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EEO Desktop Verification
Implementation & Outcomes
Presented by: Ben Roberts, EEO Verification ManagerAustralian Sugar Milling Council, Brisbane14 February 2011
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PRESENTATION CONTENT
• Objectives
• Scope
• Process
• Outcomes
• What does risk look like
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• Assess the RISK of NON COMPLIANCE in order to identify companies for full verification
• Identify potential compliance related weaknesses and develop / deliver capacity building activities to assist compliance
• Provide data relating to program compliance
• Provide re-assurance to companies
OBJECTIVES
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• Undertaken by the Department
• Involves approx. 100-120 companies annually
• Representative across sectors and energy users
SCOPE
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PROCESS (1)
• Department makes initial contact- Phone/email/letter
• Company completes and submits
‘Verification Checklist and Information Request’ Smartform
- Available on DRET website
• Department reviews submitted Smartform
• Makes preliminary assessment (risk score)
& may request sample documents
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PROCESS (2)
• Company submits requested documentation
• Department revises risk assessment (score)
- Takes account of documentation contents
(Does it add to or confirm the story?)
• All Companies compiled and ranked
- Highest to lowest risk scores/ratings
• Company is notified of outcome
- Telephone/letter
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OUTCOMES
• Risk Score & Rating
- High
(prioritised for full verification)
- Medium
(may be fully verified - priority/random)
- Low
(may be fully verified – random selection)
• Sectoral trends for capacity building
• Individual needs for capacity building
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WHAT DOES RISK LOOK LIKE (Smartform Examples)
• Low risk- Detailed descriptions of Key Requirement processes &
systems that align with Assessment Framework- A clear picture can be gained by the verifier- Timeliness and accuracy of reports
• High risk- Descriptions of Key Requirements lack detail- Ambiguous – do not align with Assessment Framework- Poor timeliness and inaccuracy of reports- NIL RETURN
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QUESTIONS / QUERIES / QUANDARIES
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FURTHER INFORMATION
• EEO Verification Manual
• EEO website: www.energyefficiencyopportunities.gov.au
• EEO email: [email protected]
• EEO Hotline: 1300 799 186
• Contact: Your Sectoral CLO (Emma Punyer) Manager – Verification
Manager – EEO Compliance & Reporting
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EEO Full Verification
Implementation & Outcomes
Presented by: Ben Roberts, EEO Verification ManagerAustralian Sugar Milling Council, Brisbane14 February 2011
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PRESENTATION CONTENT
• Objectives
• Scope
• Process
• Outcomes
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PURPOSE
Validate companies compliance with EEO legislation in conducting energy assessments, identifying opportunities and reporting outcomes
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OBJECTIVES (1)
• Confirm whether companies comply with EEO legislation, specifically the Assessment F’work (Schedule 7 of EEO Regulations 2006)
• Confirm that information within reports is true, accurate and reliable
• Monitor whether a company has carried out scheduled assessments as per ARS
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• Identify potential compliance related weaknesses and provide recommendations to achieve compliance
• Provide data relating to program compliance
• Establish a pathway (action plan) to compliance
• Provide re-assurance to companies
OBJECTIVES (2)
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SCOPE
• Sample to be selected from preceding period
desktop verification results
• Approx. 75% risk based / 25% random selection
• Aim for representation across sectors & energy use
• 1 – 2 day on site (may vary)
• Undertaken by Departmental lead verification team
(lead & support verifier, external energy expert)
OVER TIME, ALL COMPANIES WILL BE FULLY VERIFIED
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PROCESS: PRE-VERIFICATION
• Department makes initial contact to set date
- Phone/email/letter
• Company revises/prepares/updates ‘Verification
Checklist’
• Logistics planned/organised (company & VTL)
• Pre-verification teleconference (about 2 weeks out)
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PROCESS – DURING VERIFICATION
• Full verification undertaken
- Occurs on-site
- Involves key staff involved in energy mgmt
- Review docs to demonstrate compliance
- Discussion and explanation
- Site tour (wherever possible)
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PROCESS: POST VERIFICATION (1)
• Department analyses information & prepares draft report
• Follow up consultation/clarification with company (if required)
• Provide draft to company for comment/correction
• Company commences Action Plan development
• Company provides corporation comment
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PROCESS: POST VERIFICATION (2)
• Department prepares final draft for comment (where corrections have been made)
• Department gains internal approval of report
• Departmental delegate sends report to CEO/MD
• Acknowledgement of receipt from CEO/MD
• Company implements Action Plan
(may include assistance from/monitoring by CLO)
• Department re-verifies non compliant elements (subject to Action Plan but usually within 12mths)
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EXAMPLES OF APPLICATION
• For example in verifying KR 3.2: “A data collection
process is identified, documented and implemented …”
- Will listen to explanations of the process
- Will look at documentation of the process
- Will look at the systems that implement the process
- Will look at examples of the data that is collected, and the data
that is output
• To verify that a compliant data collection process
has been identified, documented and
implemented
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COMPLIANCE RATINGS
• Leading Practice
• Complies in all material aspects
• Complies but observed risk of future non-compliance
• Non-compliance – minor discrepancies
• Non-compliance – significant discrepancies or failure to meet key requirements
• Insufficient information
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VERIFICATION OF MULTIPLE SITES
• Multiple site companies include those having: - Multiple business groups and/or activities - Complex company structures - In excess of 5 sites registered for assessment as per
ARS
• Sites will be selected by the Department in consultation with the corporation to take account of OH&S etc.
• Company preferred sites - considered BUT not guaranteed
• An intensive whole of business corporate verification will precede site verifications
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HOW CAN YOU ASSIST THE VERIFICATION PROCESS?
