FormBay Price Compliance Solar Guide

User Manual: SolarComplianceGuide

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Compliance Technology for the Solar Industry

Introduction to ORER

Page 1

From the Ground Up

Page 2

Checking Compliance

Page 3

Compliance Centre Checks - STC Form

Page 4

Compliance Centre Checks - Safety Certificate

Page 5

Compliance Centre Checks - Invoice

Page 6

Documents Required - STC Form

Page 7

Documents Required - Safety Certificate

Page 8

Documents Required - Invoice

Page 9

Superman Installers

Page 10

Example of a ORER audit

Page 11

Example of a Failed audit

Page 12

How to respond to a Failed audit

Page 13

Common failed Messages from ORER

Page 14

Compliance Technology for the Solar Industry

FormBay - Guide -Installer

Welcome to Compliance - ORER

Compliance FormBay

Introduction to ORER
What does ORER stand for?
established to oversee the implementation of the Small-scale Renewable Energy Scheme.
The Renewable Energy Regulator is appointed by the Minister for Climate Change,
Energy Efficiency and Water to administer the Renewable Energy (Electricity) Act 2000 1.
The Act supports the implementation of the Australian Government's LRET and SRES.
What do ORER do?
ORER are the government office body that register STCs / RECs for small generation
and solar hot water installations. They manage and maintain the online REC Registry,
STC Clearing house, and monitors compliance. With these regulations in place, ORER
have the power to approve or fail any submissions uploaded.
ORER are responsible for ensuring each and every application conforms and is compliant to
the compliance requirements as specified under the Small-scale Renewable Energy Scheme.
For ORER, the process of auditing is black and white, there is no room for systems which
lack any compliance requirement.
ORER are in place to approve or fail applications. They have the power to audit any application
regardless of its status, to any degree it so desires. A typical audit will request all documents be
sent to them for immediate assessment. They may call the home owner in relation to the creation
of the Renewable Energy Certificates.
Contacting ORER
Please keep communications with ORER limited to essential contact, if you have a query, please refer
to your procedures manual or speak to your resolutions officer. If you need to contact ORER the best
form of contact is via email. Phone calls only take auditors away from doing what we all need them to do.
Please be considerate.

Postal address:
PO Box 621
Canberra ACT 2601

Phone: +61 (02) 6159 7700
Fax: +61 (02) 6159 7780


More Information
All regulations and ACTS are stated on the ORER website:

Compliance Technology for the Solar Industry


From the Ground Up
We rely on the installer capturing the right information and ensuring it is true and correct. It is vitally important
the installer understands that he is ultimately the one who provides the base documentation which we then create
STCs from. If the documentation is substandard or incorrect, the installer then runs the risk of being denied payment
or having to travel back out onsite to have the document resigned. The agent simply cannot afford the risk that
comes with sloppy compliance or half-filled in forms.
The key is making sure the installer is fully aware of the requirements both when they first sign up and continually
as they learn to get it right. It is your job as an agent to make sure they get the message loud and clear, and that
they learn from their mistakes.

Compliance FormBay


The Grid

Installer installs the panels & inverter to
the home, the local energy company then
comes to install the smart metre and
connects the system to the grid


The Panels

Installer picks up the
panels and the inverter


The Inverter


Jim’s Solar

Home Owner



After the Installation has
been completed the installer
then has to get the Home Owner
to sign a STC asignment form

Key Requirements
Assignment Form Signatures (Mandatory)
The Assignment form needs to be signed by
the home owner and then signed by the
accredited CEC installer and designer.
Compliance (Mandatory)
Each install must have a certificate of
compliance, this may vary state by state,
please check your compliance handbook.


STC Form

STC Assignment Form


The installer then has to compile all the required documentation to
be uploaded, emailed or faxed to client formbay where it is then
checked and submitted through to the admin formbay, the agent.









Design Document

Photos of system

Design of system done

To show system installed
on the propert, photos include
panels and inverter installed.

This form is generated from the
formbay online system


Customer Invoice

Invoice (Mandatory)
The invoice is needed to show proof of
purchase but also the ‘Out of Pocket Expense’
is derived from this, which is the total cash
outlay from the customer for the system.
Photos (Optional)
Photos are not required, however it is
strongly suggested that the following photos
are captured:

Photos of the panels on the roof
Photos of the inverter
Photos of the DC isolator
Photos of the switch board open
Photo of the CEC installer onsite,
preferably in front of the house.

Invoice to show proof of purchase
between you and the homeowner

varies state by state.

