ATCO Electric Utilities Act Code of Conduct Regulation Compliance Plan

Transcription

1 ATCO Electric Utilities Act Code of Conduct Regulation Compliance Plan ATCO Compliance Plan January 2, 2014

2 ATCO Electric Utilities Act Code of Conduct Regulation Compliance Plan PURPOSE... 3 PART 1 INTERPRETATION DEFINITIONS RETAINED FOR NUMBERING CONSISTENCY... 5 PART 2 CONDUCT OF OWNERS AND RETAILERS BEHAVIOUR OF OWNERS AND RETAILERS... 5 DIVISION 1 EQUALITY OF TREATMENT OF CUSTOMERS TYING PROHIBITED TRANSFER OF CUSTOMERS REPRESENTATIONS ADVERTISING MEETINGS BY ATCO ELECTRIC WITH RETAILERS AND CUSTOMERS... 7 DIVISION 2 CONFIDENTIALITY OF CUSTOMER INFORMATION CONFIDENTIALITY RULE DISCLOSURE OF CUSTOMER INFORMATION WITH CONSENT DISCLOSURE TO TWO OR MORE RETAILERS HISTORICAL ELECTRIC ENERGY CONSUMPTION AGGREGATED CUSTOMER INFORMATION... 9 DIVISION 3 EQUALITY OF TREATMENT OF RETAILERS EQUAL TREATMENT EQUAL NOTICE OF CHANGES DIVISION 4 BUSINESS PRACTICES OF OWNERS AND RETAILERS CONDITIONS OF ACCESS TO WRITTEN COMMUNICATIONS WITH CUSTOMERS PROHIBITIONS PART 3 RELATIONSHIP BETWEEN OWNERS AND THEIR AFFILIATED RETAILERS DIVISION 1 PREVENTING UNFAIR COMPETITIVE ADVANTAGE EFFICIENCY WITHOUT UNFAIR COMPETITION NON-DISCLOSURE OF CUSTOMER INFORMATION FOR MARKETING OR SALES PURPOSES CUSTOMER INFORMATION FROM EMPLOYEES AND OTHERS JOINT ACQUISITIONS, RESEARCH AND DISPOSITIONS GOODS AND SERVICES TRANSACTIONS TO BE AT FAIR MARKET VALUE FINANCIAL TRANSACTIONS RETAINED FOR NUMBERING CONSISTENCY ACCESS TO PUBLICLY AVAILABLE INFORMATION DIVISION 2 SEPARATE RECORDS AND ACCOUNTS RECORDS AND ACCOUNTS ATCO Compliance Plan January 2,

3 28.0 WRITTEN FINANCIAL TRANSACTIONS TRANSACTION RECORDS MAINTAINING RECORDS PART 4 COMPLIANCE REQUIREMENTS DIVISION 1 COMPLIANCE PLANS AND REPORTS COMPLIANCE PLAN RETAINED FOR NUMBERING CONSISTENCY CHANGES TO COMPLIANCE PLAN QUARTERLY AND ANNUAL REPORTS INFORMATION ABOUT MSA RETAINED FOR NUMBERING CONSISTENCY NO RELEASE FROM OBLIGATIONS UNDER REGULATION DIVISION 2 COMPLIANCE AUDIT RETAINED FOR NUMBERING CONSISTENCY RETAINED FOR NUMBERING CONSISTENCY AUDIT RETAINED FOR NUMBERING CONSISTENCY PART 5 COMPLAINTS, EXEMPTIONS AND EXCEPTIONS RETAINED FOR NUMBERING CONSISTENCY ALTERNATIVE COMPLIANCE ARRANGEMENTS EMERGENCY EXCEPTIONS PART 6 TRANSITIONAL PROVISIONS, REPEAL AND COMING INTO FORCE ATCO Compliance Plan January 2,

4 Purpose ATCO Electric Utilities Act Code of Conduct Regulation Compliance Plan ATCO Electric Ltd. ( ATCO Electric ) builds, owns, operates and maintains electric transmission and distribution facilities in Alberta. ATCO Electric is the Owner of an electric distribution system under the Electric Utilities Act S.A. 2003, ce-51 (the EUA Act ) and provides Regulated Electricity Services as defined in the Electric Utilities Act Code of Conduct Regulation A.R. 160/2003 (the Regulation ). ATCO Power Canada Ltd. ( ATCO Power ) is an experienced builder, owner and operator of independent power generation plants. ATCO Power has qualified as a Retailer in ATCO Electric s service territory and will provide Retail Electricity Services to commercial and industrial customers. As a result, ATCO Power will be an Affiliated Retailer of ATCO Electric, in accordance with Section 2 of the Regulation. ATCO Electric and ATCO Power operate as distinct and separate companies. The two companies do not share computer systems or employees, and each company has distinct and separate business processes. On May 4th, 2004 ATCO Electric transferred its regulated retail energy business to Direct Energy Marketing Limited ( DEML ). ATCO Electric also granted DEML s regulated entity, Direct Energy Regulated Services, the right to act as the regulated rate provider and the obligation to provide electricity services to eligible customers in ATCO Electric s service territory under a regulated rate tariff. ATCO Electric does not provide electricity to customers, but continues to provide all other Regulated Electricity Services required of an Owner. ATCO Electric is fully compliant with all rules and regulations that support retail competition in Alberta, enabling customers to choose any retailer. Because ATCO Electric and ATCO Power are affiliated, before ATCO Power provides Retail Electricity Services to customers, ATCO Power and ATCO Electric must obtain approval of this ATCO Electric Utilities Act Code of Conduct Regulation Compliance Plan (the ATCO Compliance Plan ) from the Market Surveillance Administrator (the MSA ) in accordance with the Regulation. The ATCO Compliance Plan describes the systems, policies and mechanisms that ATCO Electric and ATCO Power will use to ensure compliance in accordance with the Regulation. ATCO Electric and ATCO Power are jointly referred to as ATCO for the purposes of this document. Questions or comments concerning the ATCO Compliance Plan should be directed to either the ATCO Electric Compliance Officer or the ATCO Power Compliance Officer (the Compliance Officers ). Contact information for the Compliance Officers and a copy of the ATCO Compliance Plan are available at and ATCO Compliance Plan January 2,

5 The numbering used in the ATCO Compliance Plan is consistent with the numbering used in the Regulation. 1.0 Definitions Part 1 Interpretation Capitalized words and phrases used in the ATCO Compliance Plan shall have the meanings set out in the Regulation and the ATCO Compliance Plan. In the event of any inconsistency in the definitions between the Regulation and the ATCO Compliance Plan, the ATCO Compliance Plan definitions will prevail. a) AESO means the Alberta Electric System Operator. b) Affiliated Retailer has the meaning as defined in the Regulation. c) Annual Compliance Report contains: a) any non-compliance with the Regulation or the ATCO Compliance Plan; b) the action taken to remedy the non-compliance; and c) any complaints of non-compliance with the Regulation or the ATCO Compliance Plan, and how the complaints have been dealt with. d) AUC means the Alberta Utilities Commission. e) AUC Rule 004 means AUC Rule 004 Alberta Tariff Billing Code. f) AUC Rule 010 means AUC Rule 010 Rules on Standards for Requesting and Exchanging Site-Specific Historic Usage Information for Retail Electricity and Natural Gas Markets Rules. g) AUC Rule 021 means AUC Rule 021 Settlement System Code Rules. h) Compliance Training Material means the material developed by ATCO prior to the end of each calendar year that will be used to ensure that officers, employees, contractors and agents of ATCO are informed about the provisions of the Regulation, the ATCO Compliance Plan, and their duties and responsibilities. The material will include the following topics: Equal treatment for customers; Protecting confidential Customer Information; Equal treatment for Retailers; and Preventing unfair competitive advantage for Affiliated Retailers. i) Customer Information has the meaning as defined in the Regulation. j) Fair Market Value has the meaning as defined in the Regulation. k) Fair Trading Act means the Fair Trading Act (R.S.A. 2000, c. F-2). l) Owner has the meaning as defined in the Regulation. m) Quarterly Compliance Report contains: a) any non-compliance with the Regulation or the ATCO Compliance Plan; b) the action taken to remedy the non-compliance; and c) any complaints of non-compliance with the Regulation or the ATCO Compliance Plan, and how the complaints have been dealt with. n) Regulated Electricity Service has the meaning as defined in the Regulation. o) Retail Electricity Services has the meaning as defined in the Regulation. ATCO Compliance Plan January 2,

