AUC releases enforcement report for July to December, 2020
February 17, 2021
The AUC has released the enforcement report for July to
December 2020, thanks to staff in the Market Oversight and Enforcement group.
The report summarizes the results of the Commission's
compliance and enforcement activities from July to December of 2020 under a
number of categories. As one example, between July and December of 2020,
enforcement staff concluded 22 investigations related to matters concerning
rates, and terms and conditions of service. This is an increase from 17
investigations concluded between January and June of 2020.
Specified penalties are one tool the AUC uses to ensure
utility customers in Alberta are treated fairly and that utilities respect the
rules in place to protect both consumers and businesses. These penalties are a
series of set fines that are applied when the AUC concludes that contraventions
have occurred, with penalties increasing with the frequency of the
The Commission issued 24 notices of specified penalty
between July and December 2020. In total, enforcement staff analyzed 72 events
and the Commission issued letters advising of no penalty for 48 of those
events. In comparison, between January and June of 2020, there were 111
investigations into penalty matters resulting in two no-penalty letters. No
notices of specified penalties were disputed between July and December.
While this report primarily relates to the second half of
2020, the completion of the year also allows for the observation of enforcement
trends for the whole of the year. In 2020, enforcement staff resolved 69
complaint matters and 183 penalty matters.
For complaint matters, if enforcement staff resolve a
complaint without formally engaging a market participant, the matter is closed
without the issuance of a letter. In more serious or complex instances where
enforcement staff have engaged a market participant in an investigation, a
letter is issued to both the complainant and the market participant advising
parties of the results of the Commission’s investigation and any conclusions or
findings. Notices summarizing the investigations are posted on the recent
enforcement resolutions page of the AUC website.