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Frequently Asked Questions Alberta Reliability Standards Compliance Version 1.0 – Effective April 30, 2013 (Please visit the website to download the latest.

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Presentation on theme: "Frequently Asked Questions Alberta Reliability Standards Compliance Version 1.0 – Effective April 30, 2013 (Please visit the website to download the latest."— Presentation transcript:

1 Frequently Asked Questions Alberta Reliability Standards Compliance Version 1.0 – Effective April 30, 2013 (Please visit the website to download the latest version) START Please view in slide show mode for best navigation.

2 Main Menu 2 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance The purpose of this interactive presentation is to provide answers to frequently asked questions received by ARS Compliance. This main menu is meant to help you filter questions and answers by section. You can return to this main menu by clicking on the “MAIN” button found in the bottom right corner of every page. Please select the appropriate section by clicking on one of the blue buttons on the left below. Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please General / CMP Registration Self-Certification Audits RSAWs FAQs related to the Compliance Monitoring Program (CMP). Applicability Assessments FAQs related to registering for the CMP and the Alberta Reliability Standards Registry. EXIT FAQs related to how you would self-assess applicability or how to request an applicability assessment. FAQs related to the self-certification and the self-certification template. FAQs related to compliance monitoring audits. DDP FAQs related to the DDP (Designation of Documentation Provider) used to designate another entity to provide CMP documentation. FAQs related to the use of Reliability Standards Audit Worksheets (RSAWs) and their use.

3 Q1Q1. What is the Compliance Monitoring Program (CMP)? Q2Q2.Who can provide assurances that I am compliant with a reliability standard? Q3Q3. Who determines whether a standard is applicable or not applicable to me? Q4Q4. Have the roles of the AESO and the Market Surveillance Administrator (MSA) been clearly defined? Q5Q5. As a registered market participant we receive a number of requests from the AESO from a variety of departments. Can someone at the AESO tell us all the requests that have been made of us in the past year and whether we have provided the information required? General / Compliance Monitoring Program (CMP) 3 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question number to view the answer. EXIT MAIN Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please

4 General / Compliance Monitoring Program (CMP) Q1 of 5 4 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q1. What is the Compliance Monitoring Program (CMP)? Answer: The Compliance Monitoring Program (or CMP) is the processes and procedures set up by the AESO to monitor market participant compliance to Alberta Reliability Standards as legislated by the Electric Utilities Act. The CMP is composed of three monitoring elements: Reporting, self-certification and compliance monitoring audits. For more information on each of these elements please visit the AESO website at under COMPLIANCE.www.aeso.ca COMPLIANCE Q1. What is the Compliance Monitoring Program (CMP)? Answer: The Compliance Monitoring Program (or CMP) is the processes and procedures set up by the AESO to monitor market participant compliance to Alberta Reliability Standards as legislated by the Electric Utilities Act. The CMP is composed of three monitoring elements: Reporting, self-certification and compliance monitoring audits. For more information on each of these elements please visit the AESO website at under COMPLIANCE.www.aeso.ca COMPLIANCE Exit this question

5 General / Compliance Monitoring Program (CMP) Q2 of 5 5 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q2. Who can provide assurances that I am compliant with a reliability standard? Answer: Compliance to a reliability standard is determined at the time of an assessment and is not pre-determined. AESO staff cannot provide any assurances of compliance prior to the formal assessment. Standard owners cannot tell you if evidence that you have prepared is sufficient or compliant with the standard. Q2. Who can provide assurances that I am compliant with a reliability standard? Answer: Compliance to a reliability standard is determined at the time of an assessment and is not pre-determined. AESO staff cannot provide any assurances of compliance prior to the formal assessment. Standard owners cannot tell you if evidence that you have prepared is sufficient or compliant with the standard. Exit this question