6 p) Retailer has the meaning as defined in the Regulation. q) Terms and Conditions means ATCO Electric s Retailer Terms and Conditions for Electric Distribution Service. The Terms and Conditions are available at r) UCA means the Utilities Consumer Advocate. 2.0 Retained for Numbering Consistency 3.0 Behaviour of Owners and Retailers Part 2 Conduct of Owners and Retailers ATCO Electric and ATCO Power will conduct themselves and their activities so as to comply with and to ensure compliance with the Regulation and the ATCO Compliance Plan to meet the requirements in accordance with the Regulation. 1. The Compliance Officers each will identify the applicable employees to be trained on the requirements of the Regulation and the ATCO Compliance Plan in their respective companies. 2. Annually, the Compliance Officers will ensure that when employment commences, ATCO Electric and ATCO Power each will train applicable employees using the Compliance Training Material and applicable employees will acknowledge the requirements. 3. Annually, the Compliance Officers will ensure that ATCO Electric and ATCO Power each will train applicable employees using the Compliance Training Material and applicable employees will acknowledge the requirements. 4. Human Resources will maintain the ATCO Electric written acknowledgements. 5. The ATCO Power Compliance Officer will maintain the ATCO Power written acknowledgements. 6. Annually, the Compliance Officers each will confirm that applicable contractors and agents each will be provided with the Compliance Training Material on commencement of their relationship with ATCO Electric or ATCO Power. ATCO Compliance Plan January 2,

7 4.0 Tying Prohibited Division 1 Equality of Treatment of Customers ATCO will not require or induce customers to acquire goods or services from ATCO Power or any other Retailer by making or appearing to make Regulated Electricity Services conditional on the acquisition of those goods or services, to meet the requirements in accordance with the Regulation. 1. The in Section ATCO Power s Compliance Officer will ensure all communication with customers, whether in writing, by telephone, or by any electronic means, for sales and marketing purposes of Retail Electricity Services, will clearly distinguish ATCO Electric and ATCO Power as separate entities. The name and logo of ATCO Electric and ATCO Power will indicate that they are separate entities. 3. Quarterly, ATCO Electric s Compliance Officer will review examples of material used for marketing Regulated Electricity Services and will maintain a written record of this review. 4. Quarterly, ATCO Power s Compliance Officer will review examples of material used for marketing Retail Electricity Services and will maintain a written record of this review. 5.0 Transfer of Customers ATCO Electric will not, without the customer s consent, transfer the customer to a Retailer or to a Retail Electricity Services tariff to meet the requirements in accordance with the Regulation. 1. ATCO Electric will only accept requests to transfer customers from Retailers who have successfully completed the ATCO Electric Retailer qualification process available at Successful completion of this process will ensure that the Retailer meets the AESO s Retailer requirements, and that the Retailer will comply with AUC Rule 021 and the Fair Trading Act. 6.0 Representations To meet the requirements in accordance with the Regulation, ATCO will not represent or imply in any way in communications with customers or ATCO Compliance Plan January 2,

8 the public, that present or future customers of ATCO Power will receive treatment from ATCO Electric that is different from the treatment received by present or future customers of other Retailers. 1. The in Section Advertising ATCO will have distinct names and logos that indicate ATCO Electric and ATCO Power are separate entities to meet the requirements in accordance with the Regulation. 1. The in Section Meetings by ATCO Electric with Retailers and Customers ATCO Electric will make reasonable efforts to be equally available to all Retailers for joint meetings with the Retailer and the Retailer s customers to meet the requirements in accordance with the Regulation. 1. ATCO Electric will publish and maintain the ATCO Electric Retailer Guide which will provide an overview of ATCO Electric s processes that will enable all Retailers to effectively deal with the company in the same way. The ATCO Electric Retailer Guide is available at 2. The ATCO Electric Compliance Officer will maintain a record of all joint meetings with the Retailer and the Retailer s customers. 9.0 Confidentiality Rule Division 2 Confidentiality of Customer Information ATCO will protect the confidentiality of Customer Information to meet the requirements in accordance with the Regulation. 1. The Compliance Officers each will make their company s privacy commitments available at and ATCO Compliance Plan January 2,