Fax or Scan to upload or email
Client checked the installers date and
then submitted to Admin/Agent
for payment

Client FormBay

Admin FormBay


Admin then check the documents and
the data and decide if to pay and upload

Once the information has been submitted to
ORER it can not be changed, only failed. ORER
will audit this information.

Compliance Technology for the Solar Industry

Checking Compliance
The most important job in the processing of STCs
is making sure all information that has been received
or uploaded to ORER is 100% true and correct.
This is vital for ensuring that payment can be made
to the installer and the agent receives their STCs
For every agent, compliance represents an element of
risk that could potentially impact their business, both
financially and legally. From paying installers, meeting
trade commitments, through to being able to pay wages,
it all comes down to having the correct compliance that
is true and correct.

Key Compliance Checks:
1. Assignment Form
- Home Owners details are correct
- Install date is correct
- Installers & designers ACC number is correct
- Correct Australian regulations are in place
- Correct Inverter & Panel brand and model entered
- On site declarations is present for installs
after 1st February 2011

The checking compliance helps to reduce this risk, and
provides surety to the agent and the installer that the
STCs from those systems will be created for trade.

- Home Owners details are correct
- OOPE - Out of pocket expense figures match
- Metering Cost included in OOPE

Compliance is put in place to strengthen the industry from
the ground up. ORER do not create the compliance
requirements, but rather enforce them.

3. Certificate of Compliance - Mandatory
- Home Owners details are correct
- Date on CPP not prior to installation date

You have to be 110% sure that the system you check has
all the compliance requirements.

4. PHOTO’s - Optional

How to Check:

- Number of panels are correct
- Photographic evidence matches data inputted

Firstly, you need to make sure you are aware of the
compliance requirements, to do this it is advised that you
read through the compliance hand book and also
ask your Resoultion officer (ResBay officer)
about any doubts you may have.
After you feel confident in knowing the basics, simply login
to admin Form Bay and start viewing the doc icons. Here you
will find a series of checks that are required. Each time you
tick a check, your user profile will be logged as having
completed that check. So once it has been uploaded to
ORER you will be the person responsible for saying that doc
was true and correct.
If you find incorrect information:
People make mistakes all the time, especially when it comes
to data entry and documentation. If you find an discrepancy
with the information that is on the documentation when
compared with the data submitted, please notify your
resolution officer and they will direct you.
If the system has not been uploaded to ORER, you will
need to change the data to be true and correct before it
can be uploaded. If the system has already been uploaded
to ORER then your resolution officer will need to fail the
system to recreate with the correct information.

Compliance Technology for the Solar Industry

Compliance FormBay


5. DESIGN - Optional
- Matches the installation data
All these checks are available online with FormBay
and are mandatory before and upload to ORER.

Please Note:
If you have noticed a mistake with a piece of
compliance after it has been uploaded to ORER,
don’t panic it can be resolved. Please tell your
Resolution Officer about the mistake and he/she
will request that system be failed so it can be
recreated with the corrected information, or
he / she will notify ORER of the mistake.
Some common issues to flag:
Incorrect OOPE figures which don’t match the
invoice supplied, any signatures that are missing,
old assignment form, certificate of compliance is
not sufficient, superman installers doing 50 jobs
a day, dates on CCP not matching etc.


Compliance Centre Checks- STC Form
The Compliance Centre holds all forms that have been submitted. It checks for all the correct requirements
before the submission is uploaded to ORER. Forms that do not have the required regulations are advised to
collect relevant information and re-upload to FormBay. The FormBay Compliance team checks every form
and approves them if they are up to standard.
The following checks are in place to ensure that the STC assignment Form is compliant. We match the information
that has been inputted into the system to the paperwork supplied. The client is not allowed to submit their online form
unless the required paperwork has been uploaded.

Compliance FormBay


If the client has submitted documentation not up to standard, we contact the client accordingly allowing them to
re-upload documentation and confirm the correct details.

STC Assignment form checks

Compliance Technology for the Solar Industry


Compliance Centre ChecksSaftey Certificate
The CCP compliance checks involve making sure the Electrician and the customer details are correct and that
the date on the CCP date is not before the installation.

Compliance FormBay


CCP - Safety Certificate

Compliance Technology for the Solar Industry


Compliance Centre Checks- Invoice
The Invoice compliance checks involve making sure the invoice details are correct, the OOPE number
is accurate and the metering cost has been included to the invoice.

Compliance FormBay


Customer Invoice Checks

Compliance Technology for the Solar Industry


Compliance FormBay

Documents Required - STC Form

Check the owners address
details are correct.

Installation date
The installation date needs to match
the installation date inputted into

Installers & Acc Code
The installer, designer and
electrician need to match the
CEC Accreditation list

All standards, regulations, requirements
which ORER require to be within the
CEC manditory written statement need
to be current.

