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Appendices

Appendix A

Appendix A: Board of Director’s Biographies

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Appendix B: Financial Overview²

The CER and its predecessor, the NEB, is funded through parliamentary appropriations with approximately 99% of its costs recovered by the Government of Canada from the industry the CER, and formerly the NEB, regulates. Financial statements are prepared annually and audited by the Office of The Auditor General of Canada (OAG). The table below provides an overview of NEB and CER financial and human resources, as reported in the public accounts.

Fiscal Year (1 April to 31 March)	Expenditures (Million $)	Staff (Full-time Equivalents)
2015-163	82.4	457.6
2016-17	84.6	474.5
2017-18	93.8	481.3
2018-19	108.1	476.5
2019-204,5	98.0	494.0

Appendix C: Service Standards Results

Service standards are not set out in legislation, although some of the CER’s service standards apply to applications that are also subject to the legislated time limits.

Service standards are established for service delivery so that applicants and participants know what to expect and the CER’s performance can be measured and reported. They identify specific delivery targets or timelines for key services.

2019-20 Service Standard Results:

Service Standard	Measure	Target	2019-20 Result
Participant Funding	80% of funding decisions are provided within 30 days of a complete application or application deadline.	80%	100%
Recommendation/Decision following a public hearing	80% of Reasons for Recommendation/Decision completed within 12 weeks following the close of record of a public hearing (all)	80%	81%
Export/ Import Authorizations	80% of short-term order decisions made within two working days (excludes renewals) of receipt of a complete application	80%	95%
Electricity Export Permits	80% of decisions released within target following the completion of the Notice of Application/Directions on Procedures period: Category A within 40 calendar days Category B within 90 calendar days	80%	100%
Landowner Complaints	100 % of responses with initial course of action to land matter complaints back to initiator within 10 calendar days	100%	100%
	80% of complaints are resolved or closed by the target date from received date: Level 1: within 21 days Level 2: within 180 days	80%	85%
Onshore Pipeline Regulations and Processing Plant Regulations Audits	80% of draft audit reports will be sent to the audited company within 12 weeks of field work completion	80%	50%
	80% of the final audit reports will be sent to the audited company within 12 weeks of receiving the audited company’s comments on the draft report	80%	75%
Financial Audits	80% of draft financial audit reports will be sent to the audited company within eight weeks of field work completion	80%	100%
	80% of final financial audit reports will be sent to company within three weeks of receiving the audited company’s comments on the draft report	80%	100%
Non-hearing: NEB Act Section 58 CER Act Section 214	80% of decisions released by the target date from the application complete: Category A within 40 calendar days Category B within 90 calendar days Category C within 120 calendar days	80%	84%
Canada Oil and Gas Operations Act Applications	Decisions are made by target date: 80% within 21 calendar days of receiving complete application to drill or alter condition of a well 80% within 30 calendar days of receiving complete application for geological or geophysical	80%	100%
Canada Petroleum Resources Act Applications	80% of decisions will be made in 90 days from the day that all information is available to complete the evaluation process.	80%	N/A
Library Requests	90% of requests responded to within one working day.	90%	89%

To learn more about the CER’s Service Standards refer to the website under CER Time Limits and Service Standards.

Appendix D: Regulations

The Canada Energy Regulator operates under a variety of acts, regulations, rules and guidance notes. The authority to make regulations, as specified in various sections of the CER Act, may be the Governor in Council (GIC), the Minister of Natural Resources (Minister), or the CER.

Note that regulations made pursuant to the National Energy Board Act (NEB Act) continue to apply until they are repealed or replaced, to the extent that they are consistent with the CER Act. In some cases, as indicated in the table below, regulations made under the NEB Act have been amended to replace certain terms with others specific to the CER Act.

Regulations that came into force in 2019-20:

