-compliance including the effect on administrator’s ability to carry out relevant functions and the effect on the setting of other retailers’ obligations and targets under the Act; and
(d)	any other matters the administrator considers relevant.

(4)	The administrator will conduct any risk assessment under this section in accordance with AS/NZS ISO 31000:2009 Risk management - Principles and guidelines as amended from time to time.

81	Appointment of auditor— administrator 
(1)	If a person other than an authorised person carries out an independent audit under subsection 78 (1) (a), the administrator must appoint the auditor. 

82	Nomination and approval of auditor— retailer
(1)	If a retailer is requested to provide an audit report prepared by an independent auditor, the retailer must nominate an auditor to carry out the audit within a timeframe not less than 10 working days specified by the administrator.

Note	The dictionary to the Act provides that an auditor means any of the following: an auditor registered under the Corporations Act; a member of the Institute of Chartered Accountants in Australia; a member of CPA Australia; a member of the Institute of Public Accountants.

(2)	Within 10 working days of receiving a nomination of an auditor, the administrator must approve or not approve the use of the auditor and inform the retailer of the decision in writing.

(3)	An approval of an auditor may be conditional.

(4)	The administrator’s approval of an auditor constitutes an approval of that auditor only for the purpose of conducting the audits which the nominating retailer is obliged under the Act to arrange and for no other purpose.

(5)	In nominating an auditor to the administrator, the relevant entity must provide details of:
(a)	the proposed auditor who will undertake the specified audit; and
(b)	the proposed individuals who will undertake any relevant audit work for the auditor (the audit team); and
(c)	the proposed individual who will lead the audit team (who must be a partner or equivalent of the auditor and who will be required to sign the audit report and take full responsibility for the audit findings); and
(d)	the work history and skills of the audit team leader and each audit team member, and the role they will play in undertaking the audit; and
(e)	the auditor’s field of work, core expertise, experience and corporate or business structure; and
(f)	any work undertaken by the auditor for the retailer in the previous two years; and 
(g)	any work that the auditor is currently doing or has bid for in relation to the relevant entity; and
(h)	any potential or perceived conflict of interest and the manner in which the potential or perceived conflict of interest is proposed to be managed.

(6)	In deciding whether to approve an auditor nominated by a relevant entity, the administrator may have regard to the following:
(a)	demonstrated skill, experience in, and detailed knowledge of quality assurance, including operational or compliance auditing and where relevant, science or engineering, and information systems of the nominated auditor and the proposed audit team; and
(b)	appropriate knowledge of electricity and gas retailing and the operation of the of both the nominated auditor and the proposed audit team; and
(c)	an absence of conflicts; and
(d)	if relevant, the resource capacity to undertake audits under tight time constraints; and
(e)	any other information the administrator considers relevant.

(7)	If the retailer fails to nominate an auditor as required under subsection (1) or the administrator decides not to approve the nominated auditor, the administrator may, but is not obliged to, appoint an auditor in relation to an independent audit report to be provided by the retailer, without limiting or qualifying any liability of the retailer.

(8)	If the administrator appoints an auditor under subsection (7) the retailer will be responsible for the costs of the auditor. 

83	Appointment and termination of approval of auditor
(1)	Once approved, the primary duty of care of the auditor is to the
administrator and the auditor must—
(a)	notify the administrator immediately of any change to the audit team members; and
(b)	ensure that no member of the audit team performs fee earning work for the relevant entity except as disclosed under subsection 81 (4) (h) and that no work is undertaken that either influences any members of the audit team or could reasonably be considered to give rise to a material risk of any members of the audit team being influenced in relation to the relevant audit; and
(c)	minimise the risk of conflicts of interest arising or being seen to arise, and
(d)	notify the administrator of and manage any conflicts of interest or perceived conflicts of interest that arise in accordance with any conditions approved by the administrator. 

84	Obligations of the retailer
(1)	The retailer must ensure that no person nominated by it as auditor commences an audit until that person has been approved by the administrator under section 81. 

