Enforcement process and reporting

Ensuring regulated utilities comply with AUC decisions, orders, rules and relevant legislation.

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:

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.

Following the preliminary examination, the Executive Director of Enforcement 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 Executive Director of Enforcement 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 Executive Director of Enforcement 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.

July to December 2023 Enforcement Report
January to June 2023 Enforcement Report
July to December 2022 Enforcement Report
January to June 2022 Enforcement Report
July to December 2021 Enforcement Report
January to June 2021 Enforcement Report
July to December 2020 Enforcement Report
January to June 2020 Enforcement Report​
April to December 2019 Enforcement Report