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Application Form for Transfer of Accreditation

Energy Savings SchemeOctober 2016

© Independent Pricing and Regulatory Tribunal of New South Wales 2016This work is copyright. The Copyright Act 1968 permits fair dealing for study, research, news reporting, criticism and review. Selected passages, tables or diagrams may be reproduced for such purposes provided acknowledgement of the source is included.

Inquiries regarding this document should be directed to a staff member:

ESS Compliance team [email protected]

Independent Pricing and Regulatory Tribunal of New South WalesPO Box K35, Haymarket Post Shop NSW 1240Level 15, 2-24 Rawson Place, Sydney NSW 2000T (02) 9290 8400 F (02) 9290 2061www.ipart.nsw.gov.au

mailto:[email protected]

Document control

Version number

Change description Date published

V1.0 Initial release October 2016

Application Form for Transfer of Accreditation V1.0 IPART

Contents

1 Introduction 11.1 Application process 11.2 Application assessment 2

2 Application Form for Transfer of Accreditation 3How to complete the Application Form 3How to Lodge the Form 3

Part A - Request to Transfer Accreditation A-1A.1 Business details A-1A.2 Relationship between ACP and Transferee A-3

Part B - Eligibility of the Transferee B-1B.1 Suitability test B-1B.2 ESC set-aside agreement (‘Deed’) B-1B.3 ACP Obligations B-1B.4 Business management systems and past audits B-1B.5 Roles and responsibilities B-2B.6 Record keeping B-2B.7 Quality assurance B-3

Part C - Declarations C-1

Part D - Suitability test D-1D.1 Character and reputation D-1D.2 Disqualification of officers or senior management D-1D.3 Criminal matters D-1D.4 Civil matters D-2D.5 Financial status D-2D.6 Safety D-2D.7 Signature D-3

IPART Application Form for Transfer of Accreditation V1.0

1 IntroductionThe NSW Energy Savings Scheme (ESS) reduces energy consumption in NSW by creating financial incentives for organisations to invest in energy saving projects. Electricity retailers and other mandatory participants are obliged to meet energy savings targets. Energy savings are achieved by installing, improving or replacing energy saving equipment. Companies that become Accredited Certificate Providers (ACPs) can create energy savings certificates (ESCs) from these activities and then sell those ESCs to Scheme Participants. The NSW Independent Pricing and Regulatory Tribunal (IPART) is both the Scheme Administrator and Scheme Regulator of the ESS.1 The Electricity Supply Act 1995 (Act), the Electricity Supply (General) Regulation 2014 (Regulation) and the Energy Savings Scheme Rule of 2009 (ESS Rule) set out the legislative framework for the ESS. The legislation is available on our website.2 This document may be used by ACPs seeking Scheme Administrator approval to transfer their accreditation under the ESS to a related body corporate. ACPs may only transfer their accreditation if:(i) at the time of transfer, the accreditation is being transferred to a

related body corporate (Transferee)3

(ii) the Scheme Administrator approves the transfer on the basis that it is satisfied that the person to whom the accreditation is proposed to be transferred is eligible for accreditation and will fulfil the obligations that the ACP was required to fulfill

(iii) the application for transfer is made using this form and is accompanied by all information that the Scheme Administrator requires, and

(iv) the transfer of accreditation fee is paid.4

1.1 Application processThere are significant legislative, informational and audit requirements that ACPs must meet under the ESS. Therefore it is important to ensure that the company receiving the accreditation has adequate financial resources, a sound business model and proper procedures in place. To apply to transfer an accreditation, you need to:

1 Refer: www.ess.nsw.gov.au2 Refer: www.ess.nsw.gov.au/How_the_scheme_works/Legal_Framework_and_Rules 3 A ‘related body corporate’ is defined in section 50 of the Corporations Act 2001

(Cth).4 The Act, section 140; the Regulation, clause 43.

Application Form for Transfer of Accreditation V1.0 IPART 1

http://www.ess.nsw.gov.au/How_the_scheme_works/Legal_Framework_and_Rules

http://www.ess.nsw.gov.au/

complete and lodge this form along with any required supporting documents, and

pay the $500 transfer of accreditation fee.5Applications can be lodged by the existing ACP through the ESS Portal.6

Alternatively (eg, for those without ESS Portal access), applications may be lodged by emailing all required documents to the ESS Compliance team: [email protected].