(2)	The retailer must not—
(a)	require or seek changes to be made to an auditor’s report that conflict with the auditor’s professional judgment and its primary responsibility to the administrator including, for instance, requiring a change to be made that would, in effect, remove or obscure any adverse finding of the auditor; or
(b)	unreasonably withhold payment or terminate any contract with the auditor over a disputed audit finding.

(3)	If the auditor believes that the retailer has not complied with its obligations under this section, the auditor must advise the administrator as soon as possible after the event has occurred:

85	Briefing of auditors
(1)	The administrator may request to brief an auditor to make sure the audit requirements are clearly understood.

(2)	Representatives of the auditor must attend the briefing. 

(3)	Representatives of the retailer may also attend the briefing.

86	Use of and response to audit report
(1)	Without limiting its powers and rights under the Act or otherwise, the administrator may— 
(a)	obtain and analyse the auditor’s record of its contacts with the retailer and its representatives, for example to obtain more details of reported non-compliance, misrepresentation of data, or to investigate whether significant changes have been made to drafts of the report; 
(b)	require further auditing to be undertaken (whether by the relevant auditor or another) where it considers the report is or may be unsatisfactory in a material respect, for example where the administrator has independent information contradicting an assessment made by the auditor;
(c)	through authorised people, exercise any powers under Part 5 of the Act to the extent necessary to substantiate the information provided in a compliance period report, or otherwise to determine whether the relevant entity has complied with the Act;
(d)	use the information in the report in determining the retailer’s compliance with its energy savings obligations for the compliance period; and
(e)	assess whether further action in relation to non-compliance with the Act may be required; and
(f)	aggregate data to prepare reports, briefings or public documents on the administration and operation of the Act, including fulfilling the administrator’s reporting functions under section 24 of the Act.

Part 10	Information and reporting requests

87	Application of Part 10
The information and reporting requests apply to all record keeping and reporting requirements under this code and under the Energy Efficiency (Cost of Living) Improvement Act 2012, other than for independent audits.

88	Information and reports required from time to time
(1)	A retailer must provide to the administrator any additional information in relation to compliance matters for the Act as sought by the administrator from time to time. 

(2)	The administrator may request information on any compliance matter, including, but not limited to, information on—
(a)	an eligible activity undertaken by the retailer;
(b)	an authorised contractor;
(c)	an authorised seller;
(d)	an authorised installer;
(e)	activities provided to a customer;
(f)	training provided to authorised installers;
(g)	acquisition of abatement factors;
(h)	quality assurance processes; 
(i)	complaints and non-compliant work.

(3)	The administrator may request the provision of documents relating to the matter, or request a report containing all relevant information.

(4)	The administrator may assign the information or reporting request a reference identifier (the information request reference) to be used in correspondence and reporting.  

(5)	A retailer must provide the information in the format specified by the administrator in the request. 

(6)	Any information requested must be provided within 10 working days unless—
(a)	a different timeframe is specified in this code; or
(b)	the information is requested under section 89 in relation to a health and safety risk; or
(c)	otherwise agreed between the administrator and the retailer.
89	Information in relation to health and safety risks
(1)	If the administrator requests information in relation to a situation that presents or is likely to present a risk of death or injury to a person, significant harm to the environment or significant damage to property, a retailer must provide any additional information sought by the administrator, and any other information it holds under the Act that may be relevant to the situation, in the timeframe specified by the administrator. 

90	Activity record forms and activity certifications
(1)	If requested by the administrator, copies of activity record forms and activity certifications must be provided—
(a)	for up to 5 forms or certifications, within 2 working days of the request; or
(b)	for greater than 5 but not more than 20 forms or certifications, within 5 working days of the request; or
(c)	for greater than 20 forms, within 10 working days of the request.

(2)	Activity record forms and activity certifications must be provided in portable document format (.pdf).

(3)	All required information in an activity record form or activity certification provided to the administrator must be clearly legible.

