ARS Compliance Monitoring
Purpose
The AESO is obligated to monitor market participant's compliance with the Alberta Reliability Standards (ARS) in accordance with the Transmission Regulation.
The following accordions include materials and information on compliance monitoring processes, as well as reliability standards audit worksheets. The AESO will provide enhanced compliance monitoring processes to align with the ARCMP and ensure roll-out is successful.
-
Alberta Risk-Based Compliance Monitoring Program (ARCMP)
The Alberta Risk-Based Compliance Monitoring Program (ARCMP) defines the risk-based framework for the AESO’s compliance monitoring function for ARS and the processes the AESO utilizes to conduct monitoring activities proportionate to the risk posed by each market participant. The ARCMP is in effect as of June 1, 2024.
The Alberta Reliability Risk Priorities Report and Alberta Entity Risk Factors Criteria are outputs of the ARCMP system level risk and the entity risk profile processes. The AESO will update these documents in accordance with the processes and timelines documented in the ARCMP.
-
Registration
Registration is one particular monitoring method within our compliance monitoring program. If you own or operate transmission, generation, or distribution assets that affect the reliability of the Alberta Interconnected Electric System, you can find the appropriate registration forms below.
Download registration forms, guides and related information here:
- ARS Functional Model and Criteria for Registration [Posted: April 14, 2016]
- Registration guide [Posted: April 6, 2021]
- Designation of documentation provider guide [Posted: May 2, 2013]
- Registration form [Posted: Dec. 15, 2020]
- Designation of documentation provider form [Posted: Dec. 17, 2020]
Compliance Tools and Processes
-
Self-certification
Self-certification is one particular monitoring method within our compliance monitoring program.
- ARCMP - Self-Certification Process [Posted: March 07, 2025]
-
Compliance monitoring audits
ARS audits are a risk-based process conducted by the AESO in coordination and collaboration with the entity. The primary objective of the audit is for the AESO to assess and measure the entity’s evidence to gain reasonable assurance of compliance with applicable ARS.
The audit is also an opportunity for the AESO and the entity to develop and maintain effective relationships and demonstrate cooperation and commitment that directly supports the reliability and security of the interconnected electric system, confirms areas of strength, identifies best practices, and identifies concerns and/or opportunities for enhancements that will lead to continuous improvement of entity internal compliance programs and ARS compliance outcomes in Alberta.
The AESO will remove and archive outdated information and continue to post information on this page as it continues to implement the ARCMP and ARCMP Audit Process.
Download audit related documents here:
- ARCMP Audit Process [Posted: Jan. 29, 2025]
-
Reliability standards audit worksheets
When a reliability standard is approved, we post a reliability standard audit worksheet (RSAW) to our website. These are used to document and assess compliance with a particular ARS. When downloading a RSAW, be sure to choose the appropriate one.
