The AUC enforcement process is thorough and fair.
The AUC approaches its compliance and enforcement work through four steps:
Complaints and referrals are received through:
Complaints and referrals that are determined to include a possible contravention of an AUC decision, order or rule are forwarded to the Commission’s enforcement staff.
Enforcement staff then conduct a preliminary examination to review the circumstances and evaluate the seriousness of the identified conduct.
Commission enforcement staff may close the preliminary examination if:
If Commission enforcement staff determine that a preliminary examination may require further action, then a Commission member is assigned. The Commission member will review the matter and determine whether a contravention can be proven and if the information is sufficient to warrant a formal investigation.
As part of the investigation AUC enforcement staff may:
At the conclusion of the investigation, the assigned Commission member will review the evidence and determine one of three potential outcomes:
When considering whether to commence enforcement action (i.e. an enforcement proceeding), the Commission member will consider whether:
If a formal enforcement proceeding is initiated, the AUC will issue a notice to the alleged contraveners, setting out the particulars of the suspected contravention and the nature of the sanctions being sought.
A division of the Commission will conduct a proceeding to determine the merits of the allegations set out in the notice and decide what, if any, sanctions are warranted.