The AUC’s electronic filing tool used to manage, search and upload application documents
Rules that set out requirements and processes for all entities under the AUC’s jurisdiction
Full list of all recently issued regulatory documents
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How the AUC reviews and determines utility rates
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Highlighting a few projects and applications currently being reviewed and considered
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A list of active registered applications being considered
What is involved in reviewing power generation facilities in Alberta
Established process to review applications
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Your source for AUC news, bulletins and announcements
Electric, gas, water utilities and renewable power generation
Stories of innovative regulatory solutions for Albertans and happenings at the AUC
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:
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:
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:
At the conclusion of the investigation, the Executive Director of Enforcement will review the evidence and determine one of three potential outcomes:
When considering whether to commence enforcement action (i.e. an enforcement proceeding), the Executive Director of Enforcement 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 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
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