Investigations and enforcement
We expect regulated companies to abide by their licence conditions and/or the applicable legislation. However, if we think companies may be breaching the obligations of their licence or other relevant conditions or requirements, we have a number of powers under energy and water legislation to take enforcement action against the regulated company.
In particular we have the following powers:
- to make an enforcement order,
- to impose a financial penalty,
A failure to comply with an enforcement order and/or a failure to pay the financial penalty can be enforced through legal proceedings and/or lead to revocation of licence.
Our Enforcement Policy Approach and Procedure and Procedure Flowchart provides information on what to expect when we initiate an investigation or take enforcement action. Following consultation, the UR updated its Enforcement Procuedure and Financial Penalties Policy in June 2018. This new procedure updates and replaces the 2016 policy and procedure.
All investigations, compliance work and enforcement action undertaken by the UR is carried out in line with the published Procedure and using the prioritisation principles therein. The Procedure outlines what is expected when the UR initiates an investigation. It offers transparency and operational certainty for industry, while providing the UR with the capacity to tailor the process to suit individual cases. The new procedure also sets out details on how the UR will publish information related to cases under investigation.
The Financial Penalties Policy is required by statute and covers both whether to impose a financial penalty and a process for determining the amount of the penalty.
This section includes details on the actions taken by the UR, in line with the published Enforcement Procedures since 2016
There are currently no open investigations.
Please note: an open investigation does not mean a company has breached licence conditions or other obligations.