Emergency Management: Its
Role in Regulatory
Compliance Assurance
Gary Neilson, Emergency Management
May 13, 2015
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AER
!   Our regulatory system sets out
requirements for the
responsible development of
Alberta’s energy resources.
AER Regulatory
System
!   Compliance assurance is a key
component of the regulatory
process.
!   The system allows us to
!   assess compliance and
!   address noncompliance.
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AER
Compliance Assurance
Components
Compliance
Assurance
System
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Education
Prevention
Enforcement
Communication
Inspections &
Audits
Remedial
Training
Monitoring
Investigation
Information &
Data Sharing
Performance
Reporting
Enforcement
Actions
AER
!   Holistic
!   prevent/mitigate, prepare,
respond, recover.
Emergency
Management
Objectives
!   Principle based*
!   partnerships, risk-based, ethical,
continuous improvement, etc.
!   Fundamentally - doing the right
things, in the right way to
identify and mitigate risks.
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*An Emergency Management Framework for Canada - 2nd Edition
AER
!   Ethical
!   Transparent
Compliance
Assurance
Principles
!   Knowledge
!   Risk-based
!   Collaborative
!   Progressive
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AER
!   Increase awareness and
understand existing and
emerging requirements.
Education
!   Communicate expectations.
!   Promote continuous
improvement.
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AER
!   Verify compliance.
Prevention
!   Conduct activities that test
industry compliance to
requirements.
!   Activities that occur in
response to an incident
!   Incident response (24/7
response capability).
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AER
!   Remedial
!   correct the non-compliance;
mitigate impact; determine root
cause.
!   Notice of non-compliance.
Enforcement
!   Notice of investigation.
!   Investigation.
!   Procedural fairness.
!   Statutory decision making.
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!   Enforcement response.
AER
Appeal Process
!   Regulatory appeal process.
!   Court of Appeals.
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AER
!   Monitor the system to ensure
effectiveness, efficiency,
consistency, transparency.
Continuous
Improvement
!   Repeat.
!   Respond.
!   Share information.
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AER
QUESTIONS?
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