Code of Conduct Compliance Plan Amendments
In this decision, the AUC approved the application from ENMAX Power Corporation and ENMAX Energy Corporation (collectively, “ENMAX”) to amend its Code of Conduct Regulation (“CCR”) compliance plan (“Compliance Plan”).
In this application, filed pursuant to subsection 32(2) of the CCR, ENMAX applied for approval of changes to its Compliance Plan to incorporate the requirement to retain records for the purposes of an AUC audit as set out in s. 40 of the CCR; and changes to how it provides information to customers regarding the complaint process for contraventions of the CCR.
Changes to the Code of Conduct Regulation Compliance Plan
On March 31, 2021, the AUC issued Bulletin 2021-06: Repeal of Rule 030: Compliance with the Code of Conduction Regulation. S. 28, which required parties under the regulation to maintain records, was removed as part of the amendments following the repeal.
The AUC determined that, notwithstanding the amendments to the CCR and repeal of Rule 030, it would need parties to retain specific records to allow the AUC to continue to effectively carry out compliance audits. As a result, the AUC issued a letter on July 12, 2021 (the “Direction Letter”) introducing specific provisions to the CCR compliance plans, obligating parties to retain records for the purposes of audits.
The AUC found that the amendments to the compliance plan filed by ENMAX met the requirements detailed in the Direction Letter. However, the AUC determined that it is preferable to use an appendix rather than incorporating changes to various sections of the compliance plan, as proposed by ENMAX. As a result, the AUC directed ENMAX to incorporate the following changes to its compliance plan:
(a) Under s. 40 – Compliance Audit, Policy: ENMAX will retain all code of conduct compliance records listed under Appendix A for at least three years.
(b) The AUC may amend Appendix A to the Compliance Plan 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.
(c) Appendix A – List of code of conduct compliance records.
a. internal reporting documents including internal compliance assessment, Compliance Committee / Board minutes, compliance reports to Board;
b. training materials;
c. record of training;
d. compliance acknowledgements;
e. on-boarding / off-boarding processes and documentation;
f. record of employee transfers;
g. employee/contractor listing;
h. customer consent to disclose information;
i. customer enrollment records;
j. promotional materials;
k. IT security reports, including system access rights reports or system change reports where applicable;
l. agreements and contracts;
m. record of cost allocation and transactions between regulated and unregulated business units, divisions, or affiliated entities; and
n. audited financial statements, including annual financial statement audit reports.
ENMAX also proposed the removal of specific mechanisms under s. 34.0 – Information About Complaints. Under this section, ENMAX Energy Corporation is required to include a notice on its utility bills that states complaints regarding alleged contraventions of the CCR may be made to the AUC or the Market Surveillance Administrator.
The AUC determined that providing information about how to report an alleged contravention of the CCR on the ENMAX external website and removing the requirement to include this information through an annual notice on customer bills, as proposed by ENMAX, is a reasonable amendment and that doing so will provide clarity to customers regarding this matter. Accordingly, this proposed amendment was also approved.
Pursuant to subsection 32(3) of the CCR, the AUC approved the changes to the ENMAX CCR Compliance Plan, subject to the changes directed by the AUC.