Complying with the ISO rules
As Alberta’s ISO, we have the authority to make ISO rules in accordance with Section 20 of the Electric Utilities Act. The Electric Utilities Act requires electricity market participants to comply with the ISO rules and the AESO is responsible for monitoring market participant compliance with ISO rules.. Compliance with the ISO rules is a key element of both system reliability and the operation of a fair, efficient and openly competitive market. As well as monitoring market participant compliance with the ISO rules, the AESO can, through training, publications, meetings, phone calls and other communications, work with market participants to help them to come to a better understanding of their obligations, the AESO’s expectations, the compliance monitoring process and the possible repercussions of non-compliance.
As part of our monitoring obligation, we must refer suspected contraventions of the ISO rules to the Market Surveillance Administrator. The Market Surveillance Administrator is responsible for the enforcement of compliance with the ISO rules.
The Alberta Utilities Commission defines the penalties for contraventions of ISO rules. Read the Alberta Utilities Commission Rule 019—Specified Penalties for Contravention of ISO Rules that sets out the approved penalties for ISO rule contraventions.
ISO rule 9.1.5 Compliance Monitoring
Project procurement obligations for the legal owners of transmission facilities are detailed in subsection 9.1.5 of ISO rule 9.1.
The compliance monitoring of the project procurement requirements described in subsection 9.1.5 is carried out primarily through compliance monitoring audits. Read further details on this process here:
- Appendix A - Information request letter 1 (IR1) template - Initial notification of compliance monitoring audit and request for summary of project materials
- Appendix B - Summary of project materials template
- Appendix C - Information request letter 2 (IR2) template – request for TFO records
- Appendix D - Pre-audit conference meeting agenda
- Appendix E - Compliance monitoring audit query form template
Section 501.2 Compliance Monitoring
Section 501.2 of the ISO rules describe obligations for the legal owners of critical facilities within Alberta's electricity industry. These obligations include the requirement for all critical facilities to have security measures in accordance with the Alberta Counter-Terrorism Crisis Management Plan (ACTCMP) as well as an emergency response plan in accordance with Directive 071 – Emergency Preparedness and Response Requirements for the Petroleum Industry (Directive 071), as published by the Alberta Energy Regulator.
Critical facilities within Alberta's electricity industry are named in the critical infrastructure list established under the ACTCMP and maintained confidentially by the Justice and Solicitor General branch of the Government of Alberta.
Section 501.2 of the ISO Rules Compliance Monitoring Program Guide [Posted: July 30, 2015]
Section 501.2 of the ISO Rules Self-Assessment Process Guide [Posted: September 28, 2015]
ISO Rule 501.2 Self-Assessment Templates [Posted: March 4, 2016]
NOTE: The Alberta Utilities Commission has approved Alberta Reliability Standard CIP-014-AB-2, Physical Security, with an effective date of July 1, 2020, and Section 501.2 will be removed concurrently. In accordance with its Compliance Monitoring Program for Section 501.2, the AESO initiate one final Section 501.2 self-assessment for each of the sites listed as a critical infrastructure in the Alberta Counter-Terrorism Crisis Management Plan (ACTCMP) prior to July 1, 2020. Site visits will not be scheduled to assess compliance with Section 501.2.
Information on how market participants submit information and receive instructions from the AESO in regards to the Energy and AS markets can be found here: Energy Trading System.
Dispatch Variance Notification
To help maintain their own compliance with the ISO rules, market participants can use our optional dispatch variance notification (DVN) utility. This utility is embedded in our automated dispatch and messaging system (ADaMS). It can send out warnings to participants that may be of use in meeting certain obligations in the ISO rules. It's important to note that use of the DVN utility does not ensure that a market participant is compliant with ISO rules. You can read further details in the Dispatch Variance Notification Functionality and Registration Guideline.
Contractual Operating Reserve and LSSi Compliance
The AESO also monitors Operating Reserve and LSSi for compliance with contractual obligations, for more information visit: