Investigation into alleged breach of the Code by a Code Member and
Steps to be taken when a Code Member is
found to be in breach of the Code
The ERA review identified a need for an
agreed process for investigating alleged breaches of the Code.
The AES Board has agreed this process
and has put in place a range of sanctions to be imposed depending
on the severity of the breach.
The range of sanctions is as follows:
•
|
Seek
an undertaking from the Code Member
that it will not be repeated and if
appropriate, agree alternative procedures
with the Member.
|
| • |
Arrange
for the Code Auditor to carry out a
visit and a compulsory audit of compliance
in relation to all or part of the Code
Members' energy supply marketing activities.
|
| • |
Issue
a formal written admonishment to the
Code Member specifically informing
the membership that such action has
been taken. The Code Member will be
given an opportunity to see such a statement
and to comment before it is issued.
|
| • |
Issue
a formal written admonishment to the
Code Member specifically informing
the membership and stakeholders that
such action has been taken. The Code
Member will be given an opportunity
to see such a statement and to comment
before it is issued.
|
| • |
Issue
a formal written admonishment to the
Code Member specifically informing
the membership and stakeholders that
such action has been taken. The statement
will be made public and the Code Member
will be given an opportunity to see
such a statement and to comment before
publication.
|
| • |
Suspend
or, if the circumstances warrant, terminate
membership of the Code in accordance
with the Membership
Rules.
|
| • |
Subject
to the prior approval of the Chairman
of the AES Board, the Code Manager can,
in exceptional circumstances, recommend
the omission of any of these sanctions
and propose escalation to a more serious sanction. |
The
Code Member may appeal to the independent
Code Panel should it disagree with the sanction
proposed by the Code Manager.
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