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Registered greenhouse and energy auditor annual report under the National Greenhouse and Energy Reporting Regulations 2008

Purpose of this form

This form is for use by registered greenhouse and energy auditors to submit annual reports to the Clean Energy Regulator in accordance with Regulation 6.69 of the National Greenhouse and Energy Reporting Regulations 2008 (the Regulations). It covers the year as stated in the email notifying you of your requirement to report. The following legislative provisions are relevant to the annual report.

Regulation 6.46—Code of Conduct

Regulation 6.47–6.58—Independence requirements

Regulation 6.59—Audit team leader rotation requirement

Regulation 6.60—Registered greenhouse and energy auditor must have insurance

Regulation 6.64—Registered auditor must continue to be fit and proper person

Regulation 6.65—Continuing professional development requirements

Regulation 6.66—Participation in audits

Regulation 6.69—Requirement to give report

Regulation 6.70—Retention of audit records.

Eligibility

Under Regulation 6.69, as a registered greenhouse and energy auditor you must give the Clean Energy Regulator a report containing information about each of the following:

a) Part 6 audits

b) alternative audits, and

c) continuing professional development you have undertaken.

The information should be related to the previous 12 months.

Only registered greenhouse and energy auditors are to use this form.

FORM

CER-AUDIT-002

V3.0 2/01/2018

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Instructions for completing this form

Please read each part of the form carefully, fully answer all the questions, sign where indicated, and attach the required documentation.

You must complete and submit:

Part A: Auditor information

Part B: Code of conduct and independence

Part C: Fit and proper person

Part D: Professional development

Part E: Audits undertaken

Part F: Additional notes to report, and

Declaration.

Pen colours Please use a black or blue pen to write on the form.

Check boxes Mark boxes like this with a ✔ or ✘. When an instruction asks you to ‘tick’ the box, you can

still use either ✔ or ✘.

Go to Where you see an instruction like this - Go to question 5 - mark the relevant box with a ✔

or ✘and then skip to the question number shown. You do not need to answer the question(s) in between.

Where an instruction has a black double arrow (), go to the next indicated part/section. Where an instruction has a black single arrow (), go to the next question. Where an instruction has a black single arrow pointing down (), fill in the field(s) directly below.

Mandatory questions

If all fields in a question are mandatory and must be completed, (required) is added to the end of the question label text. If a field in a question is mandatory only IF a condition is met, (required if any) is added to the end of the question label text.

This symbol indicates an instruction on what to do next.

This symbol indicates additional useful guidance to filling in the adjacent field or section.

This symbol advises that more than one entry may be required for the section and therefore you may need to photocopy or print the section or fill in a duplicate section.

This symbol advises that additional documentation to support a claim may need to be attached to the form.

Duplex printing This form is designed to be duplex-printed to save on paper. All new sections start on the right-hand side of a page spread.

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Help filling in this form

If you require assistance filling in the form or have any questions, please contact the Scheme Audit and Assurance Section by telephone on 1300 553 542 or by email at audit@cleanenergyregulator.gov.au.

Submitting this form

A signed copy of this form should be kept for your records.

By post

Post your completed form with any accompanying documentation to:

Scheme Audit and Assurance Section Clean Energy Regulator GPO Box 621 Canberra ACT 2601

By email

Alternatively, email your scanned, completed form to the Clean Energy Regulator at audit@cleanenergyregulator.gov.au.

If the email and its attachments (the form and supporting documents) are larger than 10MB, they must be sent using multiple emails that are clearly marked (i.e. by including an identifier in the subject line, e.g. '1 of 3', '2 of 3', '3 of 3'). The signed form must be saved as a single scanned file and not split into parts. Files may be zipped to reduce their size.

Note that if you choose the email option, there may be times when you will need to print certain sections in order to sign them or in order to complete multiple entries for a single set of questions. These sections may be scanned back into the computer and submitted electronically with the rest of the form.

If you submit your form by email, you do not need to send the original hardcopy by post.

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Part A: Auditor information

1. Name of auditor

Tick appropriate title, or add ‘Other’ title in the space provided.

Title Mr Mrs

Miss Ms

Other

Add full name details below

Given name

Middle name(s)

Family name

2. Registration information

Provide greenhouse and energy auditor registration details below

Registration number

3. Have your contact details published on the Clean Energy Regulator website changed? (Information hubs>Audit information>Register of auditors) Tick the appropriate response.

Yes No

If yes

Provide contact details below

Address

Company name

Company address

Contact business no.

Alternate contact no.

Contact email

4. Do you wish to continue as a greenhouse and energy auditor?

Tick the appropriate response.

If "no", we will commence the deregistration process.

Yes

(continue at Part B)

No

(Please complete and sign the Declaration on page 10)

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Part B: Code of conduct and independence

A registered greenhouse and energy auditor must meet certain requirements in order to maintain registration. Please answer the following questions. If you answer ‘No’ to either of these questions, please provide details in Part F of this form.