9 2. The Compliance Officers each will ensure that their company s contracts with agents and contractors will include provisions designed to maintain the confidentiality of Customer Information. 3. Annually, ATCO Electric s Compliance Officer will review the data management and data access protocols to ensure ATCO Power is not permitted access to ATCO Electric s Customer Information System. 4. Annually, ATCO Power s Compliance Officer will review the data management and data access protocols to ensure ATCO Electric is not permitted access to ATCO Power s Customer Information System Disclosure of Customer Information with Consent ATCO will only disclose Customer Information to meet the requirements in accordance with the Regulation. 1. ATCO Electric will only disclose Customer Information to a customer, or an agent appointed by a customer, after the customer has executed and submitted an Authorization and Release Form, which is available at 2. ATCO Electric will only disclose Customer Information to a Retailer that has executed and submitted a Representation and Warranty Agreement, which is available at 3. ATCO Electric will follow the requirements described in AUC Rule 010 for responding to requests from Retailers for Customer Information. 4. ATCO Power will not disclose Customer Information to a Retailer. 5. ATCO Power will only disclose Customer Information to the customer at the customer s request. 6. ATCO Power s contract for Retail Electricity Services with each of its customers will contain provisions addressing the confidentiality of Customer Information and customer consent to the use and disclosure of Customer Information Disclosure to Two or More Retailers If a customer authorizes that its information is to be disclosed by ATCO Electric to two or more Retailers, ATCO Electric will disclose the same information to those Retailers at the same time and in the same manner, to meet the requirements in accordance with the Regulation. ATCO Compliance Plan January 2,

10 1. Mechanism 1 in Section Mechanism 2 in Section Mechanism 3 in Section Conditions on Disclosure of Customer Information ATCO Electric will only disclose Customer Information to a Retailer to meet the requirements in accordance with the Regulation. 1. Mechanism 1 in Section Mechanism 2 in Section Mechanism 3 in Section Historical Electric Energy Consumption ATCO Electric will only provide the applicant with historical electric energy consumption information to meet the requirements in accordance with the Regulation. 1. Mechanism 1 in Section Mechanism 2 in Section Mechanism 3 in Section Aggregated Customer Information ATCO Electric will only provide a Retailer with aggregated Customer Information to meet the requirements in accordance with the Regulation. 1. ATCO Electric will manage all Retailer requests for aggregated Customer Information as per the Terms and Conditions and the ATCO Electric Retailer Guide, which are available at ATCO Compliance Plan January 2,

11 Division 3 Equality of Treatment of Retailers 15.0 Equal Treatment ATCO Electric s Terms and Conditions will not give preferential treatment to its Affiliated Retailer or to customers of its Affiliated Retailer, or discriminate against any Retailer or against customers of any Retailer, to meet the requirements in accordance with the Regulation. 1. ATCO Electric will manage all market interactions with Retailers and its Affiliated Retailer in accordance with the Terms and Conditions and distribution tariffs, which are available at 2. ATCO Electric will manage all market interactions with Retailers and its Affiliated Retailer according to the requirements set out in AUC Rule 004, AUC Rule 010 and AUC Rule Mechanism 1 in Section The in Section Equal Notice of Changes Changes by ATCO Electric to its Regulated Electricity Services or the Terms and Conditions that apply to those services, will be communicated to all Retailers at the same time and in the same manner to meet the requirements in accordance with the Regulation. 1. ATCO Electric will collect and maintain a list of contacts for all Retailers who are qualified to sell Retail Electricity Services in ATCO Electric s service territory. ATCO Electric will notify these Retailers by at the same time when there are changes to the Terms and Conditions or distribution tariffs. The notice will include a link to the revised documents. ATCO Compliance Plan January 2,

12 Division 4 Business Practices of Owners and Retailers 17.0 Conditions of Access to Written Communications with Customers ATCO Electric will not permit access by any Retailer to ATCO Electric s written communications with customers, including billing envelopes, for sales and marketing purposes, to meet the requirements in accordance with the Regulation. 1. None required Prohibitions ATCO Electric will abide by the prohibition requirements contained in the Regulation. 1. The in Section ATCO Electric s call centre process and procedure training will address requests for information about Retail Electricity Services, and will direct the customer to the UCA website at 3. ATCO Electric will perform compliance assurance checks on recorded telephone calls to validate that customers are not provided with information on Retail Electricity Services and are referred to the UCA approved list of Retailers when appropriate. 4. ATCO Electric will not permit users to access websites of Retailers from its website without stating that customers are free to choose any Retailer and referring customers to the UCA approved list of Retailers. ATCO Compliance Plan January 2,

