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    ISO rules compliance

    Understanding and complying with the ISO rules

    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.

    Read background on the ISO rules compliance monitoring process here:

    • ISO Rule 103.12 - Compliance Monitoring

      ISO Rule 103.12 sets out the requirements for the ISO and market participants with respect to monitoring compliance with the ISO rules, the Alberta Reliability Standards and AUC 021 –Settlement System Code. Among other requirements, ISO rule 103.12 describes how the ISO may learn of cases of potential non-compliance and how it reviews the facts available with respect to the issue. It describes the confidential handling by the ISO of compliance matters. It describes the information request process by which the ISO obtains additional information related to potential non-compliances. The AESO provides an opportunity for a market participant who is suspected of potential non-compliance, to review the relevant facts and provide any additional facts and perspective for consideration. ISO rule 103.12 describes the referral process by which the ISO, after coming to a determination that it suspects an ISO rule was contravened, refers the matter to the Market Surveillance Administrator.

    • MSA Compliance Process

      Once a suspected ISO rule contravention has been referred to the MSA by the AESO, the MSA assumes sole carriage of the matter and becomes the primary contact for the market participant. As part of the referral, the AESO will make available to the MSA, information obtained in the course of its compliance monitoring activities. The MSA makes a determination as to what enforcement action is appropriate.


      The process by which the MSA handles referrals of suspected rule contraventions from the ISO is described in detail in the MSA Compliance Process.

    We use a variety of approaches to monitor compliance with the ISO rules. These are explained in the following:

    Other compliance related information is found in the following:

    Notices to market participants

    We regularly post notices to market participants containing information on compliance monitoring.

    Read the latest notices for market participants below:

    March 2016

    July 2015

    June 2015

    May 2015

    April 2015 

    March 2015

    Contact the AESO regarding ISO Rules compliance

    Send AESO Complaint Forms and ask questions regarding the ISO rules compliance process here:

    marketcompliance@aeso.ca

    Alberta Electric System Operator (AESO)
    Attention: Compliance - Market Monitoring
    2500, 330 – 5th Avenue S.W.
    Calgary, AB T2P 0L4