1.2 Application assessmentOnce an application has been accepted as lodged, it will be assigned to an analyst who will assess the information provided against the requirements of the Act, the Regulation, the ESS Rule and relevant guidance documents (eg, the Record Keeping Guide). It is the responsibility of applicants to provide sufficient information to satisfy the Scheme Administrator that a transfer of accreditation should be granted.Analysts are not able to provide assistance with, or feedback on, your application, but may require further information from you or clarification of the information you have provided. In this case you will be sent a formal request for information (RFI). This will include details of the additional information that is required and a deadline for a response. If you are unable to meet the deadline for provision of the information you can seek an extension by contacting the assigned analyst.In some cases, a second RFI may be issued, if, for example, the response to the first RFI was not sufficient to demonstrate an applicant meets all ESS requirements. The Scheme Administrator’s decision whether to transfer the accreditation will be based on all information provided throughout the application process. The Scheme Administrator may decide that the accreditation:1. is not transferred, as an applicant has not sufficiently demonstrated

they meet the requirements2. is transferred and ESC creation is possible after implementation of

an activity. In this case, an audit regime and ESC creation limits are generally set with reference to the Compliance and Performance Monitoring Strategy,7 or

3. is transferred, but ESC creation is not possible until further information is provided after implementation of an activity.

5 The Regulation, Schedule 3 (“Fees”)6 Refer: www.ess.nsw.gov.au/ESS_Portal 7 Refer: www.ess.nsw.gov.au/Audits_and_Compliance/Audit_and_compliance_guides

2 IPART Application Form for Transfer of Accreditation V1.0

http://www.ess.nsw.gov.au/Audits_and_Compliance/Audit_and_compliance_guides

mailto:[email protected]

http://www.ess.nsw.gov.au/ESS_Portal

2 Application Form for Transfer of Accreditation

How to complete the Application FormThis form consists of three parts: Part A – Request to Transfer Accreditation must be completed

by the current ACP and requires information in respect of the ACP and the Transferee.

Part B – Eligibility of the Transferee must be completed by the Transferee and requires information regarding the eligibility of the Transferee to be accredited with respect to the particular recognised energy saving activity (RESA) being transferred.

Part C – Declarations must be signed by authorised signatories of both the current ACP and Transferee.

Part D – Suitability test must be completed by an authorised signatory of the Transferee and include the statutory declaration.

All parts must be completed in full and all required supporting documentation must be attached. Applications will not be accepted as lodged until all required information is provided.You may need to refer to the Application Guide for ESS Accreditation and Record Keeping Guide8 when filling out this form.

How to Lodge the FormThe current ACP: submits the completed form along with any required supporting

documents via the ESS Portal9, and pays the $500 transfer of accreditation fee.10

8 Both documents are available at: www.ess.nsw.gov.au/How_to_apply_for_accreditation/Apply_now_-_guides_and_application_forms

9 Refer: www.ess.nsw.gov.au/ESS_Portal 10 Electricity Supply (General) Regulation 2014, Schedule 3 Fees


http://www.ess.nsw.gov.au/ESS_Portal

http://www.ess.nsw.gov.au/How_to_apply_for_accreditation/Apply_now_-_guides_and_application_forms


Part A - Request to Transfer AccreditationThe current ACP must complete all sections in Part A below and provide all supporting documentation.

A.1 Business details

A.1.1 Current ACP business details

Existing ACP’s details

ACP’s name [Click and type here]

Accreditation ID [Click and type here]

RESA Name [Click and type here]

RESA ID [Click and type here]

Method [Click and type here]

ABN [Click and type here]

A.1.2 Transferee business details

Provide the details of the related body corporate to which you are applying to transfer the accreditation (Transferee).11

Transferee’s details

Legal name of entity12(not trading name)

[Click and type here]

Director or Executive name(s), if any


Registered business name, if any


ABN [Click and type here]

ACN [Click and type here]

Type of Entity [Click and type here]

Postal address [Click and type here]

Suburb/City [Click and type here]

State/Postcode [Click and type here]

Street address [Click and type here]



Business email address [Click and type here]

Business contact number [Click and type here]

11 Note that the Transferee must be a related body corporate at the time the transfer occurs, if the transfer is approved.

12 Note that trusts and partnerships are not eligible to apply.


Required supporting information Attached

ASIC Company Extract for Transferee (document must be less than four weeks old)

☐

Evidence of registered business name for Transferee, if required (document must be less than four weeks old)

☐

A.1.3 Transferee contact details

Provide the details of two Transferee contact people. At least one contact must be an officer or senior manager of the Transferee. Where a contact is not an officer or senior manager of the Transferee, we require a letter from the Transferee providing authorisation for the contact person to act on the Transferee’s behalf. The primary contact is the person who will be responsible for all communications with IPART, regarding all aspects of the accreditation.