6 General / Compliance Monitoring Program (CMP) Q3 of 5 6 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q3. Who determines whether a standard is applicable or not applicable to me? Answer: A market participant self-assesses whether a standard is applicable or not. If a market participant self-assesses that a standard or requirement is not applicable, they will be asked during an audit to provide evidence of why they believe it does not apply. If a market participant is unsure as to whether a standard or requirement applies to their organization or not, they should complete an applicability assessment application form and submit it to The AESO will inform the market participant of the results within 90 days. A confirmation letter that the standard or requirement is not applicable may be used as evidence during an Q3. Who determines whether a standard is applicable or not applicable to me? Answer: A market participant self-assesses whether a standard is applicable or not. If a market participant self-assesses that a standard or requirement is not applicable, they will be asked during an audit to provide evidence of why they believe it does not apply. If a market participant is unsure as to whether a standard or requirement applies to their organization or not, they should complete an applicability assessment application form and submit it to The AESO will inform the market participant of the results within 90 days. A confirmation letter that the standard or requirement is not applicable may be used as evidence during an Exit this question

7 General / Compliance Monitoring Program (CMP) Q4 of 5 7 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q4. Have the roles of the AESO and the Market Surveillance Administrator (MSA) been clearly defined?MSA Answer: The roles and responsibilities of the AESO are defined under the Alberta Electric Utilities Act Division 2. Section 17 (l.1) of the act defines the AESO’s responsibility for monitoring compliance of the registered market participants to ARS.Alberta Electric Utilities Act The roles and responsibilities of the MSA are defined under Division 2 of the Alberta Utilities Commission Act.MSA Alberta Utilities Commission Act Q4. Have the roles of the AESO and the Market Surveillance Administrator (MSA) been clearly defined?MSA Answer: The roles and responsibilities of the AESO are defined under the Alberta Electric Utilities Act Division 2. Section 17 (l.1) of the act defines the AESO’s responsibility for monitoring compliance of the registered market participants to ARS.Alberta Electric Utilities Act The roles and responsibilities of the MSA are defined under Division 2 of the Alberta Utilities Commission Act.MSA Alberta Utilities Commission Act Exit this question

8 General / Compliance Monitoring Program (CMP) Q5 of 5 8 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q5. As a registered market participant we receive a number of requests from the AESO from a variety of departments. Can someone at the AESO tell us all the requests that have been made of us in the past year and whether we have provided the information required? Answer: Registered market participants are required to maintain their own records and track requests made of them by the ISO and other market participants. The AESO suggests that: Where and when requests have been received, save a copy as evidence. Where and when requests have been responded to, save a copy as evidence. When providing data to the AESO, request confirmation from the AESO that the data was received and was acceptable to the AESO in meeting the intent of the request. Copies of soft confirmations be retained and filed as evidence. Q5. As a registered market participant we receive a number of requests from the AESO from a variety of departments. Can someone at the AESO tell us all the requests that have been made of us in the past year and whether we have provided the information required? Answer: Registered market participants are required to maintain their own records and track requests made of them by the ISO and other market participants. The AESO suggests that: Where and when requests have been received, save a copy as evidence. Where and when requests have been responded to, save a copy as evidence. When providing data to the AESO, request confirmation from the AESO that the data was received and was acceptable to the AESO in meeting the intent of the request. Copies of soft confirmations be retained and filed as evidence. Exit this question

9 Registration 9 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance There are currently no frequently asked questions for this section. EXIT MAIN Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Related documents to registration can be found on the AESO Website at: under COMPLIANCECOMPLIANCE

10 Applicability Assessments 10 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question number to view the answer. EXIT MAIN Q1Q1. How long will the AESO take to review an applicability assessment request? Q2Q2. Is a registered market participant required to request an applicability assessment to an ARS each year? Q3Q3. Will the AESO be updating the registry as the results of the applicability assessments? Q4Q4. Will past “Exemptions” or assessments be acceptable? Q5Q5. If the result of the AESO’s assessment indicates that a requirement is applicable to my entity, what date will monitoring activities start at? Q6Q6. What happens if I am not ready to comply? Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please

11 Applicability Assessments Q1 of 6 11 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q1. How long will the AESO take to review an applicability assessment request? Answer: As per section of the Alberta Reliability Standards Registration Guide (Version 2.1), notification of the results will be sent within 90 days of the request.Alberta Reliability Standards Registration Guide Q1. How long will the AESO take to review an applicability assessment request? Answer: As per section of the Alberta Reliability Standards Registration Guide (Version 2.1), notification of the results will be sent within 90 days of the request.Alberta Reliability Standards Registration Guide Exit this question