91	Lodgement of information
(1)	Information must be provided to the administrator in accordance with section 19. 

(2)	The administrator must acknowledge the receipt of requested information in writing within 5 working days of it being received.

(3)	Information may not be considered given if it does not comply with this part.

92	Requests for further information
(1)	If the retailer is required to give the administrator something under this section—

(a)	the administrator may ask for further relevant information in relation to anything not dealt with, or not adequately dealt with, in the provided information; and
(b)	the retailer must give the administrator the further information not later than 5 working days after the day the administrator asked for it.

Part 11		Miscellaneous

93	Copies of referenced documents
(1)	Australian Standards can be purchased at www.standards.org.au. 

(2)	A copy of the Building Code of Australia is available for inspection by members of the public between 9am and 4.30pm on business days at the Environment and Sustainable Development Directorate shopfront, Dame Pattie Menzies House, 16 Challis Street, Dickson, or for purchase at www.abcb.gov.au.

Dictionary
(see s 2)

Note	The Legislation Act, the Energy Efficiency (Cost of Living) Act 2012, the Energy Efficiency (Cost of Living) Improvement (Eligible Activities) Determination, the Building Act 2004, the Construction Occupations (Licensing) Act 2004, the Gas Safety Act 2000, the Electricity Safety Act 1971, and the Water and Sewerage Act 2000 may contain definitions and other provisions relevant to this code.

abatement factor means the number of tonnes of carbon dioxide equivalent emissions that an eligible activity is taken to save. The method for calculating the abatement factor for each eligible activity is outlined for each eligible activity in the Energy Efficiency (Cost of Living) Improvement (Eligible Activities) Determination as in force from time to time.
activity means an eligible activity as determined by the Minister under section 14 of the Energy Efficiency (Cost of Living) Improvement Act 2012. 
activity certification means the certification prepared by a person or people involved in carrying out an activity declaring compliance with relevant activity eligibility requirements and includes any statutory certifications required under another law of the Territory, and documents and evidence prescribed in Part 6 to this code.
activity item, in relation to eligible activities, means one of a number of options for an installation or of product type that may be permitted under the activity definition to undertake and complete and eligible activity.
activity item unit means the unit of measurement for the number of units installed used to calculate the abatement factor for an activity item, and include square metres, length in metres, number of products and the like.
administrator means the person appointed as the administrator by the Minister under section 23 of the Energy Efficiency Cost of Living Improvement Act 2012.
approved product abatement value means an abatement value approved by the administrator for a particular product model (expressed in tCO2-e), which may be used to calculate the abatement factor for an eligible activity.
associated work in relation to eligible activities, means work required to complete the installation other than work within the standard scope of the activity including but not limited to, electrical work, plumbing work, gasfitting work, building work, asbestos assessment and removal, and handling of dangerous goods. 
AS 4552 means Australian Standard 4552 as in force from time to time
AS 4553 means Australian Standard 4553 as in force from time to time
AS 4554 means Australian Standard 4554 as in force from time to time
AS 4556 means Australian Standard 4556 as in force from time to time
AS 5102 means Australian Standard 5102 as in force from time to time 
AS/NZS 2442 means Australian/New Zealand Standard 2442 as in force from time to time
AS/NZS 4474 means Australian/New Zealand Standard 4474 as in force from time to time
AS/NZS 4859 means Australian/New Zealand Standard 4859 as in force from time to time
AS/NZS 6400 means Australian/New Zealand Standard 6400 as in force from time to time

AS/NZS 62087 means Australian/New Zealand Standard 62087 as in force from time to time
AS/NZS ISO 31000:2009 means Australian/New Zealand Standard ISO 31000:2009 Risk management - Principles and guidelines as in force from time to time.

