Regulatory Law Chambers logo

Repeal of Rule 030: Compliance with the Code of Conduct Regulation, AUC Bulletin 2021-06

Link to Bulletin Summarized


On November 5, 2020, amendments to the Code of Conduct Regulation were enacted. With these changes, the AUC has repealed Rule 030: Compliance with the Code of Conduct Regulation to streamline compliance reporting and align the timeframe for compliance audits with the amended regulation on a go-forward basis. The repeal of Rule 030 is effective as of April 1, 2021.

Organizations are required to submit their annual compliance report in accordance with Section 33(1) of the Code of Conduct Regulation. No further compliance reports outside of those directed to be submitted under the regulation are required to be submitted.

To spread audit engagements over a 10-year rolling cycle, starting in 2022, the AUC has adopted a staggered approach to audit frequency. Audits will be prioritized based on the risk of non-compliance, changes in circumstances, and resource capacity, with the goal to complete all audits by 2028. Each utility will be notified of its scheduled audit at least three months in advance of the engagement. The following ten utilities fall within the audit requirements under the regulation:

·         Apex Utilities Inc.;

·         ATCO Ltd.;

·         Battle River Power Co-op;

·         City of Lethbridge;

·         City of Red Deer;

·         Direct Energy Marketing Limited;

·         ENMAX Corporation;

·         EPCOR Utilities Inc.;

·         EQUS REA Ltd.; and

·         FortisAlberta Inc.

Related Posts