Code of Conduct Compliance Plan Amendments
In this decision, the Alberta Utilities Commission (“AUC”) approved the application of Apex Utilities Inc. (“AUI”) to amend its Code of Conduct Regulation Compliance Plan (“Compliance Plan”).
AUI filed an application with the AUC on February 8, 2021, requesting approval of changes to its Compliance Plan to reflect the changes introduced to the Compliance Plan Regulation (“CCR”) on November 12, 2020. This application was approved on March 24, 2021, in Decision 26302-D01-2021.
On July 12, 2021, the AUC issued a letter advising of its intention to introduce specific provisions within Compliance Plans concerning the AUC’s audit oversight and the obligation of parties to retain records for the purposes of that audit. In response,AUI filed a post-disposition submission on September 24, 2021, requesting approval of the further amendments to its Compliance Plan.
In its application, AUI sought approval of changes to sections of the Compliance Plan regarding reporting periods, the list of compliance records and providing the Compliance Plan to affected parties. The AUC was satisfied that the amendments align with Section 40 of the CCR and that the changes reflect the repeal of AUC Rule 030. The AUC proposed minor changes in the language of the section regarding the requirement to provide the AUC with a copy of the Compliance Plan once it is approved.
Subject to the minor language change, that AUC approved the application for the amendment of the CCR Compliance Plan.