5. Have you complied with the Code of Conduct provisions set out in Regulation 6.46 of the Regulations?

Tick the appropriate response.

Yes No

6. Have you complied with the principles of independence set out in Regulations 6.47 to 6.58 of the Regulations?

Tick the appropriate response.

Yes No

Part C: Fit and proper person

As a registered greenhouse and energy auditor, you must continue to be a fit and proper person in accordance with Regulation 6.64.

The Clean Energy Regulator may seek to confirm the information you provided in this part by seeking independent checks with relevant agencies. This may include police record checks.

Please answer the following questions. If you answer ‘Yes’ to any of these questions, please provide details in Part F of this form.

7. Have you had any conviction (other than a spent conviction) for an offence against a law of the Commonwealth, a State or Territory or a foreign country (including a state of similar division of a foreign country) where the offence has an element of dishonesty?

Tick the appropriate response.

Yes No

8. Are you the subject of any charge or other proceedings for an offence against a law of the Commonwealth, a State or Territory or a foreign country (including a state or similar division of a foreign country) where the alleged offence has an element of dishonesty that is awaiting determination by a court?

Tick the appropriate response.

Yes No

9. Within the last 10 years have you had any finding of civil liability for any breach of trust or other breach of fiduciary duty, dishonesty, negligence or recklessness in the course of your work as a registered greenhouse and energy auditor?

Tick the appropriate response.

Yes No

10. Have you entered into bankruptcy or applied to take the benefit of any law for the relief of bankrupt or insolvent debtors?

Tick the appropriate response.

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Yes No

11. Have you compounded with creditors or made an assignment of remuneration for their benefit?

Tick the appropriate response.

Yes No

12. Have you ever had your membership of a relevant professional body cancelled?

Tick the appropriate response.

Yes No

The following two questions are not mandatory

13. Have you been the subject of disciplinary action taken by a relevant professional body where the outcome was an adverse finding against you?

Tick the appropriate response.

Yes No

14. Have you been excluded from practice as an auditor, or had any registration as an auditor suspended, or been deregistered, or been the subject of other disciplinary action by an auditor registration authority?

Tick the appropriate response.

Yes No

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Part D: Professional development

As a registered greenhouse and energy auditor, you must complete a minimum of 15 days [or an equivalent 112 hours] of professional development in each three year period of registration commencing on the date you were first registered. You may be required to provide evidence to support the claim in question 15.

15. Have you participated in or attended conferences, seminars, courses or other kinds of training in the past 12 months that were relevant to:

a) the category in which you are registered, and b) the knowledge and qualifications used for the purposes of registration? For example, if you are registered as a Category 2 greenhouse and energy auditor, we expect that you will participate in a mix of assurance-related as well as any technical-related development.

Tick the appropriate response.

Yes No

Provide the requested details of the different examples of professional development you have undertaken in the past year.

If there is insufficient space below, please attach separate sheet.

Name/type of conference, seminar, course of training

Provider & contact details Qualification/certification (if applicable) Date(s) participated or attended

Hours of attendance

Total hours

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Part E: Audits undertaken

Under Regulation 6.66(1), you must participate in a substantial way in a Part 6 audit or an alternative audit at least once in every three year period following registration. Please provide details of any Part 6 audits or alternative audits that you have carried out, or assisted in carrying out during the past 12 months.

The term ‘Part 6 audit’ is defined in Regulation 1.03 to mean any of the following: an Emissions Reduction Fund (ERF) audit, a safeguard mechanism audit or a greenhouse and energy audit conducted under any of sections 73 to 74C of the NGER Act.

An alternative audit means an audit that has not been carried out under the NGER Act but that is comparable to an ERF audit, a greenhouse and energy audit or a safeguard mechanism audit. The Clean Energy Regulator accepts the following audits alternative audits:

a voluntary audit conducted under the National Greenhouse and Energy Reporting (NGER) scheme or the Emissions Reduction Fund that is in addition to specified requirements

an exemptions certificate audit conducted under the Renewable Energy Target, or

any other audit commissioned by the Clean Energy Regulator.

The Clean Energy Regulator will not accept any other type of audits as participation to maintain registration.

Have you carried out at least one Part 6 audit or alternative audit within the last year?

Tick the appropriate response.

Yes No

Provide details of the audits you have participated in during the past year.

If there is insufficient space below, please attach separate sheet.

Name of audited body Contact of audited body (name and phone number)

Role in audit

(team leader, member, or peer reviewer)

Your total participation in audit (in hours)

Type of audit conducted (see above )

Audit standards applied to conduct audit

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Part F: Additional notes to report

This section is used to:

provide details or further information for any of the questions above

offer any feedback, or

list any changes to your specialisations (please check your listing on the register) published on the Clean Energy Regulator website (Information hubs>Audit information>Register of auditors).

If there is insufficient space below, please attach separate sheet.

