Code of Conduct Compliance Plan
In this decision, the AUC considered the application from Apex Utilities Inc. (“AUI”) for approval of changes to its Code of Conduct Regulation Compliance Plan. The AUC approved the applied for amendments in part.
Background
AUI filed its application pursuant to Section 32 of the Code of Conduct Regulation (“CCR”). As of November 12, 2020, the Code of Conduct Regulation was amended to remove or update certain required sections from utilities’ Code of Conduct Regulation compliance plans.
AUI sought approval of changes to its compliance plan to reflect removal and amendments pursuant to the requirements of the amended CCR. AUI also made minor administrative changes, including changes to the numberings of sections, for consistency with the removed sections.
AUI submitted that changes to its compliance plan were minor and made to reflect the changes to the CCR. AUI made the proposed changes in an amended version of its compliance plan.
Findings
The AUC was satisfied that the removal of sections and other administrative amendments made by AUI, as set out above, would be consistent with continued compliance with and sufficiently address the requirements of the CCR.
The AUC was concerned that the compliance plan contained 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. Therefore, the AUC directed AUI to include a specified text under ‘PART 8 COMPLIANCE AUDIT’ in its CCR Compliance Plan, setting out how AUI will ensure that the necessary files are kept.
The AUC directed that AUI filed the revised compliance plan by April 7, 2021. Effective April 1, 2021, the AUC approved AUI’s CCR Compliance Plan, with the changes directed by the AUC.