AUD means Australian Dollars.
Australian Standard ISO 10002-2006 means Australian Standard ISO 10002-2006 Customer satisfaction—Guidelines for complaints handling in organizations (ISO 10002:2004, MOD) as in force from time to time.

authorised contractor means an entity that is directly contracted or otherwise authorised by a retailer to provide or arrange the undertaking of eligible activities, but is not an employee of the retailer. 
authorised installer means an individual, whether an employee of, or under direct contract to, a retailer or an authorised contractor, who undertakes an eligible activity on behalf of a retailer, including the physical installation of products. 
authorised seller means a business entity that, under contract or by other direct arrangement with a retailer or an authorised contractor, undertakes an eligible activity that specifically refers to the purchase of a compliant product but does not require the installation of the product for the activity to be considered complete. 

building code means the ACT building code, which is comprised of Volumes 1 and 2 of the National Construction Code published by the Australian Building Codes Board and the ACT Appendix to the building code as determined by the responsible Minister.
building work— see Section 6 of the Building Act 2004.
code of practice means a code of practice made by the administrator under section 25 (Codes of practice) of the Energy Efficiency (Cost of Living) Improvement Act 2012 that may address consumer protection obligations, quality, health, safety and environmental requirements, record keeping requirements and reporting requirements for eligible activities.

compliance period report means the compilation of all information in relation to a compliance period a retailer is required to give to the administrator under section 19 of the Act and prepared in accordance with Part 8 of this code.
consumer means the occupier of the premises to which the activity relates.
decommission means disable and render permanently unusable.
electrical work— see electrical wiring work as defined in the Dictionary of the Electricity Safety Act 1971.
eligible activities determination means the Energy Efficiency (Cost of Living) Improvement (Eligible Activities) Determination as in force from time to time
eligible residential premises means a residential premises that meets all criteria for an eligible activity and is not excluded by another law of the Territory, or by the failure to obtain a required approval for any part of the activity, from the activity being undertaken at the premises.
external wall means an outer wall of a building other than a wall separating or common to adjoining buildings.
gasfitting work— see the Dictionary of the Gas Safety Act 2000.
habitable room— see section 1.1.1 Definitions in Volume 2 Building Code of Australia Class 1 and Class 10 Buildings of the National Construction Code Series.
in association, in relation to work or other eligible activities undertaken in a premises, includes at the same time as, or subsequent to alterations and additions to a premises, or part of a premises, or as a result of an eligible activity, or as part of the same contract with a lessee or occupier of a premises.

indication means a mark such as a cross, a tick in a check box, an abbreviation, a number, text or the like included on a document signifying a particular fact or piece of information.
install includes modify or replace to achieve compliance with eligible activity criteria. 

