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Amendments to Manual 013: Compliance and Enforcement Program

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Release Date: November 06, 2019


Today we released a new edition of Manual 013: Compliance and Enforcement Program. This manual provides details on how we administer compliance assurance, and it guides AER staff in the development and execution of compliance processes and procedures. Since the original release of this manual in February 2016, our compliance assurance program has evolved, requiring amendments to some of the sections. Some grammar and formatting was also amended for clarity.

Major changes include the following:

  • Section 3 has been expanded to discuss compulsory reporting as one way we become aware of noncompliances.
  • Sections 4 and 5 have been merged and simplified.
  • The following compliance and enforcement tools in section 6 have been clarified: notice of noncompliance, warning, and administrative sanctions.
  • The section on administrative penalties has been expanded to include economic benefit.
  • Section 6 now includes information on the compliance dashboard.

Manual 013 is available on the AER website, Printed copies of the directive can be purchased from AER Order Fulfillment, Suite 1000, 250 – 5 Street SW, Calgary, Alberta T2P 0R4; telephone: 403-297-8311 or 1-855-297-8311 (toll free; option 0); fax: 403-297-7040; email: @email.

If you have any questions or comments about this bulletin or the manual, contact the Customer Contact Centre by phone at 1-855-297-8311 or email at @email.