Primary contact

Salutation [Click and type here]

Name [Click and type here]

Job title [Click and type here]

Organisation [Click and type here]

Postal Address [Click and type here]



Telephone [Click and type here]

Mobile [Click and type here]

Email [Click and type here]

The secondary contact is an alternative contact who is able to support the primary contact in communications with IPART, where required.

Secondary contact

Salutation [Click and type here]

Name [Click and type here]

Job title [Click and type here]

Organisation [Click and type here]

Postal Address [Click and type here]



Telephone [Click and type here]


Mobile [Click and type here]

Email [Click and type here]


Letter of authority for contact who is not an officer or senior manager of the Transferee to act on the Transferee’s behalf (eg, an external consultant) signed by an authorised person eg, Director or Company Secretary.

☐

A.2 Relationship between ACP and Transferee

Describe how the Transferee is a related body corporate to the ACP and will be at the time of transfer, if the transfer is approved (attach supporting information if required) (max 500 words)



Evidence that Transferee is a related body corporate ☐


Part B - Eligibility of the TransfereeThe Transferee must complete all sections in Part B below and provide all supporting documentation.

B.1 Suitability testThe Transferee must complete the suitability test in Part D and attach a statutory declaration.Required supporting information Attached

Transferee has completed suitability test in Part D ☐Transferee has attached a statutory declaration (document must be less than four weeks old and be applicable in your state or territory)13,14

☐

B.2 ESC set-aside agreement (‘Deed’)In most cases, we will request the Transferee enter into a set-aside agreement with us within two weeks of accreditation. The set-aside agreement allows IPART to temporarily set aside a prescribed percentage of the ESCs created by the Transferee, and is in the form of a legally binding Deed. Refer to section 3.6 of the Application Guide for instructions on how to complete this section.

Please tick the box below to consent to entering into a DeedI confirm that the Transferee will enter into an ESC set-aside agreement (‘Deed’) with IPART, and will return the properly executed set aside agreement within two weeks of accreditation, should the application be successful.

☐

B.3 ACP Obligations

Please summarise how the Transferee will fulfil the obligations that the ACP was required to fulfil in respect of this accreditation (max 500 words and reference relevant attachments as required)


B.4 Business management systems and past auditsIf the Transferee does not have a previous compliance history in the ESS, complete this section. Refer to section 3.7 of the Application Guide for instructions on how to complete this section and details of supporting information that has to be provided. Also refer to section 3.7 of the Application Guide for guidance if you do have a compliance history.13 Refer to Section 3.3.1 of the ACP Application Guide for instructions on how to

complete a statutory declaration. 14 Authority to sign must be evidenced, using the current ASIC Company Extract or

other appropriate documents.



Please tick the boxes below as appropriate with regards to the Transferee

‘Satisfactory’ compliance history under another similar scheme Tick if ‘yes’

Two or more passed audits in the last 2 years for your last two projects ☐One passed audit in the last 2 years for your most recent project ☐‘Satisfactory’ external audit of business systems or processes Tick if ‘yes’

A passed audit in the last year of your business systems or processes ☐A passed audit in the last two years of your business systems or processes ☐Business systems aligned with a Quality Management System (QMS) Tick if ‘yes’

Business systems aligned with a QMS and a passed audit in the last year ☐Business systems aligned with a QMS and a passed audit in the last two years ☐Accreditation under a QMS Tick if ‘yes’

Accreditation under a QMS (<1 year old) and a passed audit of your QMS (<2 years old)

☐

Previous audits Tick if ‘yes’

Copies of reports from previous audits ☐

B.5 Roles and responsibilitiesRefer to section 5.1.2 of the Application Guide for instructions on how to complete this section.

Describe the roles of and responsibilities of all personnel involved in the implementation of the activities (max 500 words)



Description of roles and responsibilities, referring back to job titles/roles provided in your business organisation chart, including employees and contractors.

☐

Records of training conducted for employees and contractors. ☐

B.6 Record keepingRefer to section 5.2 of the Application Guide for instructions on how to complete this section.

Please answer the following questions

Does the attached document register identify all the relevant records (by document title) that may be created when undertaking the RESA?