12 Applicability Assessments Q2 of 6 12 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q2. Is a registered market participant required to request an applicability assessment each year? Answer: If there is no change to the original application, there is no need to submit an applicability assessment request each year. When you complete your annual self-certification letter, you should note the following: -In the column titled “Applicability”, select “Not Applicable –AESO CMP review”. -In the additional comments column, indicate the date of the confirmation from the AESO and indicate that no changes have occurred which could require a revisit of the applicability assessment. Q2. Is a registered market participant required to request an applicability assessment each year? Answer: If there is no change to the original application, there is no need to submit an applicability assessment request each year. When you complete your annual self-certification letter, you should note the following: -In the column titled “Applicability”, select “Not Applicable –AESO CMP review”. -In the additional comments column, indicate the date of the confirmation from the AESO and indicate that no changes have occurred which could require a revisit of the applicability assessment. Exit this question

13 Applicability Assessments Q3 of 6 13 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q3. Will the AESO be updating the registry as the results of the applicability assessments? Answer: The result of an applicability assessment will not change the Alberta Reliability Standards Registry. The ARS registry is based on functional entity types as defined in the Functional Model. An applicability request will only identify whether or not a registered market participant will be monitored by the AESO for a specific standard or individual requirement within a standard.Alberta Reliability Standards RegistryFunctional Model Q3. Will the AESO be updating the registry as the results of the applicability assessments? Answer: The result of an applicability assessment will not change the Alberta Reliability Standards Registry. The ARS registry is based on functional entity types as defined in the Functional Model. An applicability request will only identify whether or not a registered market participant will be monitored by the AESO for a specific standard or individual requirement within a standard.Alberta Reliability Standards RegistryFunctional Model Exit this question

14 Applicability Assessments Q4 of 6 14 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q4. Will past “Exemptions” or assessments be acceptable? Answer: There is no need to re-submit an applicability assessment request if a previous request was accepted. As indicated in the answer to question 2 above, you should, on your annual self-certification letter, indicate each requirement that is non-applicable, reference the past applicability assessment and indicate that there have been no changes since the decision.applicability assessment request Q4. Will past “Exemptions” or assessments be acceptable? Answer: There is no need to re-submit an applicability assessment request if a previous request was accepted. As indicated in the answer to question 2 above, you should, on your annual self-certification letter, indicate each requirement that is non-applicable, reference the past applicability assessment and indicate that there have been no changes since the decision.applicability assessment request Exit this question

15 Applicability Assessments Q5 of 6 15 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q5. If the result of the AESO’s assessment indicates that a requirement is applicable to my entity, what date will monitoring activities start at? Answer: All standards are monitored from the effective date of the requirement. The requirement is not monitored during the applicability assessment process.applicability assessment process If the standard or requirement was in effect prior to the applicability assessment request and you find that your entity may not have been in compliance, you should file a self-report with the MSA.MSA Similarly, if the result of the AESO’s assessment indicates that a requirement is not applicable, the decision will be applied historically and include the time period prior to the applicability assessment request. Q5. If the result of the AESO’s assessment indicates that a requirement is applicable to my entity, what date will monitoring activities start at? Answer: All standards are monitored from the effective date of the requirement. The requirement is not monitored during the applicability assessment process.applicability assessment process If the standard or requirement was in effect prior to the applicability assessment request and you find that your entity may not have been in compliance, you should file a self-report with the MSA.MSA Similarly, if the result of the AESO’s assessment indicates that a requirement is not applicable, the decision will be applied historically and include the time period prior to the applicability assessment request. Exit this question

16 Applicability Assessments Q6 of 6 16 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q6. What happens if I am not ready to comply? Answer: If a market participant requires additional time to become compliant, the AESO suggests filing a self-report with the MSA.MSA Q6. What happens if I am not ready to comply? Answer: If a market participant requires additional time to become compliant, the AESO suggests filing a self-report with the MSA.MSA Exit this question

17 Designation of Documentation Provider (DDP) 17 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance EXIT MAIN Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please There are currently no frequently asked questions for this section. Related documents to registration can be found on the AESO Website at: under COMPLIANCECOMPLIANCE

18 Q1Q1. Are there differences in the types of referral to the MSA – an administrative referral vs. a technical referral?MSA Q2Q2. What are the consequences when a registered market participant files an administratively complete self-certification letter but is technically assessed by the AESO during a subsequent compliance audit that the registered market participant is in non-compliance with the ARS requirement/s? Q3Q3. Will the MSA request for information in addition to what the AESO has submitted on referrals by the AESO to suspected violation of an ARS requirement by a registered market participant? Q4Q4. Will a registered market participant be considered in non-compliance when the registered market participant’s self- certification letter identifies non-compliance with one requirement within an ARS, or non-compliance with an entire ARS? Q5Q5. Can a registered market participant submit their self-certification letter early? Q6Q6. What are the consequences if registered market participant submit their self-certification letter late? Q7Q7. Will deficiencies discovered on the original self-certification letter submitted by a registered market participant be notified to the MSA as suspected violations or will the registered market participant be given the opportunity to revise the original self-certification prior to any notification of suspected violation to the MSA?MSA Self-Certification (1 of 2) 18 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question number to view the answer. EXIT MAIN Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Qs (8-14) Click on this button for more questions on Self-Certification

19 Self-Certification Q1 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q1. Are there differences in the types of referral to the MSA – an administrative referral vs. a technical referral?MSA Answer: No. The referral process follows ISO Rule , and the administrative and technical assessments are ways through which the AESO becomes aware of possible non-compliance to the ARS.ISO Rule Q1. Are there differences in the types of referral to the MSA – an administrative referral vs. a technical referral?MSA Answer: No. The referral process follows ISO Rule , and the administrative and technical assessments are ways through which the AESO becomes aware of possible non-compliance to the ARS.ISO Rule Exit this question

20 Self-Certification Q2 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q2. What are the consequences when a registered market participant files an administratively complete self-certification letter but is technically assessed by the AESO during a subsequent compliance audit that the registered market participant is in non-compliance with the ARS requirement/s? Answer: All suspected violations are referred by the AESO to the MSA as per “ISO Rule (1)”. In addition, “ISO Rule (2)” requires the AESO to notify the registered market participants when a matter is referred to the MSA.MSAISO Rule (1)ISO Rule (2)MSA Q2. What are the consequences when a registered market participant files an administratively complete self-certification letter but is technically assessed by the AESO during a subsequent compliance audit that the registered market participant is in non-compliance with the ARS requirement/s? Answer: All suspected violations are referred by the AESO to the MSA as per “ISO Rule (1)”. In addition, “ISO Rule (2)” requires the AESO to notify the registered market participants when a matter is referred to the MSA.MSAISO Rule (1)ISO Rule (2)MSA Exit this question

21 Self-Certification Q3 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q3. Will the MSA request for information in addition to what the AESO has submitted on referrals by the AESO to suspected violation of an ARS requirement by a registered market participant? Answer: The MSA has the authority to request, at their discretion, additional documentary evidence on any compliance and enforcement matters under investigation by the MSA. It may be in addition to evidence already submitted to the AESO by the registered market participant. The right for the MSA to request for such evidence is given under Section 46 (1) of the Alberta Utilities Commission Act.MSA Alberta Utilities Commission Act Q3. Will the MSA request for information in addition to what the AESO has submitted on referrals by the AESO to suspected violation of an ARS requirement by a registered market participant? Answer: The MSA has the authority to request, at their discretion, additional documentary evidence on any compliance and enforcement matters under investigation by the MSA. It may be in addition to evidence already submitted to the AESO by the registered market participant. The right for the MSA to request for such evidence is given under Section 46 (1) of the Alberta Utilities Commission Act.MSA Alberta Utilities Commission Act Exit this question

22 Self-Certification Q4 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q4. Will a registered market participant be considered in non-compliance when the registered market participant’s self-certification letter identifies non-compliance with one requirement within an ARS, or non-compliance with an entire ARS? Answer: All assessments are made at the ARS requirement level; suspected non-compliance to ARS requirements is considered as suspected violations. Where an entire ARS is in non-compliance, each requirement of the ARS is considered as a suspected violation. Suspected violations are referred to the MSA.MSA Where a market participant has self-assessed they are non-compliant with either one requirement or an entire ARS, during the administrative review additional information will be sought by the AESO’s Compliance group. This step may assist in determining whether a technical review is required to confirm the suspected contravention, whether a report to the MSA of the suspected non-compliance is required, or both.MSA Q4. Will a registered market participant be considered in non-compliance when the registered market participant’s self-certification letter identifies non-compliance with one requirement within an ARS, or non-compliance with an entire ARS? Answer: All assessments are made at the ARS requirement level; suspected non-compliance to ARS requirements is considered as suspected violations. Where an entire ARS is in non-compliance, each requirement of the ARS is considered as a suspected violation. Suspected violations are referred to the MSA.MSA Where a market participant has self-assessed they are non-compliant with either one requirement or an entire ARS, during the administrative review additional information will be sought by the AESO’s Compliance group. This step may assist in determining whether a technical review is required to confirm the suspected contravention, whether a report to the MSA of the suspected non-compliance is required, or both.MSA Exit this question

23 Self-Certification Q5 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q5. Can a registered market participant submit their self-certification letter early ? Answer: Self-certification letter Self-certification letter should only be submitted within the self-certification submittal period of the registered market participant’s assigned cycle. Early submission would signal an incomplete self-certification as it would not cover the entire self-certification period. The registered market participant will be considered in non-compliance to all the ARS requirements that the registered market participant is to attest compliance on.registered market participant’s assigned cycle Q5. Can a registered market participant submit their self-certification letter early ? Answer: Self-certification letter Self-certification letter should only be submitted within the self-certification submittal period of the registered market participant’s assigned cycle. Early submission would signal an incomplete self-certification as it would not cover the entire self-certification period. The registered market participant will be considered in non-compliance to all the ARS requirements that the registered market participant is to attest compliance on.registered market participant’s assigned cycle Exit this question

24 Self-Certification Q6 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q6. What are the consequences if registered market participant submit their self- certification letter late? Answer: Where a self-certification letter is submitted after the self-certification submittal period of the registered market participant’s assigned cycle, the registered market participant will be considered in non-compliance to all the ARS requirements that the registered market participant is to attest compliance on.self-certification letter registered market participant’s assigned cycle Q6. What are the consequences if registered market participant submit their self- certification letter late? Answer: Where a self-certification letter is submitted after the self-certification submittal period of the registered market participant’s assigned cycle, the registered market participant will be considered in non-compliance to all the ARS requirements that the registered market participant is to attest compliance on.self-certification letter registered market participant’s assigned cycle Exit this question

25 Self-Certification Q7 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q7. Will deficiencies discovered on the original self-certification letter submitted by a registered market participant be notified to the MSA as suspected violations or will the registered market participant be given the opportunity to revise the original self-certification prior to any notification of suspected violation to the MSA? Answer: No, the deficiencies identified on the original self-certification letter are not referred to the MSA as non-compliance. The registered market participant is given the opportunity to resubmit the self-certification letter.MSAself-certification letter The original deficiencies are listed on a deficiency notification letter and sent to the registered market participant to correct and file an amended self-certification letter. The registered market participant is given five (5) business days to revise their submission. Where the AESO has verified that the revised self-certification letter is administratively complete, no further action will be taken by the AESO. Where the AESO has determined that the revised submission by the registered market participant is administratively incomplete, the AESO will refer the matter to the MSA as suspected violations.MSA Where the AESO has determined that a registered market participant has shown best efforts in preparing their self- certification letter but has inadvertently submitted the incorrect information, the AESO will make all effort to guide the registered market participant in revising and submitting a corrected self-certification letter within the five (5) business days after issue of notification letter identifying the registered market participant’s deficiencies Q7. Will deficiencies discovered on the original self-certification letter submitted by a registered market participant be notified to the MSA as suspected violations or will the registered market participant be given the opportunity to revise the original self-certification prior to any notification of suspected violation to the MSA? Answer: No, the deficiencies identified on the original self-certification letter are not referred to the MSA as non-compliance. The registered market participant is given the opportunity to resubmit the self-certification letter.MSAself-certification letter The original deficiencies are listed on a deficiency notification letter and sent to the registered market participant to correct and file an amended self-certification letter. The registered market participant is given five (5) business days to revise their submission. Where the AESO has verified that the revised self-certification letter is administratively complete, no further action will be taken by the AESO. Where the AESO has determined that the revised submission by the registered market participant is administratively incomplete, the AESO will refer the matter to the MSA as suspected violations.MSA Where the AESO has determined that a registered market participant has shown best efforts in preparing their self- certification letter but has inadvertently submitted the incorrect information, the AESO will make all effort to guide the registered market participant in revising and submitting a corrected self-certification letter within the five (5) business days after issue of notification letter identifying the registered market participant’s deficiencies Exit this question

26 Q8Q8. What process does the AESO follow in circumstances where the registered market participant has declared non- compliance with an ARS requirement and the AESO deems the registered market participant to be in-compliance? Q9Q9. How does the AESO define “officer” who is required to sign the self-certification letter? Q10Q10. Is it possible to have someone else sign the self-certification letter other then the “Officer” of the company? Q11Q11. Should a registered market participant submit their self-certification letter if a compliance audit is being conducted during the registered market participant’s self-certification period? Q12Q12. Can the effective date of an ARS influence the period for which a registered market participant has to self-certify? Q13Q13. Should technical information be included with the self-certification letter? Q14Q14. Is the officer’s signature required in the self-certification letter provided in the Excel format? Self-Certification (2 of 2) 26 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question number to view the answer. EXIT MAIN Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Qs (1-7) Click on this button for previous questions on Self-Certification

27 Self-Certification Q8 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q8. What process does the AESO follow in circumstances where the registered market participant has declared non-compliance with an ARS requirement and the AESO deems the registered market participant to be in-compliance? Answer: The AESO will notify the registered market participant in writing that the registered market participant is in-compliance with the ARS requirement. No other action will be taken. Q8. What process does the AESO follow in circumstances where the registered market participant has declared non-compliance with an ARS requirement and the AESO deems the registered market participant to be in-compliance? Answer: The AESO will notify the registered market participant in writing that the registered market participant is in-compliance with the ARS requirement. No other action will be taken. Exit this question

28 Self-Certification Q9 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q9. How does the AESO define “officer” who is required to sign the self- certification letter? Answer: An “officer” holds a position of authority and trust in their organizations. The officer has the ability to bind his/her corporation/s and make representations and warranties on behalf of their corporation/s. One of the hallmark features of an “officer” is the shared legal liability of the “office” with his/her company's actions. Q9. How does the AESO define “officer” who is required to sign the self- certification letter? Answer: An “officer” holds a position of authority and trust in their organizations. The officer has the ability to bind his/her corporation/s and make representations and warranties on behalf of their corporation/s. One of the hallmark features of an “officer” is the shared legal liability of the “office” with his/her company's actions. Exit this question

29 Self-Certification Q10 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q10. Is it possible to have someone else sign the self-certification letter other then the “Officer” of the company? Answer: The “officer” has the right to delegate the authority where they see fit, defined under the Alberta compliance monitoring process related to the Alberta reliability standards. The officer is required to issue a letter to the AESO indicating the delegation of authority, specifying the name, title and contact information of the delegated party. Q10. Is it possible to have someone else sign the self-certification letter other then the “Officer” of the company? Answer: The “officer” has the right to delegate the authority where they see fit, defined under the Alberta compliance monitoring process related to the Alberta reliability standards. The officer is required to issue a letter to the AESO indicating the delegation of authority, specifying the name, title and contact information of the delegated party. Exit this question

30 Self-Certification Q11 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q11. Should a registered market participant submit their self-certification letter if a compliance audit is being conducted during the registered market participant’s self-certification period? Answer: Yes. All registered market participants are required to self-certify in accordance with the AESO self-certification schedule. Where a registered market participant has had a spot-check compliance audit conducted during their self-certification period, the AESO will not conduct a second spot-check audit of the reliability standards verified. Q11. Should a registered market participant submit their self-certification letter if a compliance audit is being conducted during the registered market participant’s self-certification period? Answer: Yes. All registered market participants are required to self-certify in accordance with the AESO self-certification schedule. Where a registered market participant has had a spot-check compliance audit conducted during their self-certification period, the AESO will not conduct a second spot-check audit of the reliability standards verified. Exit this question

31 Self-Certification Q12 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q12. Can the effective date of an ARS influence the period for which a registered market participant has to self-certify? Answer: Yes. All assessment for compliance to an ARS is made considering the effective dates of the standard: In cases where the ARS is in effect during the entire self-certification period, the registered market participant must self-certify for the entire self-certification period; In cases where the ARS goes into effect during the self-certification period, the registered market participant must self-certify from the effective date of the standard to the last day of the self- certification period; In cases where the ARS effective end date is during the self-certification period, the registered market participant must self-certify from the first day of the self-certification period to the effective end date of the ARS; In cases where there is more than one version of an ARS, the registered market participant must assess its compliance to all versions in effect during the self-certification period. Q12. Can the effective date of an ARS influence the period for which a registered market participant has to self-certify? Answer: Yes. All assessment for compliance to an ARS is made considering the effective dates of the standard: In cases where the ARS is in effect during the entire self-certification period, the registered market participant must self-certify for the entire self-certification period; In cases where the ARS goes into effect during the self-certification period, the registered market participant must self-certify from the effective date of the standard to the last day of the self- certification period; In cases where the ARS effective end date is during the self-certification period, the registered market participant must self-certify from the first day of the self-certification period to the effective end date of the ARS; In cases where there is more than one version of an ARS, the registered market participant must assess its compliance to all versions in effect during the self-certification period. Exit this question

32 Self-Certification Q13 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q13. Should technical information be included with the self-certification letter? Answer: No. Technical information should not be submitted with the self-certification letter. The registered market participant should retain the evidence used to determine compliance with the ARS for the self-certification period. Evidence for compliance to ARS is retained for a statutory period of six (6) years. Q13. Should technical information be included with the self-certification letter? Answer: No. Technical information should not be submitted with the self-certification letter. The registered market participant should retain the evidence used to determine compliance with the ARS for the self-certification period. Evidence for compliance to ARS is retained for a statutory period of six (6) years. Exit this question

33 Self-Certification Q14 of Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q14. Is the officer’s signature required in the self-certification letter provided in the Excel format? Answer: An officer’s signature is not required in the “Signature” field of the “Officer’s Certificate” on the Excel submitted format. Q14. Is the officer’s signature required in the self-certification letter provided in the Excel format? Answer: An officer’s signature is not required in the “Signature” field of the “Officer’s Certificate” on the Excel submitted format. Exit this question

34 Audits 34 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance EXIT MAIN Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please There are currently no frequently asked questions for this section. Related documents to registration can be found on the AESO Website at: under COMPLIANCECOMPLIANCE

35 Reliability Standard Audit Worksheets 35 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question number to view the answer. EXIT MAIN Q1Q1. What are RSAWs used for? Q2Q2. Through the audit process the AESO will gather evidence from my organization and document its audit findings on the RSAW. Will the MSA request additional information from the registered market participant on a suspected violation of an ARS requirement, other than that provided by the AESO through the referral process? Q3Q3. Are Professional Engineer (P.Eng.) stamps required on the registered market participant evidentiary documents and will it be identified on the RSAW as an evidentiary requirement? Q4Q4. When looking at the RSAW for TOP-005-AB-1, it is not clear whether the AESO will be looking for multiple letters or a single letter when conducting an audit? Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please

36 Reliability Standards Audit Worksheets Q1 of 4 36 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q1. What are RSAWs used for? Answer: Reliability Standards Audit Worksheets Reliability Standards Audit Worksheets (RSAWs) are a tool used by the compliance monitor to document audit assessments. The RSAW must be filled out by the market participant and submitted to the compliance monitor with the evidence files. For each applicable requirement request, the registered market participant must provide a hyperlink(s) to the individual evidence document(s). The hyperlink should be placed in the “Evidence column. Although a hyperlink is preferred, the document may also be embedded. Q1. What are RSAWs used for? Answer: Reliability Standards Audit Worksheets Reliability Standards Audit Worksheets (RSAWs) are a tool used by the compliance monitor to document audit assessments. The RSAW must be filled out by the market participant and submitted to the compliance monitor with the evidence files. For each applicable requirement request, the registered market participant must provide a hyperlink(s) to the individual evidence document(s). The hyperlink should be placed in the “Evidence column. Although a hyperlink is preferred, the document may also be embedded. Exit this question

