Code of Conduct Compliance Plan
In this decision, the AUC approved the application from ENMAX Corporation (“ENMAX”) for approval of its Code of Conduct Regulation (“CCR”) Compliance Plan, with the inclusion of provisions directed by the AUC.
Background
The CCR was amended, effective November 12, 2020, to remove or update various required sections from utilities’ CCR compliance plans.
Pursuant to Subsection 32(2) of the CCR, ENMAX requested approval of changes to its compliance plan to reflect the removal and amendments to the sections. ENMAX has also made some minor administrative changes.
AUC Findings
The AUC was satisfied that the removal of the affected sections and other administrative amendments made by ENMAX were consistent with continued compliance with the CCR. It also noted that the changes sufficiently addressed 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, it directed ENMAX to include a specific text under ‘DIVISION 3 COMPLIANCE AUDIT’ in its CCR Compliance Plan that would ensure that ENMAX Power Corporation and ENMAX Energy Corporation would retain the necessary records and accounts.
The AUC directed that ENMAX file the revised compliance plan, including this addition, no later than April 7, 2021. The AUC approved the ENMAX Corporation CCR Compliance Plan with the changes directed by the AUC.
