Compliance & Regulatory

Overview

Compliance with the National Electricity Rules (NER) and associated regulatory instruments is a legal obligation for all NEM participants. Failure to comply can result in AER investigations, civil penalties, and licence suspension. Energy Copilot automates compliance tracking across the major obligation categories.

Compliance Calendar

The compliance calendar (/back-office/compliance/calendar) aggregates all regulatory deadlines from multiple sources:

Source	Obligation Type	Update Frequency
NER Chapter 3	Metering compliance	Based on NER schedule
NER Chapter 4	Generator compliance	Based on NER schedule
AER annual reporting	Retail market reporting	Annual
AER CDR	Consumer data reporting	Quarterly
RET legislation	LGC surrender	Annual (31 Jan)
Safeguard Mechanism	Carbon reporting	Annual (31 Oct)
AEMO procedures	Technical compliance	Various

The calendar provides:

Due date countdown for each obligation
Responsible team assignment
Status tracking: not started → in progress → submitted → complete
Late flag: colour coded red when past due date

-- Upcoming compliance deadlines in next 30 days
SELECT
    obligation_id,
    obligation_name,
    regulatory_source,
    due_date,
    DATEDIFF(due_date, CURRENT_DATE()) AS days_remaining,
    responsible_team,
    status
FROM energy_copilot.gold.compliance_calendar
WHERE due_date BETWEEN CURRENT_DATE() AND CURRENT_DATE() + INTERVAL '30 DAY'
ORDER BY due_date;

AER Enforcement Register

The AER publishes its enforcement activity (investigations, infringement notices, enforceable undertakings, and civil penalty proceedings) on its website. Energy Copilot ingests this data via pipelines/17_aer_enforcement_ingest.py:

Enforcement Dashboard (`/back-office/compliance/enforcement`)

Current enforcement register: all active and recently closed matters
Filter by participant type, issue type, and status
Trend analysis: number of enforcement actions by year and category
Sector benchmarking: how does your participant category compare?

Enforcement Categories Tracked

Category	Examples
Market manipulation	Rebidding to increase price; false scarcity
Retail compliance	Overcharging, non-disclosure, poor disconnection practices
Metering non-compliance	Incorrect metering data, reporting failures
Network compliance	Access arrangement compliance, reliability obligations
Registration obligations	Late registration, capacity declarations

AEMC Rule Change Tracker

The Australian Energy Market Commission (AEMC) manages proposed changes to the National Electricity Rules. Understanding proposed changes is important for compliance planning and market strategy.

Energy Copilot ingests AEMC rule change data via pipelines/23_aemc_rule_changes_ingest.py:

Rule Change Dashboard (`/back-office/compliance/rule-changes`)

Current consultation papers and rule change proposals
Stage tracker: initiation → consultation → determination
Impact classification: which business functions are affected
Implementation timeline: when does the change take effect?

Filterable by:

Rule change category (market, network, retail, consumer)
Status (in progress, determined, not made)
Effective date range

AEMO Procedures Library

AEMO publishes hundreds of market procedures and guidelines that define operational requirements. The Procedures Library (/back-office/compliance/procedures) provides:

Searchable index of all current AEMO procedures
Version history: current vs superseded versions
Change summaries: what changed between versions
Obligation extraction: AI-assisted extraction of specific obligations from procedure text

Compliance Alerts

The platform generates automated compliance alerts:

Alert Type	Trigger	Response
Deadline approaching	14 days before due date	Dashboard notification + email
Deadline tomorrow	1 day before due date	Urgent alert all channels
Overdue obligation	Past due date	Critical alert + escalation
New enforcement action	Related to your participant category	Informational alert
New rule change published	Any AEMC rule change	Informational alert

API Endpoints

# Compliance calendar
GET /api/compliance/calendar?days_ahead=30&status=open

# AER enforcement register
GET /api/compliance/enforcement?status=current&category=market_manipulation

# Rule changes
GET /api/compliance/rule-changes?status=in_progress

# Update obligation status
PATCH /api/compliance/calendar/{obligation_id}
{
  "status": "submitted",
  "submitted_date": "2025-03-20",
  "notes": "Submitted via AER portal"
}