installed products means the products installed to meet the installed product requirement relevant to the eligible activity.
installer means a person physically installing a product as part of an eligible activity in a consumer’s residence on the behalf of a NERL retailer for the purposes of the NERL retailer complying with the Energy Efficiency (Cost of Living) Improvement Act 2012.
kW means kilowatt.
lessee— see section 234 of the Planning and Development Act 2007 
multiple activity record form means a form that contains more than one activity record for eligible activities.
MWh means megawatt hours.
natural person means a human being
NERL retailer means a person who holds a retailer authorisation under the National Energy Retail Law (ACT) to sell electricity to premises in the ACT for consumption.
new residential premises means a residential premises for which— 
(a)	the building approval for the construction of the residence is issued after 1 January 2011, under the Building Act 2004; and
(b)	no certificate of occupancy for the respective dwelling has been issued; and 
(c)	the premises has never been occupied.	
occupier of premises, includes—
(a)	a person believed, on reasonable grounds, to be an occupier of the premises; and
(b)	a person apparently in charge of the premises.
plumbing work— see sanitary plumbing work and water supply plumbing work as defined in the dictionary of the Water and Sewerage Act 2000.
prescribed activity requirement means a requirement for an eligible activity that must be completed or complied with and includes an action, a product specification, a manner of carrying out a particular task, and a resultant performance of an installation.
resident of the ACT— in relation to eligible activities that require the purchase of certain products from an authorised seller, means person who resides in a residential premises located in the ACT, or a lessee of a residential premises located in the ACT. 
primary reporting contact means an individual nominated by a retailer as the main contact for the administrator in relation to the record keeping and reporting requirements under the Act and this code.
priority household means residential premises in which 1 person who lives at the premises—
(a)	is a recipient of an ACT Government energy concession; or
(b)	holds a Commonwealth pensioner concession card or healthcare card; or
(c)	holds a Department of Veterans Affairs pensioner concession card, TPI gold repatriation health care card, war widows repatriation health care card, or gold repatriation health care card; or
(d)	is within a class of people prescribed by regulation.
product includes appliances, equipment and materials.
quarter— see part 7, section 57 of this code
record includes reports on all or certain criteria of an eligible activity where an obligation to report exists.
register of products, in relation to an eligible activity means a register of products that meet one or more of the installed product requirements and product testing criteria for the activity that is prescribed by the administrator under a relevant code of practice and provided to NERL retailers with an energy savings obligation under the Act.
relevant legislation means a law of the Territory or another jurisdiction that applies to all or part of the activity being undertaken, including but not limited to the—
•	Building Act 2004
•	Gas Safety Act 2000
•	Electricity Safety Act 1971
•	Electronic Transactions Act 2001
•	Water and Sewerage Act 2000
•	Dangerous Substances Act 2004
•	Work Health and Safety Act 2011
•	Unit Titles Act 2001
•	Fair Trading Act (Australia Consumer Law) Act 1992 
•	Environment Protection Act 1997

•	Construction Occupations (Licensing) Act 2004
•	Ozone Protection and Synthetic Greenhouse Gas Management Act 1989 (Commonwealth) 
•	Planning and Development Act 2007
•	Trade Practices Act 1974 (Commonwealth)
residential premises means as a building or part of building located in the Australian Capital Territory and classified under Part A3 of the Building Code of Australia as a class 1 building, a class 10a building associated with a class 1 building, a sole occupancy unit in a class 2 building, or a class 4 building, or is a transportable home or vehicle designed for habitation that is not used for short-stay or holiday accommodation, but is not a new residential premises.

retailer—see NERL retailer
R-value means the thermal resistance in m2K/W of a component calculated by dividing its thickness by its specific ability to conduct heat thermal conductivity
tCO2-e means tonnes of carbon dioxide equivalent of a greenhouse gas.
the Act means the Energy Efficiency (Cost of Living) Improvement Act 2012— as in force from time to time.
tier 1 retailer— see Dictionary, Energy Efficiency (Cost of Living) Improvement Act 2012.
tier 2 retailer— see Dictionary, Energy Efficiency (Cost of Living) Improvement Act 2012.
WERS means the Window Energy Rating Scheme managed by the Australian Window Association.
window includes a glass panel, glass block, glass brick, glazed sash, or similar glazing product that, when closed, transmits natural light directly from outside a premises to the inside of the premises, but does not include a louvred product, and includes a door in an external wall that has a glazing pane or panes that comprise 60 per cent or more of the door. 
working day means a day that is not a Saturday, a Sunday or a public holiday in the Australian Capital Territory.

Schedule 1	Declaration—periodic activity report

In my opinion the information contained in this report provided to the administrator on [insert date] is true and accurate in accordance with the requirements of the Energy Efficiency (Cost of Living) Improvement Act 2012 and the Record Keeping and Reporting Code of Practice approved by the administrator and in force at the time of providing this report.

Signed:

Name:

Position:

Date:

Schedule 2		Declaration—compliance period report

In my opinion the information contained in this report provided to the administrator on [insert date] is true and accurate in accordance with the requirements of the Energy Efficiency (Cost of Living) Improvement Act 2012 and the Record Keeping and Reporting Code of Practice approved by the administrator and in force at the time of providing this report, and to the best of my knowledge all abatement factors claimed in this report relate to eligible activities that comply with relevant codes of practice made under the Act. 

Signed:

Name:

Position:

Date: