Compliance Monitoring Program Work Stream

Consultation has concluded

Engagement Outcomes

The AESO has developed and consulted on a risk-based compliance monitoring program for ARS and piloted the development of risk based oversight plans for three market participants. The AESO is in the process of operationalizing the new program by developing and communicating compliance oversight plans for all remaining market participants by the end of June 2024, scheduling compliance activities based on the new compliance oversight plans by August 30, 2024, and beginning to execute the new compliance activities by November 1, 2024. Further updates and developments will be provided via the Reliability Standards Discussion Group page and the ARS Compliance Monitoring page.

Purpose

The primary focus of this work stream is to deliver a compliance monitoring program for Alberta Reliability Standards (ARS) that incorporates risk-based factors in establishing entity-specific compliance monitoring oversight plans. This work stream ties into other ARS Program Enhancements Roadmap work streams, specifically incorporating inputs from the risk-based methodology and approach as well as integrating related improvements from supporting information, process efficiencies, and stakeholder consultation work streams.

Objectives

  • Deliver a Compliance Monitoring Program (CMP) that aligns to the NERC approach delivering entity-specific compliance oversight plans (i.e., scope, tools, frequency) that reflect the proportionate level of risks an entity poses to the reliability of the Alberta Interconnected Electric System (AIES).
  • Reduce administrative burden by focusing monitoring on standards and market participants with the most impact on AIES reliability risk.
  • Maintain a high level of assurance that the ARS are being followed.

Engagement Outcomes

The AESO has developed and consulted on a risk-based compliance monitoring program for ARS and piloted the development of risk based oversight plans for three market participants. The AESO is in the process of operationalizing the new program by developing and communicating compliance oversight plans for all remaining market participants by the end of June 2024, scheduling compliance activities based on the new compliance oversight plans by August 30, 2024, and beginning to execute the new compliance activities by November 1, 2024. Further updates and developments will be provided via the Reliability Standards Discussion Group page and the ARS Compliance Monitoring page.

Purpose

The primary focus of this work stream is to deliver a compliance monitoring program for Alberta Reliability Standards (ARS) that incorporates risk-based factors in establishing entity-specific compliance monitoring oversight plans. This work stream ties into other ARS Program Enhancements Roadmap work streams, specifically incorporating inputs from the risk-based methodology and approach as well as integrating related improvements from supporting information, process efficiencies, and stakeholder consultation work streams.

Objectives

  • Deliver a Compliance Monitoring Program (CMP) that aligns to the NERC approach delivering entity-specific compliance oversight plans (i.e., scope, tools, frequency) that reflect the proportionate level of risks an entity poses to the reliability of the Alberta Interconnected Electric System (AIES).
  • Reduce administrative burden by focusing monitoring on standards and market participants with the most impact on AIES reliability risk.
  • Maintain a high level of assurance that the ARS are being followed.
Consultation has concluded

  • Progress Update | September 2023

    CLOSED: This discussion has concluded.

    Progress Update

    The AESO has reviewed and responded to all stakeholder comments below and updated the Alberta Risk-based Compliance Monitoring Program (ARCMP) proposal accordingly. Based on the relatively minor nature of the updates, the AESO will not be holding virtual Q&A session in September as originally contemplated in the RSDG presentation on June 20, 2023.

    Stakeholder Comments

    The AESO thanks all stakeholders who provided their feedback on the updated ARCMP and the responses to the comments.

    Updated Materials

    Can be found under AESO Materials

  • Progress Update | April 2023

    CLOSED: This discussion has concluded.

    Progress Update

    The AESO continues to advance the Compliance Monitoring Program (CMP) work stream activities. As noted in the February 2023 Reliability Standards Discussion Group (RSDG) presentation, the following steps were shared. The following provides a status update of those activities:

    • Post draft proposal (formerly referred to as white paper) that includes Components 1 to 3 of the proposed AESO risk-based CMP in April 2023.
      • Posted | The AESO has finalized its proposal for Components 1 to 4 (additional component added) of the proposed risk-based CMP.
    • Following the publication of the draft proposal, seek stakeholder feedback on its contents.
      • Posted | The AESO requested stakeholder feedback on the draft proposal and any content areas that require further clarification from June 20-July 18, 2023. At the June RSDG meeting, on June 20, 2023, the AESO presented the proposal and provided stakeholders with an opportunity to ask questions and explore any areas where clarification is required.