Scorecard Non-compliance Penalty Matrix Breach Severity Sanction Range 1.1 Incorrect application of Software or Assessor Manual or other technical advice provided by the Department Rare, once-off, first instance, lack of knowledge or understanding, carelessness, low impact Minor: Warning letter, further training, re-rate property, non-compliance points 1.2 Incorrect application of Software or Assessor Manual or other technical advice provided by the Department Repeated instances (1-3), frequent, previous warning, does not affect final result Minor to moderate: Warning letter, further training, re-rate property, non-compliance points 1.3 Incorrect application of Software or Assessor Manual or other technical advice provided by the Department Deliberate, wilful, repeated (4+) Serious: Suspension, termination, points 2.1 Non-compliance with Assessor Instructions and technical advice of the Department Rare, once-off, first instance, lack of knowledge or understanding, carelessness, low impact Minor: Warning letter, further training, re-rate property, non-compliance points 2.2 Non-compliance with Assessor Instructions and technical advice of the Department Repeated instances (1-3), frequent, previous warning, does not affect final result Minor to moderate: Warning letter, further training, re-rate property, non-compliance points 2.3 Non-compliance with Assessor Instructions and technical advice of the Department Deliberate, wilful, repeated (4+) Serious: Suspension, termination, points
6.1 Entering data into the Scorecard Tool without the Customer signature on the Privacy consent in the Information Statement Evidence not submitted, conflicts not stated – rare, first time, existence of conflict but not stated – rare, first time Minor: Warning letter, non-compliance points 6.2 Entering data into the Scorecard Tool without the Customer signature on the Privacy consent in the Information Statement Existence of conflict, repeat occurrence (1) Minor to moderate: Warning letter, points 6.3 Entering data into the Scorecard Tool without the Customer signature on the Privacy consent in the Information Statement Repeat occurrence (2+) Serious: suspension, termination, points 7.1 Employing any high-pressure sales tactics including any intended to induce Customers to sign a sales agreement for the purchase of goods or services aimed to increase the energy performance of the household Rare, first time Minor: Warning letter 7.2 Employing any high-pressure sales tactics including any intended to induce Customers to sign a sales agreement for the purchase of goods or services aimed to increase the energy performance of the household Repeat occurrence (1) Minor to moderate: Warning letter, points 7.3 Employing any high-pressure sales tactics including any intended to induce Customers to sign a sales agreement for the purchase of goods or services aimed to increase the energy performance of the household Repeat occurrence (2+) Serious: Suspension, termination, points
8.1 Revisiting the Customer’s premises uninvited intending to pressure the Customer Rare, first time Minor to moderate: Warning letter, points 8.2 Revisiting the Customer’s premises uninvited intending to pressure the Customer Repeat occurrence Serious: Suspension, termination 9.1 Making frequent phone calls to try and sell additional services or products Rare, first time Minor: Warning letter 9.2 Making frequent phone calls to try and sell additional services or products Repeat occurrence (1) Minor to moderate: Warning letter, points 9.3 Making frequent phone calls to try and sell additional services or products Repeat occurrence (2+) Serious: Suspension, termination, points 10.1 Recommending a product if the Assessor knows or ought reasonably to know that the product is unsuitable for the Customer Conflicts not stated, rare, first time Minor: Warning letter 10.2 Recommending a product if the Assessor knows or ought reasonably to know that the product is unsuitable for the Customer Existence of conflict, repeat occurrence (1) Minor to moderate: Warning letter, points
15.1 Non-compliance with all applicable consumer laws and regulations, including but not limited to Schedule 2 of the Competition and Consumer Act 2010 (C’th) Spam Act 2003 (C’th) Do Not Call Register Australian Consumer Law, particularly the clauses related to door-to-door and unsolicited sales Single occurrence Minor to Serious: consequence subject to legal advice 15.2 Non-compliance with all applicable consumer laws and regulations, including but not limited to Schedule 2 of the Competition and Consumer Act 2010 (C’th) Spam Act 2003 (C’th) Do Not Call Register Australian Consumer Law, particularly the clauses related to door-to-door and unsolicited sales Subsequent occurrence Moderate to Serious: consequence subject to legal advice 16.1 Creating advertising, promotions or quotations that are misleading or deceptive Single occurrence Moderate to Serious: consequence subject to legal advice 16.2 Creating advertising, promotions or quotations that are misleading or deceptive Subsequent occurrence Moderate to Serious: consequence subject to legal advice
29.1 Failure to remedy a breach within 14 days Inability Nil to Moderate 29.2 Failure to remedy a breach within 14 days Deliberate, wilful Serious: Suspension, termination 30.1 Assessor Behaviour which in its opinion warrants immediate suspension under clause 11.4 of the Assessor Agreement Discretionary Serious: Immediate suspension, termination