• Compliance Philosophy
  
• Reporting a breach
• Investigations
  
• Compliance process
• Market Governance updates
• Market Governance Internal Operating Procedures
  
• Market Administrator monthly compliance report
  
• Case Studies
  
• Breach statistics
• Consultation documents
  
• Useful links
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Compliance

The Commission has statutory responsibility for compliance functions related to the Electricity Governance Regulations 2003 (Regulations) and Electricity Governance Rules 2003 (Rules).

The Commission manages compliance with the Rules and Regulations via the Market Governance workstream.  Market Governance receives breach notifications and undertakes initial fact finding to obtain sufficient information to prepare a report and recommendation.

Market Governance reports to the Electricity Governance Rules Committee (EGR Committee). The EGR Committee is a Board sub-committee and is made up of two Board Members. The EGR Committee has certain Board delegations with respect to compliance including:

• Making decisions in respect of requests for exemptions.
• Dismissing the notification of an alleged breach.
• Appointing investigators.
• Deciding that no formal complaint should be laid with the Rulings Panel.
• Making recommendations to the Board regarding the Board's decision
• to approve settlements, or
• to lay a formal complaint with the Rulings Panel.

The Rulings Panel is set up in accordance with the Regulations to make decisions on formal complaints of breaches of the Rules and Regulations.

• Information on the Rulings Panel including procedures and decisions
  

Reporting of breaches

Regulations 62 and 63 of the Regulations require participants to notify the Commission of breaches of the Rules and Regulations which they are aware of. The attached form should be used to notify the Commission of any such breaches, and should be sent to the Commission at compliance@electricitycommission.govt.nz.

• Report of complaint or breach