The AUC has a comprehensive, flexible dispute resolution and compliance process which contributes to a broader goal of increasing efficiency and limiting regulatory burden. The AUC approaches its compliance and enforcement work through three steps:

Step 1: Complaints and referrals

Complaints and referrals are received through:

  • Utility customers contacting the AUC directly though our general contact number.
  • Referrals from other agencies.
  • Self-reporting by utility providers.
  • Staff observations.

Step 2: Investigations

Complaints and referrals that are determined to include a possible contravention of an AUC decision, order or rule are forwarded to the AUC’s enforcement staff.

Enforcement staff then conduct a preliminary examination to review the circumstances and evaluate the seriousness of the identified conduct.

AUC enforcement staff may close the preliminary examination if:

  • It appears that no contravention can be proven.
  • The information is insufficient to warrant further investigation.
  • The regulated entity voluntarily returned to compliance.

If AUC 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:

  • Examine available sources of information.
  • Seek input from operational staff.
  • Contact the regulated entity involved for an explanation of its alleged conduct.

At the conclusion of the investigation, the assigned Commission member will review the evidence and determine one of three potential outcomes:

  • The AUC may close its investigation.
  • The AUC may seek an alternative resolution such as voluntary corrective action or a warning.
  • The AUC may initiate an enforcement proceeding.

Step 3: Enforcement proceedings

When considering whether to commence enforcement action (i.e. an enforcement proceeding), the Commission member will consider whether:

  • The alleged contravention appears reasonably likely to be proven on a balance of probabilities.
  • If the enforcement proceeding is in the public interest.

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 AUC will conduct a proceeding to determine the merits of the allegations set out in the notice and decide what, if any, sanctions are warranted.

Reporting

The AUC issues enforcement reports twice per year that summarize results of the AUC’s compliance and enforcement activities. These reports provide a transparent look at the AUC​’s investigations into complaints and penalty matters, and the related outcomes.

January to June 2021 Enforcement Report

July to December 2020 Enforcement Report

January to June 2020 Enforcement Report

April to December 2019 Enforcement Report