Markets – Enforcement
Application
AUC Enforcement staff requested approval of a settlement agreement with the City of Calgary (“Calgary”). In Proceeding 26615, Calgary disclosed confidential information on the public record on two occasions contrary to s 30.11 of Rule 001: Rules of Practice and Form RP5 (confidentiality undertakings) (the “Contravention”). The parties agreed to an administrative penalty of $5,000.
Decision
The AUC approved the settlement agreement between AUC Enforcement staff and Calgary.
Applicable Legislation
Alberta Utilities Commission Act, SA 2007, c A-37.2.
AUC Rule 001: Rules of Practice – ss 30, 76(1)(e).
AUC Rule 013: Criteria Relating to the Imposition of Administrative Penalties.
Pertinent Issues
The AUC applies the “public interest test” to determine if it will approve settlement agreements and related applications.
In assessing the seriousness of the contravention, the parties highlighted the following:
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The harm caused was the failure to comply with a confidentiality order of the AUC, which resulted in the public release of information from Proceeding 26615;
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The harm was of limited duration, scope and impact. The information was publicly available for less than two hours following both breaches. It is unknown who, if anyone, may have improperly accessed the information from the first breach;
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ATCO Electric Ltd. notified the AUC of the breaches. There was nothing filed on the record in Proceeding 26615 to suggest harm from the public disclosure;
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The contravention was a repeat offence and not an isolated incident;
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In a subsequent ruling and in Decision 27403-D01-2022, the AUC panel for Proceeding 26615 determined that some of the previously disclosed information was not confidential information and could have been disclosed on the public record; and
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Calgary is funded through Calgary taxpayers, and Calgary taxpayers would pay for any administrative penalty.
Considering the circumstances surrounding the breaches and the agreement reached between the parties, the AUC was satisfied that the public interest test was met by approving the settlement agreement. The settlement agreement requires the City of Calgary to pay an administrative penalty of $5,000 to the General Revenue Fund of Alberta under ss 63(1)(a) and 63(2)(a) of the Alberta Utilities Commission Act.