• Pre-verification- Update the ‘Verification Checklist and Information Request’
Smartform if required- Contribute to planning the verification – agenda, people, docs,
sites- Seek & gain necessary approvals for consensual participation
• During verification and site visit- Have documents and people ready & available- Logical & sequential for each of 6 Key Elements- Three levels of explanation / inquiry
: Company (strategic and general) - CONTEXT: Procedural (process, system, procedure) - HOW: Implementation (proof by example, detail) - WHAT
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• Post site visit (preparing & finalising the report)
- Expect follow up queries and/or evidence requests
- Provide comment/feedback when requested
- Prepare an Action Plan to address non compliances
- Brief your senior management – they will get the report
- Acknowledge receipt of report
HOW CAN YOU ASSIST THE VERIFICATION PROCESS?
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QUESTIONS / QUERIES / QUANDARIES
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FURTHER INFORMATION
• EEO Verification Manual
• EEO website: www.energyefficiencyopportunities.gov.au
• EEO email: [email protected]
• EEO Hotline: 1300 799 186
• Contact: Your sectoral CLO (Emma Punyer) Manager – Verification
Manager – EEO Compliance & Reporting
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Thank you
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EEO VerificationBackground and context
Presented by: Ben Roberts, EEO Verification ManagerAustralian Sugar Milling Council, Brisbane14 February 2011
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PRESENTATION CONTENT
• Verification – what, why & legalities • Desktop verification – general background• Full verification – general background• Initial findings from completed verifications
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VERIFICATION – WHAT IS IT?
Validation & monitoring of company compliance with
EEO legislation
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• Aims to confirm that:- Companies comply with EEO legislation,
specifically the Assessment Framework (Sched 7 of EEO Regs 2006)
- Information within reports is true and accurate
- A company has carried out scheduled assessments
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MORE SPECIFICALLY……..
• That corporations have undertaken rigorous and comprehensive assessments to identify energy efficiency opportunities with up to a four year payback
• That the company has complied with Part 6 of the EEO Regulations 2006 and that results have been reported accurately
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LEGAL REQUIREMENTS – OBJECT OF EEO ACT
• Pg 1 – Energy Efficiency Opportunities Act 2006- “…improve the identification & evaluation of energy efficient opportunities by large energy using businesses and…encourage implementation of cost effective eeo’s”
- “…the Act requires…a) undertake an assessment of eeo’s to a minimum standard …in order to improve the way in which eeo’s are identified and evaluated; andb) report publicly on the outcomes of the assessment to demonstrate…that businesses are effectively managing their energy.”
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LEGAL REQUIREMENTS - VERIFICATION
• Verification of company compliance is covered by:
Energy Efficiency Opportunities Act 2006- Part 8 – Powers of Inspection- Part 8 (Division 3) – Powers of authorised officer – Subdivision A – Monitoring Powers – Section 27“Authorised officer may enter premises by consent or under monitoring warrant”
Energy Efficiency Opportunities Regulations 2006- Part 9 – Miscellaneous – Division 1 – Verification of compliance with the EEO program“A controlling corporation must:a) Make and keep records of its compliance with these Regs and the Act for at least 7 years; andb) Make its records available for inspection in accordance with Part 8 of the Act”
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• Assess the RISK of NON COMPLIANCE in order to identify companies for full verification
• Identify potential compliance related weaknesses and develop / deliver capacity building activities to assist compliance
• Provide data relating to program compliance
• Provide re-assurance to companies
DESKTOP VERIFICATION
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INITIAL RESULTS – DESKTOP VERIFICATION
• Undertaken October – December 2010• 79/80 companies submitted responses• All sectors (except Sugar)• Approximately half registered energy use• High Risk: 15• Medium Risk: 33• Low Risk: 32
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FULL VERIFICATION & SITE VISITS
• A full and detailed analysis of a corporations
systems and processes to determine whether
compliance with EEO legislation has been
achieved.
• Combines explanation with documentary proof
• Combines evidence at strategic, procedural and
implementation levels
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VERIFICATION – INITIAL OBSERVATIONS
• Key Element 1: Leadership - Visibility of commitment of leadership is variable- Lack of clearly communicated energy use improvement objectives - Specific EEO resources are variable – usually incorporated
• Key Element 2: People - Support provided by engineers & other technical staff- Broad cross section of people/expertise used – interconnection variable
• Key Element 3: Data collection & Analysis
- Few specific procedures documented – compliance risk (and also risks for succession/consistency)- Variable data collection methods with varying reliability- Variable methods in use of data – EMB’s, energy-material flows- Flow charts of procedures, background papers often lacking
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VERIFICATION – INITIAL OBSERVATIONS
• Key Element 4: Opportunity ID & evaluation- Often lack documentation of process- Some confusion of opportunities vs ideas & how to differentiate- Reasons for not pursuing opportunities not formally documented
• Key Element 5: Decision making- Major decisions through CAPEX process – documentation variable- Energy projects compete with other priorities/projects - Not a specific budget item – usually must have ancillary benefits- Decisions made at varying mgt levels, including Board- Systematised/ process based feedback often lacking
• Key Element 6: Communicating outcomes
- Board involvement & context in which energy is presented is variable- Can be operational / productivity based or energy specific- Clear messages variable in what is presented - assessment outcomes - Engagement: very inclusive (culture change) / compliance / informal
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QUESTIONS / QUERIES / QUANDARIES
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FURTHER INFORMATION
• EEO Verification Manual
• EEO website: www.energyefficiencyopportunities.gov.au
• EEO email: [email protected]
• EEO Hotline: 1300 799 186
• Contact: Your Sectoral CLO (Emma Punyer) Manager – Verification
Manager – EEO Compliance & Reporting
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HAVE A STRETCH
REST YOUR MIND