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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 Investigations and Enforcement Proceedings Protocol governs the internal communication processes to be followed by Commission panel members, Commission staff and the Commission enforcement staff.
The AUC’s Code of Conduct and Ethics sets out rules regarding conflicts of interest and other matters for Commission members and employees. All Commission members and employees must complete an annual declaration of compliance with these rules.
The AUC approaches its compliance and enforcement work through three 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 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:
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:
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 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.
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