13 Part 3 Relationship Between Owners and their Affiliated Retailers Division 1 Preventing Unfair Competitive Advantage 19.0 Efficiency Without Unfair Competition ATCO may make arrangements to create cost efficiencies in operations but will not create an unfair competitive advantage for ATCO Power, to meet the requirements in accordance with the Regulation. 1. Quarterly, the ATCO Controllers each will review arrangements intended to create cost efficiencies in operations between the companies. 2. The Compliance Officers each will review the quarterly results Non-Disclosure of Customer Information for Marketing or Sales Purposes ATCO Electric will ensure that its Customer Information is not disclosed or made available to any Retailer for the purposes of marketing or sales of Retail Electricity Services, to meet the requirements in accordance with the Regulation. 1. The in Section The in Section Customer Information from Employees and Others ATCO Power will not seek or receive Customer Information from a current or former officer, employee, agent or contractor of ATCO Electric for sales or marketing purposes in accordance with the Regulation. 1. The in Section 3.0. ATCO Compliance Plan January 2,

14 22.0 Joint Acquisitions, Research and Dispositions To prevent the creation of an unfair competitive advantage for ATCO Power, ATCO will allocate and record the economic benefits or costs attributable to each party for joint acquisitions, shared costs or expenses associated with research and development, or selling, leasing or disposing of jointly acquired property, to meet the requirements in accordance with the Regulation. 1. Quarterly, the ATCO Controllers each will review all transactions for joint acquisitions, shared research and development, or selling, leasing or disposing of jointly acquired property between ATCO Electric and ATCO Power. 2. Mechanism 2 in Section Goods and Services Transactions to be at Fair Market Value All transactions involving the sale, lease, exchange, transfer or other disposition of goods or services between ATCO Electric and ATCO Power will be recorded and priced at Fair Market Value to prevent the creation of an unfair competitive advantage for ATCO Power, to meet the requirements in accordance with the Regulation. If the value of the transaction for goods or services is regulated by a municipal, provincial or federal government or government agency, the regulated value will be considered the Fair Market Value. 1. Quarterly, the ATCO Controllers each will review transactions involving the sale, lease, exchange, transfer or other disposition of goods or services between ATCO Electric and ATCO Power. 2. The ATCO Controllers each will use any reasonable method of demonstrating Fair Market Value and will document the confirmation of Fair Market Value at the time a transaction occurs Financial Transactions ATCO Electric will not provide a loan, guarantee, security or other financial transaction on terms more favorable to ATCO Power than ATCO Power could obtain in the open market to prevent the creation of an unfair competitive advantage for ATCO Power, to meet the requirements in accordance with the Regulation. ATCO Compliance Plan January 2,

15 1. Quarterly, the ATCO Controllers each will review the documented terms of all financial transactions between ATCO Electric and ATCO Power Retained for Numbering Consistency 26.0 Access to Publicly Available Information ATCO Electric will not restrict access to information available to the public to meet the requirements in accordance with the Regulation. 1. None required Records and Accounts Division 2 Separate Records and Accounts ATCO will maintain separate records and accounts to meet the requirements in accordance with the Regulation and the ATCO Compliance Plan. 1. The Compliance Officers each will separately maintain the required records and accounts for audit purposes Written Financial Transactions Every financial transaction between ATCO Electric and ATCO Power will be documented to prevent the creation of an unfair competitive advantage for ATCO Power, to meet the requirements in accordance with the Regulation. 1. Quarterly, the ATCO Controllers each will review the documented terms of all financial transactions between ATCO Electric and ATCO Power Transaction Records All transactions involving the sale, lease, exchange, transfer or other disposition of goods or services between ATCO Electric and ATCO Power will be recorded to meet the requirements in accordance with the Regulation. ATCO Compliance Plan January 2,

16 1. The ATCO Controllers together will document in an agreement all transactions for goods and services between ATCO Electric and ATCO Power when the total cost of those transactions exceeds $500,000 annually. 2. Annually, the Compliance Officers each will review all goods and services transactions between ATCO Electric and ATCO Power Maintaining Records ATCO Electric and ATCO Power will maintain separate documentation to meet the requirements in accordance with the Regulation and the ATCO Compliance Plan. 1. The Compliance Officers each will separately maintain the required documentation for at least six years Compliance Plan Part 4 Compliance Requirements Division 1 Compliance Plans and Reports Before ATCO Power begins to provide Retail Electricity Services to customers, ATCO will meet the requirements in accordance with the Regulation. 1. The Compliance Officers together will develop the ATCO Compliance Plan that describes the systems, policies and mechanisms that ATCO will use to ensure compliance with the Regulation. 2. The Compliance Officers together will file the ATCO Compliance Plan with the MSA and request approval. 3. The Compliance Officers each will distribute a copy of the approved ATCO Compliance Plan to applicable employees. 4. The Compliance Officers each will ensure that the ATCO Compliance Plan is implemented through the mechanisms contained herein. ATCO Compliance Plan January 2,

