Stakeholder Comment Form
AESO AUTHORITATIVE DOCUMENT PROCESS
Amendment of ISO Rules
NOTE: The AESO is asking market participants to give an initial indication of their support for, or opposition to, the specific ISO rule
changes referenced below. Such an initial indication assists in the AESO’s practical understanding of the receptivity of the industry to the
proposed changes, and in that regard the AESO thanks in advance all market participants who choose to respond. With regard to the
specific ISO rule changes and their implications, such responses are without prejudice to the rights of market participants under the Act,
any regulations, or related decisions of the Commission.
Date of Request for Comment:
Period of Consultation:
October 8, 2009
October 8, 2009 through October 26, 2009
Comments From: _______________
Date: _______________
Contact: _______________
Phone: _______________
E-mail: _______________
Proposed New Section 103.1 Confidential Information of ISO Rules under new Framework
1.
Applicability
1 Section 103.1 applies to:
(a) a market participant; and
(b) the ISO.
� Support
� Oppose
� No Comment
Reason for Stakeholder Positions:
Alternate Proposal:
2.
Requirements
Confidential Information
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2(1) Subject to subsection (3), any information that the ISO receives from a market participant
which, in the opinion of the ISO, is commercially sensitive must be treated by the ISO as confidential,
unless it is information which fits into one of the exception categories set out in subsection (4).
(2) Any information that a market participant receive from the ISO must be treated by the market
participant as confidential, unless it is information which fits into one of the exception categories set
out in subsection (4).
(3) The ISO may disclose confidential information in order to fulfill its duties and responsibilities under
the Act or other legislation, and upon disclosure will make reasonable efforts to preserve the
confidentiality of that information.
(4) Information will not be treated as confidential if it:
(a) must be disclosed, used or reproduced:
(i) by law or by a lawful requirement of any government or governmental body, authority or
agency having jurisdiction over the ISO, a market participant or their affiliates; or
(ii) in connection with the resolution of a dispute under the ISO rules; or
(b) is disclosed, used or reproduced:
(i) under the authority of the ISO rules;
(ii) with the consent of the provider;
(iii) as an unidentifiable component when aggregated or otherwise consolidated with other
information; or
(iv) to or by representatives; or
(c) is disclosed to protect the safety of personnel or equipment, or to protect or enhance the reliability
of the interconnected electric system.
Disclosure to Market Surveillance Administrator
3 Pursuant to section 2(1) of the Market Surveillance Regulation, the Market Surveillance
Administrator has the right to receive and the ISO will make available to the Market Surveillance
Administrator confidential information and other records relating to market participants that are
held by or become available to the ISO pursuant to its mandate under the Act.
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� Support
� Oppose
� No Comment
Reason for Stakeholder Positions:
Alternate Proposal:
Proposed New G1 Definition
"representatives" means the directors, officers, members, employees, consultants, agents and
professional advisors of the ISO or market participant as applicable.
� Support
� Oppose
� No Comment
Reason for Stakeholder Positions:
Alternate Proposal:
Proposed New Section 103.2 Dispute Resolution of ISO Rules under new Framework
1.
Applicability
1 Section 103.2 applies to:
� Support
� Oppose
� No Comment
(c) a market participant; and
(d) the ISO.
Reason for Stakeholder Positions:
Alternate Proposal:
2.
Requirements
Informal Dispute Resolution
2(1) The first step a market participant must take to resolve a dispute with the ISO is to make
reasonable efforts to informally resolve the dispute with the appropriate ISO representative.
(2) If a market participant is unsure of the appropriate ISO representative to contact about the
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� Support
� Oppose
� No Comment
dispute it may call the ISO main reception telephone number posted on the ISO website.
Submission of a Written Dispute
3(1) If a market participant does not receive a satisfactory or timely resolution to its informal dispute
resolution efforts, it may proceed to the second step of the dispute resolution process and submit a
written dispute to the ISO.
(2) The subject matter for a written dispute may include a concern about:
(a) the ISO’s interpretation or application of a current ISO rule, reliability standard or tariff
provision;
(b) an ISO board decision relating to the ISO’s budget review process; or
(c) the operation and conduct of the ISO in carrying out its duties and responsibilities under the Act
or other legislation where a market participant is concerned about :
(i) specific and measurable error by the ISO;
(ii) the ISO not having considered complete information in reaching an ISO determination; or
(iii) an element of unfairness in the process used by the ISO in reaching an ISO determination.
(3) A written dispute must:
(a) include the full legal name of the market participant directly affected by the matter and the
contact information of that market participant to be used for receipt of all notices and
communications;
(b) include the nature and basis of the dispute, a proposed solution to the dispute and any other
material previously submitted to or received from the ISO;
(c) be signed by an officer of the market participant if it is a corporation, one of its partners if a
partnership, or by the market participant personally if an individual person;
(d) be submitted to the ISO at its head office, attention “ISO General Counsel”; and
(e) be submitted to the ISO within thirty (30) business days of an ISO board decision, if the dispute
is regarding a decision concerning the ISO’s budget review process.
Acknowledgement of Receipt
4 Within ten (10) business days of receiving the written dispute, the ISO general counsel must
respond to the market participant in writing, acknowledging receipt of the written dispute and
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identifying the ISO vice president accountable for handling the dispute.
Review of a Written Dispute
5(1) In the case of a written dispute related to the budget review process, the ISO board must, within
thirty (30) business days of the ISO general counsel issuing the acknowledgement of receipt, review
the dispute and advise the market participant in writing of its decision regarding the matter in
dispute.
(2) In the case of all other written disputes, the ISO vice president accountable for the dispute must,
within thirty (30) business days of the ISO issuing the acknowledgement of receipt, review the
dispute and advise the market participant in writing of the ISO decision regarding the matter in
dispute.
(3) If a written dispute is not resolved to the market participant’s satisfaction, the market
participant and the ISO may agree to seek resolution through a mediation or arbitration process.
Assumption of Resolution
6 If a market participant does not object to the ISO’s written decision regarding a dispute within
thirty (30) business days of the delivery of the written decision, the ISO may assume the dispute has
been dealt with to the market participant’s satisfaction and will close the dispute file.
No Delay
7 The initiation of a dispute resolution process under this section will not entitle a market participant
to withhold or delay payment of any amounts due and owing to the ISO, nor will it stay the
implementation of an ISO determination pending resolution of the dispute.
Legal Remedies
8 If a market participant is not satisfied with an ISO decision resulting from a written dispute, that
market participant may pursue any other remedies available to it under the law, including filing a
complaint with the Commission or Market Surveillance Administrator, or commencing a court
action.
Record Retention
9 The market participant and the ISO must each create and maintain their own records in relation to
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a dispute.
Reason for Stakeholder Positions:
Alternate Proposal:
Please return this form with your comments by October 26, 2009, to:
Ghaz Marinho
Regulatory Services
E-mail: ghaz.marinho@aeso.ca
Phone: (403) 539-2474
Fax: (403) 539-2949
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