Regulation Title	Made by the	Date Came into Force	Link
Pipeline Financial Requirements Regulations	GIC Pursuant to the NEB Act ss.48.12(6), 48.13(7), and 48.14(3)	11 July 2019 section 2; and section 4, with respect to a company referred to in section 2.	https://gazette.gc.ca/rp-pr/p2/2018/2018-07-11/html/sor-dors142-eng.html
Transitional Regulations for the Purpose of the National Energy Board Cost Recovery Regulations	GIC Pursuant to s.43 of the transitional provisions associated with the CER Act	8 August 2019	https://www.gazette.gc.ca/rp-pr/p2/2019/2019-08-21/html/sor-dors300-eng.html
Regulations Amending the Oil Product Designation Regulations (Miscellaneous Program)	GIC in consultation with the CER Pursuant to s.390 of the CER Act	16 March 2020	https://gazette.gc.ca/rp-pr/p2/2020/2020-04-01/html/sor-dors52-eng.html
Regulations Amending the National Energy Board Pipeline Damage Prevention Regulations – Authorizations (Miscellaneous Program)	CER Pursuant to s.335(5) of the CER Act	6 March 2020	https://gazette.gc.ca/rp-pr/p2/2019/2019-12-11/html/sor-dors349-eng.html
Circumstances for Excluding Periods from Time Limits Regulations	CER Pursuant to ss.216, 291.1 and 312.1 of the CER Act	2 December 2019	https://gazette.gc.ca/rp-pr/p2/2019/2019-12-11/html/sor-dors348-eng.html
International and Interprovincial Power Line Damage Prevention Regulations – Authorizations	CER Pursuant to ss.272(4) and 275(2) of the CER Act	16 March 2020	https://gazette.gc.ca/rp-pr/p2/2019/2019-12-11/html/sor-dors347-eng.html
International and Interprovincial Power Line Damage Prevention Regulations – Obligations of Holders of Permits and Certificates	CER with the approval of the GIC Pursuant to ss.96(c)-(f) and 275(3)(b) of the CER Act	16 March 2020	https://gazette.gc.ca/rp-pr/p2/2020/2020-04-01/html/sor-dors49-eng.html
Regulations Amending Certain Regulations Made Under the National Energy Board Act (Miscellaneous Program)	CER with the approval of the GIC Pursuant to ss.96, 335(5)-(6), and 389(1) of the CER Act	16 March 2020	https://gazette.gc.ca/rp-pr/p2/2020/2020-04-01/html/sor-dors50-eng.html
Regulations Amending Certain Regulations Made Under the National Energy Board Act	CER with the approval of the GIC Pursuant to s.389(1)(c) of the CER Act	16 March 2020	https://gazette.gc.ca/rp-pr/p2/2020/2020-04-01/html/sor-dors51-eng.html

To learn more about the CER’s regulatory framework refer to the CER’s website under Driving Regulatory Excellence.

Information about the CER’s regulatory plan can be found on the CER’s website under Forward Regulatory Plan.

Appendix E: Audits

Audits evaluate how a company manages its activities. We expect every company we regulate to have management systems and protection programs that are effective and work well. Companies that manage their activities well can better anticipate, prevent, and mitigate issues that can affect safety, security, and the environment.

After an audit is done, a report is made public. We expect all companies to consider and review the findings in these reports and use them to improve their management systems.

Management System Audits Conducted in 2019-20:

File Number	Date Report Issued	Issued By	Description	Recipient	Region/Facility
OF-SurvOpAud-P384-2019-2020-01 [PDF]	28 May 2020	CER	Audit of Control Room Management	Plains Midstream Canada ULC	Canada
OF-SurvOpAud-T217-2019-2020 01 [PDF]	25 March 2020	CER	Audit of Control Room Management	Trans-Northern Pipelines Inc.	Canada
OF-SurvOpAud-E101-2019-2020-01 [PDF]	11 March 2020	CER	Audit of Control Room Management	Enbridge Pipelines Inc.	Alberta
OF-SurvOpAud-T241-2018-2019 01 [PDF]	6 February 2020	CER	Pre-Construction Compliance Audit	TransCanada Keystone Pipeline GP Ltd.	Alberta, Saskatchewan, Manitoba
		CER	Audit of Owner Oversight over Contractors	Trans Mountain Pipeline ULC	Alberta, British Columbia
		CER	Audit of Owner Oversight over Contractors	Westcoast Energy Inc. doing business as Spectra Energy Transmission	Canada
		CER	Audit of Owner Oversight over Contractors	NOVA Gas Transmission Ltd.	Canada

* Note: Audit conducted in 2019-20 fiscal, report not yet finalized.

All operational audit reports and related documents can be found on the CER’s website under Reports on Compliance and Enforcement.

The CER considers financial regulatory audits to be an important regulatory tool to ensure compliance with the Canadian Energy Regulator Act, regulations, orders, and decisions, as well as documenting companies’ current operations, management systems, procedures and internal controls.

Objectives of financial regulatory audits are:

• To determine whether the company has complied with the CER Act, regulations, decisions, toll orders and other accounting and reporting directives.
• To verify that the financial information contained in various company applications or submissions to the CER agrees with the company’s records.
• To examine whether cross-subsidies have occurred.
• To obtain information on the company’s current operations, management systems, procedures and internal controls.

Regulations that came into force in 2019-20:

File Number	Date Report Issued	Issued By	Description	Recipient
C05277	17 March 2020	CER	Financial Regulatory Audit of Years 2016-2018	Alliance Pipeline Ltd.
C00658	24 July 2019	NEB	Financial Regulatory Audit of Years 2015-2017	Kinder Morgan Cochin ULC

All financial regulatory audit reports and related documents can be found on the CER’s website under Financial Regulatory Audit Reports.

