Notice Re: ISO Rules Compliance

January 17, 2008


To: Market Participants

ISO Rules Compliance

As a result of the new Alberta Utilities Commission Act and related enactments that came into force January 1, 2008, formal responsibility for investigation and enforcement regarding ISO rule breaches has been moved away from the AESO to the MSA.  In addition, the new Alberta Utilities Commission is responsible for adjudication regarding alleged ISO rule breaches.  That being said, the primary responsibility for monitoring for ISO rule compliance remains with the AESO. 

If a Notice of Compliance Review was received by a market participant from the AESO prior to January 1, 2008 regarding an ISO rule, the matter will be handled to its conclusion under the pre-existing rules compliance process.  This was specified in Alberta Regulation 251/2007 (Alberta Utilities Act Transition Regulation).

The AESO and MSA will be working closely together to make the ISO rules compliance process as efficient as possible.  The attached flow chart depicts how the AESO and the MSA will interact to manage the process going forward.  

AESO/MSA Compliance Diagram

AESO Compliance Operations will continue to be the initial point of contact with market participants in most circumstances including inquiries or information requests in matters of rule compliance.  For those parties who have a practice of self reporting, a practice both the AESO and the MSA encourage, such self reporting should continue to be to the AESO compliance department.  It is expected by the MSA that all market participants will cooperate fully with the AESO in responding to all inquiries, audits or requests for information related to compliance with AESO rules, including new reliability standards and maintenance standards.  In certain circumstances, including where it appears that a specified penalty should be applied pursuant to AUC Rule 019, the MSA will take the lead and become the point of contact on the file, and the market participant will be notified accordingly.

No specific feedback is required in relation to this notice.  However, please feel free to contact  Mike Nozdryn-Plotnicki (705-8503) or Doug Doll (233-6497) with any questions or comments.

Yours truly,

“Original signed”

W.W. (Wayne) Silk,

Vice-President, Chief Operating Officer

Market Surveillance Administrator

Created: 1/18/2008