Check Installer & Designer Signatures,
these are required to match the details
on the assignment form

The home owner and the agent/installers
signatures are required on the assignment
form, providing proof the install occurred
and agreeing to the mandatory declaration
stated on the form
On-Site Declaration
All installs after 1st February 2011
require an on site declaration statement.
This declares that the installer, stated
on the form physically attended the

Compliance Technology for the Solar Industry


Compliance FormBay

Documents Required - Safety Certificate

Invoice Customer Details
Check the owners address
details are correct.

Electrician Signature
The electricians name and
signature needs to be present
on the CCP form

Date of Compliance needs to be
on or after the installation has

Compliance Technology for the Solar Industry


Compliance FormBay

Documents Required - Invoice


Check the owners address
details are correct.

Please provide approximate for
metering Cost.

Metering included

***Please note metering in Queensland
is FREE***

Out of Pocket Expense figure
is the figure the customer is required to
pay for the installation after all deductions
are taken off .
In simple terms it’s the monetary
value they end up paying out for
the system. Check the figure, be sure to
take into account all payments
included deposits and also any giveaways
which maybe listed.

Compliance Technology for the Solar Industry


Superman Installers
When a form has been submitted into FormBay for a compliance check, the administration team has a clear
overview of the clients information and location. FormBay has a number of technology checks that highlight
any issues with the form. This could be an incorrect postcode or duplicated serial numbers. However one major
advantage is the ability to pick up the number of installs an installer does on one day. For example you can see
below how FormBay has highlighted and warned that Installer ‘James’ has done five installs in one day.

Compliance FormBay


By clicking on ‘View map’ you are able to view all the places that the Installer would have visited along with the
relevant form Id’s below this could be an administration error so therefore best to contact the client to discuss

Compliance Technology for the Solar Industry


Example of an ORER Audit
Below is an example of an ORER audit, these come through via E-mail and FormBays aim is to respond the
requested document as soon as possible. This involves downloading the required documents off FormBay
and attaching them to an email to send to ORER.
Dear Sir/Madam,
I am writing to you about the documentation (Written Statements) t hat must be created and
retained by “Agents” or “Persons” when Small Generation Units are installed to be eligible for
Regulation 20AC of the Renewable Energy (Electricity) Regulations 2001 sets out the circumstances
in which Certificates may be created for Small Generation Units. Amongst other things, Regulation
20AC requires you to obtain certain information and documentation before creating Certificates.
The requested documentation is listed below, please keep in mind you may need one, or all of the
following documents depending on what type of technology you are creating RECs for, when the
system was installed and whether it is grid connect or of f-grid.


Systems installed between the 20 August and 31 October 2010 must have statements signed by
the Photovoltaic Installer which includes:
Installer’s Electrical Licence,
Electrical compliance documentation for the relevant jurisdiction,
Off Grid Electrical compliance documentation (where applicable),
Site and Grid connected written statement, and
Unit design and installation statement.
Systems installed from 1st November 2010 must have, (in addition to the above) statements signed
by the Photovoltaic Installer that he or she:
Has current Public Liability Insurance of not less than $5M,
Is bound by the Clean Energy Council’s (CEC) Code of Conduct and, complied with that code for
the installation of the unit.
All applications for certificates from 1st February 2011 must have, (in addition to the above) an:
Out of Pocket expenses documentation
Systems installed from 1st of February 2011 must have, (in addition to the above) an:
On-site statement
An example of the Written Statements can be found on our website at -statement.html and you are encouraged to develop
your own statements based on this example.
For further information on out of pocket exp enses visit the ORER website at
To assess your compliance with Regulation 20AC, the Regulator requests that you provide the Office
of the Renewable Energy Regulator (ORER) with compliance paperwork for the following:
Accreditation code

Install Date
Owners Name
30/06/2011 John Semple
30/06/2011 edward King
30/06/2011 Colin & Jill Brown

Please email the documents, including the STC Assignment Form to …………… and . Please ensure you reference the appropriate accreditation codes in
the subject of your emails or faxes and the files that you attach.

Emails larger than 9MB exceed the capacity our server can manage and may not be received, so
please keep emails below this size. Documentation may be forwarded in several parts. Alternatively,
you may send the documentation via facsimile (02) 61597780. If you do send via facsimile please
also send an email notifying this office of such, so that we will know when to expect to receive it.

