Code of Conduct Compliance Plan
In this decision, the AUC approved the application from FortisAlberta Inc. (“FortisAB”) to amend its Code of Conduct Compliance Plan (“Compliance Plan”) subject to a change ordered by the AUC.
Pursuant to subsection 32(2) of the Code of Conduct Regulation (“CCR”), FortisAB requested approval of changes to its Compliance Plan to reflect changes introduced to the CCR on November 12, 2020. FortisAB sought approval of changes reflecting minor administrative changes, its recently implemented annual refresher training requirement for all employees and officers, and changes reflecting the removal and amendments to sections of the CCR.
The AUC found that the Compliance Plan contains no provision for the creation and retention of the records required for the AUC to carry out its future audits, as required under Section 40 of the CCR. Accordingly, the AUC required that FortisAB includes the following text in its Compliance Plan after the policy statement in Section 40.0 “Audit:”
FortisAlberta Inc. will retain all code of conduct compliance records listed under Appendix A to the Compliance Plan for at least three years. The Commission may amend Appendix A from time to time on notice, and absent a registered objection, the proposed changes to the appendix will take effect within ten business days from the date of the notice.
FortisAB was further direct to amend its Compliance Plan to provide for the repeal of AUC Rule 030: Compliance with the Code of Conduct Regulation.