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AUC releases semi-annual enforcement report for January to June 2021
The AUC recently released it’s enforcement report for January to June 2021. The report summarizes the results of the AUC’s compliance and enforcement activities from the first half of 2021 under a number of categories. These reports provide a transparent look at the AUC’s investigations into complaints, penalty matters, related outcomes, and ensures a comprehensive, flexible dispute resolution and compliance process which contributes to a broader goal of increasing efficiency and limiting regulatory burden.
Between January and June of 2021, AUC enforcement staff resources were primarily directed at the investigation of:
While the overall number of investigations between January and June of 2021 (65 investigations) decreased from the July to December 2020 period (115 investigations), the complexity and duration of the priority matters under investigation continue to require increased enforcement focus and resources.
As a specialized unit within the AUC, enforcement staff investigate complaints and resolve many enforcement matters that would otherwise require formal proceedings and helps reduce overall regulatory burden at the AUC. It’s another way the AUC ensures Alberta’s everyone who participates in the Alberta energy market or system are accountable for the services they provide, how they deliver those services and how they interact with customers.
The AUC’s enforcement staff begin by conducting a preliminary examination of all received complaints that appear to involve a contravention of Alberta’s utility laws, and AUC orders, decisions and rules. Many of those complaints are resolved without the need for further investigation or enforcement action.
If during the investigation of a complaint it appears that a violation of law or rule may have occurred and the information is sufficient to warrant further action, then a designated enforcement AUC member (a member of the regulatory tribunal) is assigned to the file and decides whether further investigation is warranted.
Enforcement staff apply an appropriate dispute resolution process in the following areas:
Between January and June of 2021, AUC enforcement staff resolved 65 investigations, including 23 complaint matters, 42 specified penalties matters and one enforcement proceeding.
More information about the AUC’s enforcement objectives and activities can be found on the Compliance and enforcement webpages.