Compliance FormBay


ORER will not confirm receipt of your response so it is suggested you set your emails to “Read
Please be aware that some of the pending certificates in this audit batch may have been installed
over 12 months ago. If these certificates are failed due to non-compliance with paperwork
documentation you will not be able to recreate them. If you have pending certificates that are past
the 12 months time frame you must inform the ORER of this fact when you send in your compliance
paperwork documentation.
You are required to produce the documentation by close of business 26 July 2011. Failure to provide
the requested paperwork by the specified date may result in Certificate applications being failed. If
you are unable to comply within this timeframe or you have any questions regarding our
requirements please contact the ORER immediately.
Creating Certificates without first obtaining the above paperwork is an improper creation of
Certificates and an offence and contravention of the Renewable Energy (Electricity) Act 2000 (the
Act). It is also an offence to supply the ORER information or documents that are false or
misleading. The maximum penalty for providing false or misleading information can include
imprisonment for up to 12 months.
ORER endeavours to process applications for registration of Certificates within 4 weeks of receiving
an application. To assist us in achieving this, please provide the compliance paperwork referred to
above as soon as possible, and in any event by the date mentioned above. If there is a good reason
why you cannot provide the compliance paperwork by this date you must contact the ORER on 02
6159 7700 immediately.
For a full description of the required documents please see below.
Office of the Renewable Energy Regulator
GPO Box 621
Canberra ACT 2601
P: 02 6159 7701
F: 02 6159 7780
E: W:

Increasing Australia's Renewable Electricity Generation

SGUs i nstalled on or a fter the below dates require additional compliance documentation before you can create STCs in the
REC Registry.


PV Solar installations between 20 August 2010 and 1 November, 2010
Hydro and wind installations on or after 20 December 2010
All installations after January 1

Thi s documentation must be signed by your s ystem’s designer and/or installers, otherwise STCs can not be created.
Documentation required:





Statement of CEC accreditation and holding $5million in liability insurance
Installer’s electrician’s licence. The el ectrical wiring associated with grid-connected i nstallation of the unit must
be undertaken by a n electrical worker holding a n unrestricted licence for electrical work issued by the State or
Terri tory a uthority for the place where the unit was installed.
Electrical compliance documentation for the relevant jurisdiction . Obta i n from the installer a copy of any
documentation required, by the laws of the jurisdiction in which the unit was installed, certifying that the
el ectrical i nstallation of the unit complies with laws relating to s afety and technical standards. This could be in
the form of a Certificate of Compliance, Installation Report a nd Electrician’s Licence. See the Installer’s Guide
for a l i sting of the relevant State/Territory licensing authorities and the electrical licence they issue.
Off-grid electrical compliance documentation. A wri tten s tatement is required from the installer of an off -grid
i ns tallation i f the wiring for the unit involves an alternating current of 50 or more volts and/or a direct current of
120 or more vol ts.
Site and grid connected written statement. Ei ther the installer or the owner must sign a s tatement that all
requi red local a nd s tate/territory approvals have been met for:
o The s iting of the unit;
o The a ttachment of the unit to the building or s tructure (if the unit is attached); and
o The gri d connection of the system (if it is gri d connected).
Unit design and installation statement. A s i gned and written s tatement that includes the name of the designer
a nd the i nstaller of the unit, and their CEC classification and accreditation number.
On-site statement. A wri tten a nd s igned statement that the installer/supervisor has physically attended the
i ns tallation made in their name. This statement should be signed by the owner to certify physical attendance.
Out-of-pocket expenses documentation. Al l documentation that s upports the figure supplied as the final out-ofpocket expense of the SGU to the owner (see section 5 of “How to create an STC”). This may i nclude, but is not
l i mited to:
o Invoi ces
o Contra cts
o Receipts
o Reba te forms
o Goods received listing
Any other statements contained in the sample written compliance statements a s they a re updated from time
to time.

PV Sol ar i nstallations on or a fter 1 November 2010, a nd hydro a nd wind i nstallations on or a fter 20 December 2010,
requi re all the above documentation PLUS documents certifying that specific Australian/New Zealand Standards relating to
i ns tallation of SGUs have been adhered to.
The rel evant Standards are:


AS/NZS 3000 Wiring Rules
AS/NZS 1768 Lightning Protection
AS/NZS 5033 Installation of photovoltaic (PV) arrays
AS/NZS 1170.2 Structural design actions, Part 2: Wind actions
AS/NZS 5033 Compliant PV modules
Tested and Approved Grid Connected Inverters
AS/NZS: 4509.1 Stand-alone power systems, Part 1: Safety and Installation
AS 4086.2 Secondary batteries for use with standard-alone power systems, Part 2: Installation and Maintenance

Compliance Technology for the Solar Industry


Example of a failed audit via Email
Below is an example of a failed audit. View Page 13 on how to resolve the failed audit.