Download ARS RSAW templates and guides here:
- RSAW guide [Posted: Nov. 12, 2013]
- RSAWs - using the template [Posted: March 10, 2010]
CIP - Critical Infrastructure Protection Standards
- CIP-013-AB-2 (Effective Oct 1, 2024)[Posted: September 25, 2023]
- CIP-010-AB-4 (Effective Oct 1, 2024)[Posted: September 25, 2023]
- CIP-003-AB-8 (Effective Oct 1, 2024)[Posted: September 25, 2023]
- CIP-005-AB-7 (Effective Oct 1, 2024)[Posted: September 25, 2023]
- CIP-002-AB-5.1[Posted: April 4, 2019]
- CIP-003-AB-5[Posted: April 4, 2019]
- CIP-004-AB-5.1[Posted: April 4, 2019]
- CIP-005-AB-5[Posted: April 4, 2019]
- CIP-006-AB-5[Posted: April 4, 2019]
- CIP-007-AB-5[Posted: April 4, 2019]
- CIP-008-AB-5[Posted: April 4, 2019]
- CIP-009-AB-5[Posted: April 4, 2019]
- CIP-010-AB-1[Posted: April 4, 2019]
- CIP-011-AB-1[Posted: April 4, 2019]
- CIP-012-AB-1[Posted: December 21, 2022]
- CIP-014-AB-2[Posted: September 5, 2019]
COM - Communications Standards
- COM-001-AB1-1.1[Posted: December 18, 2015]
- COM-002-AB1-2a[Posted: December 18, 2015]
- COM-001-AB-3[Posted: September 20, 2023]
- COM-002-AB-4[Posted: January 20, 2025]
EOP - Emergency Preparedness and Operations Standards
- EOP-001-AB1-2.1b[Posted: December 18, 2015]
- EOP-003-AB1-1[Posted: December 18, 2015]
- EOP-004-AB2-1[Posted: December 18, 2015]
- EOP 005 AB 3[Posted: May 7, 2024]
- EOP-008-AB-1[Posted: July 21, 2023]
- EOP-011-AB-1[Posted: October 19, 2021]
FAC - Facilities Design, Connections and Maintenance Standards
- FAC-003-AB1-1[Posted: December 18, 2015]
- FAC-008-AB-3[Posted: December 3, 2019]
- FAC-501-WECC-AB2-1[Posted: December 18, 2015]
MOD - Modeling, Data, and Analysis Standards
- MOD-010&012-AB-0[Posted: December 18, 2015]
PER - Operations Personnel Performance, Training, and Qualifications Standards
- PER-003-AB-1[Posted: December 3, 2019]
- PER-005-AB-2[Posted: December 3, 2019]
- PER-006-AB-1[Posted: July 21, 2023]
PRC - Protection and Control Standards
- PRC-001-AB3-1.1(ii)[Posted: March 9, 2020]
- PRC-002-AB-2[Posted: June 19, 2019]
- PRC-004-WECC-AB1-1[Posted: January 10, 2017]
- PRC-004-AB2-1[Posted: March 9, 2020]
- PRC-005-AB2-6[Posted: January 5, 2021]
- PRC-006-AB-3[Posted: October 19, 2021]
- PRC-010-AB-2[Posted: October 19, 2021]
- PRC-018-AB-1[Posted: January 9, 2017]
- PRC-019-AB-2[Posted: October 19, 2021]
- PRC-021-AB1-1[Posted: December 18, 2015]
- PRC-023-AB-2[Posted: December 18, 2015]
- PRC-023-AB-4[Posted: September 10, 2020]
- PRC-025-AB-2[Posted: September 19, 2024]
VAR - Voltage and Reactive Standards
- VAR-002-AB-3[Posted: January 15, 2016]
- VAR-002-AB-4.1[Posted: July 22, 2021]
- VAR-002-WECC-AB-1[Posted: December 18, 2015]
- VAR-501-WECC-AB-1[Posted: December 18, 2015]
-
AESO ARS Portal
- Portal Update Training - COP Launch [Posted: July 19, 2024]
- Portal Training Session – Self-Certification [Posted: Dec. 14, 2021]
- ARS Compliance Portal Guide [Updated: July 17, 2024]
- Portal Update Training (Q1 2024) [Posted: Feb. 14, 2024]
Compliance Training and Material
The purpose of these information sessions is to periodically review, provide updates and share lessons learned on the compliance monitoring program and answer stakeholder questions.
- PER-003 and PER-005 on Nov. 24, 2021
- PRC-002 and PRC-005 on Nov. 26, 2021
- FAC-008 and EOP-008 on Dec. 1, 2021
Compliance Announcement and Information
We are excited to announce that the new Self-certification process will be officially launched on May 1, 2025. The AESO has updated the portal system to introduce an enhanced process designed to improve collaboration, transparency, efficiency, and overall effectiveness.
To help you prepare for this release, we have scheduled virtual training sessions on Monday, March 31, from 9:30 AM to 11:00 AM and Monday, April 14, from 9:30 AM to 11:00 AM. We highly encourage all market participants to attend one of these informative sessions.
To register, please send an email expressing your interest to rscompliance@aeso.ca.