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Declaration

All registered greenhouse and energy auditors are required to complete this section.

By signing below, you declare and acknowledge that:

All information provided in, or in relation to, this form (including attachments and any other supporting information) is, having made all reasonable enquiries, complete, true and correct, and not misleading by inclusion or omission

giving false or misleading information is a serious offence and carries penalties under the Criminal Code Act 1995

personal information provided in this form may be copied, recorded, used or disclosed by the Clean Energy Regulator for its administrative purposes, for example, to pre-populate other Clean Energy Regulator forms which you wish to fill out online in the future, and for improving the Clean Energy Regulator’s service delivery to you

any of the information provided in this form may be copied, recorded, used or disclosed by the Clean Energy Regulator for the purpose of verifying authenticity, assessing and making a decision on the information, auditing compliance, enforcement of laws, regulations and legislative rule, the performance of the Clean Energy Regulator’s statutory functions and for related purposes subject to the requirements of relevant laws, in particular the Privacy Act 1988 and Part 3 of the Clean Energy Regulator Act 2011

where you have been the audit team leader carrying out a Part 6 audit, you have:

» complied with the record keeping requirements of Regulation 6.70 of the Regulations

» complied with the audit team leader rotation requirements set out in Regulation 6.59 of the Regulations, and

» held indemnity insurance that meets the requirements of Regulation 6.60 of the Regulations.

Name Signature

Date

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Form checklist

Have you completed the following?

Part A: Auditor information

Part B: Code of conduct and independence

Part C: Fit and proper person

Part D: Professional development

Part E: Audits undertaken

Part F: Additional notes to report

Declaration

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Additional information

Definitions

For the purposes of this form:

Alternative audit An audit that has not been carried out under the NGER Act but that is, in the opinion of the Regulator, comparable to an Emissions Reduction Fund audit, a greenhouse and energy audit or a safeguard mechanism audit.

Audit team leader A registered greenhouse and energy auditor appointed to carry out an Emissions Reduction Fund audit, a greenhouse and energy audit or a safeguard mechanism audit, and responsible for providing an audit opinion and report. Generally, this is a Category 2 auditor or an auditor carrying out a voluntary audit.

Audit team member In relation to a Part 6 audit, means a person assisting the audit team leader to carry out the audit.

Continuing professional development

Participation in, or attendance at, conferences, seminars, courses, and other kinds of training that are relevant to: (a) the category in which the auditor is registered, and (b) the knowledge and qualifications used for the purposes of registration.

Part 6 audit Means any of the following: (a) an Emissions Reduction Fund audit (b) a greenhouse and energy audit (c) a safeguard mechanism audit.

Peer reviewer Since July 2017, peer reviewers must be a Category 2 Registered Greenhouse and Energy Auditor or company auditor registered under the Corporations Act 2001. They are required to be involved in the initial, planning, reporting and final stages of the engagement.

Registered greenhouse and energy auditor

An individual who is registered in the register of greenhouse and energy auditors kept under section 75A of the Act.

The Act National Greenhouse and Energy Reporting Act 2007.

The Regulations National Greenhouse and Energy Reporting Regulations 2008.

Protection of information

The Clean Energy Regulator is bound by the secrecy provisions in Part 3 of the Clean Energy Regulator Act 2011 and by the Privacy Act 1988.

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Privacy statement

'Personal information', as defined in the Privacy Act 1988, means any information from which a person’s identity is apparent or can be reasonably ascertained.

Personal information collected in relation to this form, will be used for the purpose of assessing the form, auditing compliance, enforcement of relevant laws and regulations and for related purposes. The collection of personal information is authorised by the Clean Energy Act 2011.

Disclosure of information

The Clean Energy Regulator and authorised staff are only able to disclose information relating to the affairs of a person (including personal information) collected in relation to this form in accordance with the Clean Energy Regulator Act 2011 or as otherwise required by law.

Part 3 of the Clean Energy Regulator Act 2011 prevents disclosure of relevant information except in circumstances set out in that Part. Those circumstances include:

disclosure for the purposes of a climate change law

disclosure to the Minister

disclosure of summaries or statistics if those summaries or statistics are not likely to enable the identification of a person

disclosure to certain bodies where the Chair of the Clean Energy Regulator is satisfied that disclosure will assist those bodies in the performance of their functions or powers, including the Australian Securities and Investment Commission, and the Australian Competition and Consumer Commission, and

disclosure for the purposes of enforcement of the criminal law, enforcement of a law imposing a pecuniary penalty or for protection of the public revenue, if the Chair of the Clean Energy Regulator is satisfied that disclosure is reasonably necessary for such purpose.

Accessibility disclaimer

The Clean Energy Regulator has worked to ensure that this document is accessible but please contact us to obtain an alternative version if you are having difficulty or you have specific accessibility needs. Please call 1300 553 542 or email the name of the form and your needs to enquiries@cleanenergyregulator.gov.au.