17 5. The Compliance Officers each will monitor and enforce compliance with the Regulation and the ATCO Compliance Plan through the mechanisms contained herein. 6. The Compliance Officers each will review and document any non-compliance with the Regulation or the ATCO Compliance Plan and its resolution. 7. Quarterly, the Compliance Plan Committees each will review the action taken to remedy any non-compliance. 8. The Compliance Officers each will review, make every reasonable effort to resolve, and document all complaints received about non-compliance with the Regulation or the ATCO Compliance Plan and how the complaints have been dealt with. 9. Quarterly, the Compliance Plan Committees each will review how the complaints have been dealt with Retained for Numbering Consistency 33.0 Changes to Compliance Plan ATCO will amend the ATCO Compliance Plan to reflect changes in circumstances and changes to the Regulation, to meet the requirements in accordance with the Regulation. 1. At least annually, the Compliance Officers together will review the ATCO Compliance Plan and determine if amendments are required Quarterly and Annual Reports ATCO will report compliance with the Regulation and the ATCO Compliance Plan to meet the requirements in accordance with the Regulation. 1. Quarterly, the ATCO Electric Compliance Officer will prepare a Quarterly Compliance Report and the ATCO Electric Compliance Plan Committee will review the report before the ATCO Electric Compliance Officer provides the report to ATCO Electric s Board of Directors. 2. Quarterly, the ATCO Power Compliance Officer will prepare a Quarterly Compliance Report and the ATCO Power Compliance Plan Committee will review the report before the ATCO Power Compliance Officer provides the report to ATCO Power s Board of Directors. ATCO Compliance Plan January 2,

18 3. The Compliance Officers together will provide the approved quarterly compliance reports to the MSA within 60 days following the end of each quarter. 4. The ATCO Electric Compliance Officer will prepare an Annual Compliance Report and the ATCO Electric Compliance Plan Committee will review the report before the ATCO Electric Compliance Officer provides the report to ATCO Electric s Board of Directors for approval. 5. The ATCO Power Compliance Officer will prepare an Annual Compliance Report and the ATCO Power Compliance Plan Committee will review the report before the ATCO Power Compliance Officer provides the report to ATCO Power s Board of Directors for approval. 6. The Compliance Officers together will provide the approved annual compliance reports to the MSA within 90 days following the end of each calendar year Information about MSA ATCO will give notice to the public that complaints about contraventions of this Regulation may be made to the MSA to meet the requirements in accordance with the Regulation. 1. The Compliance Officers together will provide the notice to the MSA for approval prior to publication of the notice. 2. The Compliance Officers each will ensure the approved notice is available at and Retained for Numbering Consistency 37.0 No Release from Obligations Under Regulation Compliance by either ATCO Electric or ATCO Power with the ATCO Compliance Plan requirements does not release either ATCO Electric or ATCO Power from complying with the Regulation. 1. None required. ATCO Compliance Plan January 2,

19 38.0 Retained for Numbering Consistency 39.0 Retained for Numbering Consistency 40.0 Audit Division 2 Compliance Audit ATCO will meet the audit obligations of the Regulation, as directed by the MSA. 1. None required Retained for Numbering Consistency Part 5 Complaints, Exemptions and Exceptions 42.0 Retained for Numbering Consistency 43.0 Alternative Compliance Arrangements ATCO may apply to the MSA for exemptions from any provisions of the Regulation to meet the requirements in accordance with the Regulation. 1. None required Emergency Exceptions Any action taken by ATCO in response to an emergency that threatens public safety, the safety of officers, employees, contractors or agents, the physical integrity of their facilities or system reliability does not contravene the Regulation or the ATCO Compliance Plan. 1. The Compliance Officers each will record any emergency action that contravenes the Regulation or the ATCO Compliance Plan and report the emergency action to the MSA as appropriate. ATCO Compliance Plan January 2,

20 Part 6 Transitional Provisions, Repeal and Coming into Force The requirements contained in Part 6 of the Regulation are not applicable to ATCO. The ATCO Compliance Plan will be effective on the date it is approved by the MSA and remains effective until amended or revoked. ATCO Compliance Plan January 2,