Yes ☐ No ☐

Do the attached record keeping documents contain a protocol for identifying records, including record title, date, purpose, location, version number etc.?

Yes ☐ No ☐

Are the record keeping arrangements operational? Yes ☐ No ☐


Do the attached record keeping documents demonstrate that the records will be kept for at least six years?

Yes ☐ No ☐


Record keeping process map ☐Policy on record keeping ☐Record keeping procedure(s) ☐Document register ☐

B.7 Quality assuranceRefer to section 5.3 of the Application Guide for instructions on how to complete this section and details of supporting information that has to be provided.

Please answer the following questionsDo the attached quality assurance procedures ensure the accuracy of ESC calculations?

Yes ☐ No ☐

How will you ensure the quality of evidence collected to support energy savings? (max 500 words)



Quality Assurance procedure ☐


Part C - DeclarationsThis section must be signed by authorised signatories of both the current ACP and Transferee. Refer to section 6 of the Application Guide for instructions on how to complete the Declaration.I declare that: I have completed Part A, Part B and Part C of the Application Form

for transfer of accreditation (this document). I have read and understood the information and requirements set

out in the Application Form for transfer of accreditation (this document), the Application Guide for ESS Accreditation and the Record Keeping Guide.

The information in this Application is correct and not misleading by inclusion or omission.

I am aware that there are penalties for providing false or misleading information in this application and when operating under the accreditation.

Note: Section 158 of the Electricity Supply Act 1995 imposes a maximum penalty of $11,000 and/or six (6) months imprisonment for knowingly providing false or misleading information to the Scheme Administrator.

Signed by or on behalf of the ACPSignature:

Name of signatory: [Click and type here]Position: [Click and type here]Date: [Click and type here]

Signed by or on behalf of the TransfereeSignature:

Name of signatory: [Click and type here]Position: [Click and type here]Date: [Click and type here]


Part D - Suitability testThe Transferee must complete the questions below and provide a statutory declaration that the answers are true and correct. Refer to section 3.3.1 of the Application Guide15 for more information on completing the required statutory declaration

D.1 Character and reputation

ParticipationIs the Transferee a participant in any similar scheme to the ESS? Yes ☐ No ☐Has the Transferee previously participated in any similar scheme to the ESS?

Yes ☐ No ☐

Suspension, cancellation and refusalHas the Transferee ever had its participation in a similar scheme suspended or cancelled, or proposed to be cancelled or suspended?

Yes ☐ No ☐

Has the Transferee ever had an application for accreditation or participation in the ESS or a similar scheme refused?

Yes ☐ No ☐

If Yes, please provide details[Click and type here]

D.2 Disqualification of officers or senior managementHas the Transferee or any of its officers or senior managers ever been disqualified from managing a corporation under the Corporations Act 2001 (Cth)?

Yes ☐ No ☐


D.3 Criminal matters

Criminal convictionsIn the last 10 years, has the Transferee or any of its officers or senior managers been convicted of an offence against a law of the Commonwealth, a State, a Territory or a foreign country where the offence relates to dishonest conduct?

Yes ☐ No ☐


15 Refer: www.ess.nsw.gov.au/How_to_apply_for_accreditation/Apply_now_-_guides_and_application_forms




Other proceedingsIs the Transferee or any of its officers or senior managers, or has the Transferee or any of its officers or senior managers been in the last 10 years, the subject of any charge or other proceedings for an offence against a law of the Commonwealth, a State, a Territory or a foreign country where the offence relates to breach of duty?

Yes ☐ No ☐


D.4 Civil mattersIn the last 10 years, has the Transferee or any of its officers or senior managers incurred any civil liability for breach of trust or other breach of fiduciary duty, dishonesty, negligence or recklessness?

Yes ☐ No ☐


D.5 Financial statusHas the Transferee or any of its officers or senior managers, or has the Transferee or any of its officers or senior managers ever been, an insolvent under administration or an externally-administered body corporate (as those terms are defined in the Corporations Act 2001 (Cth)), or is the Transferee applying to take the benefit of any law for the relief of bankrupt or insolvent debtors?

Yes ☐ No ☐


D.6 SafetyIs the Transferee or any of its officers or senior managers, or has the Transferee or any of its officers or senior managers ever been, the subject of proceedings for unsafe work practices in any State or proceedings for an offence against work health and safety legislation in any State?

Yes ☐ No ☐



D.7 Signature

Signed by authorised signatory of the TransfereeSignature:

Name of signatory: [Click and type here]Date: [Click and type here]


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