REC Creation Not Approved by ORER

Compliance FormBay


The following Small Scale Technology Certificates have been NOT approved by ORER:
Number of STCs: 140
Registered Person Name: Solarfund Pty Ltd
Registered Person Number: 12179
Accreditation Code: PVD0607157
Your Reference: 31889_1159
The bottom of this email contains an Audit Note entered by the ORER Officer when the above STCs were not approved.
If you have any questions related to your eligibility to create STCs or the details of your Solar Water Heater or Small
Generation Unit please contact ORER directly on (02) 6159 7700 or send an email to
This email is automatically generated by the REC Registry. Please do not reply to this message.
If you have any further queries, please contact our support team.
Phone: 1800 159 724 (Toll Free)
Kind Regards,
REC Registry
REC Failure Audit Note
John Sankey
05/Jul/2011 11:12
LGC/STC Audit Batch 257 (27 June to 3 July 2011)
Failed because the CEC Installer?s Accreditation Number entered in the REC Registry is either incorrect or incomplete.
You may re-create RECs for this installation providing you rectify the above mentioned issue and make an entry in the
special address field of the online form, noting the failed accreditation code and an explanation as to why you are recreating RECs for the installation.

Compliance Technology for the Solar Industry


How to respond to a failed audit
Scenario Description:

When an email is received from ORER with a failed submission it is automatically transferred to the ResBay section.
The form stays here in order for the correction to be made and the submission to be re-uploaded with the correct
information to ORER. In ‘ResBay’ the form can be recreated with a new Id number and edited accordingly. You are able
to view all the failed submissions in ‘ResBay’

Compliance FormBay


By clicking on the recreate button this creates a copy of the same submission. From there you are able edit the submission
to prevent it from failing again. In order for ORER to recognise the system, a note has to be put in the special comment field
with the previous PVD Accreditation number added. This shows ORER that the system is being recreated and the amendments
that have been made, making the submission ready to be re-uploaded to ORER.

Compliance Technology for the Solar Industry


Common Fail Messages from ORER
Here are some of the common fail messages you are likely to see from ORER via email. This page is
intended to help interpret the failure messages and is only a short summary helping to explain the action
needed to be taken
Fail Message from ORER


Failed due to CEC accreditation
number does not matching
CEC records.

Failed due to CEC accreditation
number does not matching
CEC records.
This usually happens when a
CEC code has been entered in
with the incorrect digit.

ResBay Process

Compliance FormBay



Check the CEC installer details
Recreate the Failed Form in ResBay
Update the CEC code
Enter in a Special comment
asking to recreate the original PVD
5. Tell Uploader to Upload to ORER

Easy to Fix.

Failed due to not providing the
requested compliance paperwork
within the time required

An audit has been issued by
ORER and the requested
compliance paperwork has not
been sent back to ORER by the
specified deadline.
This is a serious issue, because it
means an audit has been failed.
Speak to your ResBay Officer

Failed due to STCs having
already been created at this

Means that another system was
uploaded to ORER and has already
claimed the solar credits multiplier.
This means the system failed was
most likely an ‘additional’ system
to an existing system, therefore is
entitles to 1 times multiplier.

Failed as customer is listed on
our records as receiving
payment for the Government
Rebate in 2005. These customers
are not eligible for Solar Credits

Failed due to customer
having already received
a rebate for their solar system,
which then means the system
failed is most likely an additional.
There used to be an $8000 rebate
given to home owners looking to
install solar. This rebate no
longer exists.

Failed due to the physical address
details uploaded in the registry
not correct

Failed due to address details
we submitted to ORER do
not match the documentation.
This fail would usually occur
after an audit has been completed.

Compliance Technology for the Solar Industry

1. Check the documents are there
2. Recreate the Failed Form in ResBay with
special comment
5. Tell Uploader to Upload to ORER
3. PDF all requested paper work
4. ResBay officer will send compressed PDFs
paper work to

1. Check with customer if the system
was additional
2. Recreate the failed form
3. Enter in a special comment stating where
the additional system is in relation to the
4. Change the form to be NOT ‘eligible for
the recs multiplier’
4. Tell Uploader to Upload to ORER

1. Check with customer if the system
was additional
2. Recreate the failed form
3. Enter in a special comment stating where
the additional system is in relation to the
4. Change the form to be NOT ‘eligible for the
recs multiplier’
4. Tell Uploader to Upload to ORER

1. Check the address details on the document
2. Recreate the Failed Form in ResBay
3. Update the form to the correct
address details



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