Appendix F: Inspection Officer Orders in Effect

Inspections are a check at one point in time that a company is meeting requirements in acts, regulations, and conditions of a project’s approval, certificate, order, or permit. Inspections focus on 1 or 2 areas of a company’s operations.

If a situation requires immediate attention to keep people, property, and the environment safe, we may decide to issue an inspection officer order. The order will require a company to complete certain actions by a set date.

Inspection Officer Orders in Effect for 2019-20:

File Number	Date Issued	Issued By	Description	Recipient	Region/Facility
NB-001-2018 (Amendment No. 3)	24 December 2018	NEB	Amendment No.3 issued to temporarily increase Restricted Operating Pressure from Station 2 to Station 9 from 85% to 88% of respective segment’s 60 day high pressure prior to the incident until February 28, 2019.	Trans Northern Pipelines Inc.	Prince George, BC
MP-001-2019	2 August 2019	NEB	Deficiencies in the Environmental Remediation & Contaminated Sites Management Program	Trans Northern Pipelines Inc.	Ontario
JJD-001-2019	28 August 2019	CER	Repairs required to the swale system for water surface management	Trans Northern Pipelines Inc.	Belleville pump station, Ontario
MP-002-2019	2 October 2019	CER	Insufficient information provided in an Information Request on contaminated sites	TC Energy	Richmond Hill, Ontario
TH-001-2019	18 December 2019	CER	Lock-out-tag-out (LOTO) naming and tagging inconsistencies	NOVA Gas Transmission Ltd	Calgary (AB)
HCA-001-2020	28 January 2020	CER	Multiple non-compliances and/or hazards to the environment, including observations within the Peace Moberly Tract (PMT), a unique, environmentally sensitive area of great significance to local indigenous communities	NOVA Gas Transmission Ltd	North Montney Mainline Project, Spread 1, Chetwynd, BC

All Inspection Officer Orders and related documents can be found on the CER’s website under Reports on Compliance and Enforcement.

Appendix G: Warning Letters and Administrative Monetary Penalties

Warning Letters

Sometimes, we may decide that it’s important that a senior person in a company is aware of the seriousness of an issue. This person can then take action to stop it from happening again.

Warning Letters issued in 2019-20:

CER Action	Recipient	Description	Date issued
Warning Letter	Portal Municipal Gas Company of Canada	Non-compliance with ss. 6.6 of the Onshore Pipeline Regulations	2019-09-26 Warning Letter
Warning Letter	Canada Border Services Agency	Non-compliance with ss. 6.2 and 6.6 of the Onshore Pipeline Regulations	2019-09-26 Warning Letter

Administrative Monetary Penalties (AMPS)

Both companies and individuals can get fined for actions that are unsafe.

We may fine a company or individual if:

• serious harm has been caused or is likely to happen
• the nature and severity of the non-compliance is significant
• we need to escalate to a higher level of enforcement
• we need to change behavior to prevent an issue from happening again

While there were no AMPS issued in 2019-20, there was a decision review by the NEB on 14 June, 2019. For details on this review, refer to the appendices sectaion of the 2019-20 Annual Report of the Commission of the Canada Energy Regulator.

All warning letters and AMPS can be found on the CER’s website under Reports on Compliance and Enforcement.

Appendix H: Acronyms and Definitions

CER
Canada Energy Regulator

IAA
Impact Assessment Agency

IAC
Indigenous Advisory Committee

IAMC
Indigenous Advisory Monitoring Committee

LMG
Land Matters Group

NEB
National Energy Board

Cabinet
The body of advisors that sets the federal government’s policies and priorities for the country. Together they act in the name of the Queen’s Privy Council for Canada. The Governor General appoints the members of Cabinet on the advice of the Prime Minister. Almost all of Cabinet is selected from the House of Commons. From time to time, a Senator may be included to ensure all parts of the country are represented.

Core Responsibility
An enduring function or role performed by a department. The intentions of the department with respect to a Core Responsibility are reflected in one or more related Departmental Results that the department seeks to contribute to or influence.

Departmental Results Framework
A report on an appropriated department’s actual accomplishments against the plans, priorities and expected results set out in the corresponding Departmental Plan.

Open Government
Open Government is about making government more accessible to everyone. The Open Government Partnership is an international association of more than 60 countries, including Canada, working to promote transparency, empower citizens, fight corruption, and harness new technologies to strengthen governance.

Performance Measure
A qualitative or quantitative means of measuring an output or outcome, with the intention of gauging the performance of an organization, program, policy or initiative respecting expected results.

Program
Individual or groups of services, activities or combinations thereof that are managed together within the department and focus on a specific set of outputs, outcomes or service levels.

Results
An external consequence attributed, in part, to an organization, policy, program or initiative. Results are not within the control of a single organization, policy, program or initiative; instead they are within the area of the organization’s influence.

Target
A measurable performance or success level that an organization, program or initiative plans to achieve within a specified time period. Targets can be either quantitative or qualitative.

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