Notice Re: Consequential Amendments to MSA Investigation Procedures Per New AUC Rule 019

July 8, 2008

NOTICE TO MARKET PARTICIPANTS

Re: Consequential Amendments to MSA Investigation Procedures Per New AUC Rule 019

Within the mandate of the Market Surveillance Administrator (MSA) is the power to issue a notice of specified penalty pursuant to s. 52 of the Alberta Utilities Commission Act (AUCA) where the MSA is satisfied that a person has contravened an ISO rule made by the Alberta Electric System Operator (AESO).  Section 52(7) of the AUCA provides authority to the Alberta Utilities Commission (Commission) to make rules respecting specified penalties.

Effective July 1, 2008 the Commission amended its existing AUC Rule 019 to address various matters relating to specified penalties, including changes applicable where a market participant wishes to self-report a contravention of an ISO rule governed by AUC Rule 019.  The change to AUC Rule 019 requires consequential and minor amendments to the existing MSA Investigation Procedures, as detailed below.

Previously, by agreement between the MSA and AESO, a market participant wishing to self-report a rule contravention involving their organization would contact the AESO at first instance.  This convention was reflected in the existing MSA Investigation Procedures.

The new AUC Rule 019 requires a market participant to self-report an ISO rule contravention to the MSA, and to provide (at a minimum) a set of required information in that regard (see s. 4(4) of AUC Rule 019).  Accordingly, the MSA has revised its Investigation Procedures to reflect this change.

In this regard, attention is directed to changed language in sections 1.3, 1.6, 1.8 and Appendix A of the MSA Investigation Procedures.  Of particular note, the MSA has established an email inbox to which market participants should address their self-reporting for ISO rule contraventions: compliance@albertamsa.ca .

The new MSA Investigation Procedures are effective July 9, 2008, replacing the previous version published April 4, 2008, and can be found on the MSA website under Processes: www.albertamsa.ca/138.html .

The attached document is provided to market participants for information and for future reference.  Given that the need for revision of the MSA Investigation Procedures arose from changes to AUC Rule 019, and given the nature of the amendments made, the MSA will not invoke any formal stakeholder engagement around these matters.

We trust that this will be of assistance, and encourage you to contact us with any questions or comments.

Yours truly,

“Original signed”

W.W. (Wayne) Silk
Vice President, Chief Operating Officer
Market Surveillance Administrator

Created: 7/8/2008