37 Reliability Standards Audit Worksheets Q2 of 4 37 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q2. Through the audit process the AESO will gather evidence from my organization and document its audit findings on the RSAW. Will the MSA request additional information from the registered market participant on a suspected violation of an ARS requirement, other than that provided by the AESO through the referral process? Answer: The MSA has the authority to request, at their discretion, additional documentary evidence on any compliance and enforcement matters under investigation by the MSA. It may be in addition to evidence already submitted to the AESO by the registered market participant. The right for the MSA to request for such evidence is given under Section 46 (1) of the Alberta Utilities Commission Act.MSA Alberta Utilities Commission Act Q2. Through the audit process the AESO will gather evidence from my organization and document its audit findings on the RSAW. Will the MSA request additional information from the registered market participant on a suspected violation of an ARS requirement, other than that provided by the AESO through the referral process? Answer: The MSA has the authority to request, at their discretion, additional documentary evidence on any compliance and enforcement matters under investigation by the MSA. It may be in addition to evidence already submitted to the AESO by the registered market participant. The right for the MSA to request for such evidence is given under Section 46 (1) of the Alberta Utilities Commission Act.MSA Alberta Utilities Commission Act Exit this question

38 Reliability Standards Audit Worksheets Q3 of 4 38 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q3. Are Professional Engineer (P.Eng.) stamps required on the registered market participant evidentiary documents and will it be identified on the RSAW as an evidentiary requirement? Answer: A P.Eng. Stamp is not required in demonstrating compliance under the assessment section of an RSAW unless it is specifically documented within the requirements or measures of an approved Alberta reliability standard.RSAW Q3. Are Professional Engineer (P.Eng.) stamps required on the registered market participant evidentiary documents and will it be identified on the RSAW as an evidentiary requirement? Answer: A P.Eng. Stamp is not required in demonstrating compliance under the assessment section of an RSAW unless it is specifically documented within the requirements or measures of an approved Alberta reliability standard.RSAW Exit this question

39 Reliability Standards Audit Worksheets Q4 of 4 39 Frequently Asked Questions Alberta Reliability Standards (ARS) Compliance Click on the question to view the answer. EXIT MAIN Q1. What is the CMP?What is the CMP Questions and answers are updated frequently. Answers or clarifications are added to the appropriate guides as required and remove from this presentation. Please download the latest presentation or appropriate guide by visiting our website at > COMPLIANCE.www.aeso.ca If you cannot find the answer to your question in either this presentation or the appropriate guide, please Q4. When looking at the RSAW for TOP-005-AB-1, it is not clear whether the AESO will be looking for multiple letters or a single letter when conducting an audit? Answer: In the event of an audit on TOP-005-AB-1 R2 or R5, the registered market participant would be responsible to produce the letter provided by the AESO. The registered market participant would have 30 days to provide the letter to the auditor. To confirm compliance to TOP-005-AB-1 - R2 or R5; the auditor will simply confirm that the registered market participant has the letter from the AESO on file. If multiple years are included in the audit scope, then the AESO would be looking for one letter for each of the years included in the audit. Q4. When looking at the RSAW for TOP-005-AB-1, it is not clear whether the AESO will be looking for multiple letters or a single letter when conducting an audit? Answer: In the event of an audit on TOP-005-AB-1 R2 or R5, the registered market participant would be responsible to produce the letter provided by the AESO. The registered market participant would have 30 days to provide the letter to the auditor. To confirm compliance to TOP-005-AB-1 - R2 or R5; the auditor will simply confirm that the registered market participant has the letter from the AESO on file. If multiple years are included in the audit scope, then the AESO would be looking for one letter for each of the years included in the audit. Exit this question

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