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 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 ARCMP will replace the ARS Compliance Monitoring Program (CMP). The CMP is currently in effect for scheduled ARS compliance monitoring activities to be conducted in 2024, while the ARCMP roll-out is completed. The AESO will retire the CMP by the end of 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.

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 through 2024 to align with the ARCMP and ensure roll-out is successful.

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:
- Registry [Posted: Sept. 20, 2023]
- 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]
Self-certification
Self-certification is one particular monitoring method within our compliance monitoring program. Unless we specify otherwise, all registered market participants are required to complete ARS self-certifications every 12 months in accordance with the compliance monitoring program.
Download self-certification templates, guides and related documents here:
- Self-certification guide [Updated: Sept. 13, 2022]
- Self-certification letter template guide [Posted: Dec. 15, 2015]
- Self-certification template [Updated: Nov. 16, 2021]
- Self-certification tutorial [Posted: Oct. 1, 2016]
- Self-Certification schedule [Posted: Sept. 20, 2023]
- Self-certification cycle assignment [Updated: Aug. 17, 2023]
- Advanced self-certification standard list [Updated: May 9, 2023]
- 90 Days Submission Deadline [Posted: Nov. 8, 2023]
in accordance with the compliance monitoring program
Compliance monitoring audits
Compliance monitoring audits are one particular monitoring method within our compliance monitoring program. There are two types of audit: scheduled audits and spot audits.
Download audit guides and related documents here:
- Audit Schedule [Updated: March 30, 2023]
- Market participant audit guide [Updated: Sept. 13, 2022]
- Compliance monitoring audit tutorial [Posted: Oct. 1, 2016]
- Core audit requirements [Posted: Sept. 3, 2020]
- 90 Days Submission Deadline [Posted: Nov. 8, 2023]
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: September 20, 2023]
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]
Portal
In anticipation of the release of the Compliance Oversight Plans (COP) to each market participant due to be released in August 2024, the AESO has updated the ARS Portal system. These updates introduce a new communication channel aimed at optimizing and streamlining the release of the COP, as well as allowing each market participant to provide feedback on their COP and for the AESO to respond to that feedback.
A virtual training session is scheduled for Monday, July 15, from 9:30 am to 12:00 pm. The session will be recorded and made accessible for those unable to attend. We strongly encourage each market participant to join this informative session. To register, please express your interest by sending an email to rscompliance@aeso.ca.
- 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]

Stakeholder information sessions

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.

Session 6 | Oct. 26, 2021
The AESO hosted a virtual information session on Oct. 26, 2021 from 8:30 a.m. to 12 p.m.
Purpose
The purpose of the session is to review new technology, tools and documentation related to the ARS Compliance Monitoring Program including:
- Self-Certification Portal | A online portal which serves as a mechanism to exchange information to the AESO
- Advanced Self-Certification | An additional tool for assessing compliance with new standards during self-certification
- Documentation | Updates to documentation including format changes to draft and final report, areas of concern and observation reports, and removal of exception and periodic reporting from the Compliance Monitoring Program
Session 6 materials
- Presentation [Posted: Oct. 19, 2021]
- Agenda [Posted: Oct. 19, 2021]
Sessions 3, 4 ,5 | Nov. – Dec. 2020
The AESO hosted virtual information sessions on:
- 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
Purpose
The purpose of these information sessions was to share the lessons learned from the power system audits completed in Q1 to Q3 2020 so that industry can:
- Better understand the requirements
- Understand what is expected to demonstrate compliance
Information session materials
- Presentation | PER-003 and PER-005 [Posted: Nov. 24, 2021]
- Presentation | PRC-002 and PRC-005 [Posted: Nov. 26, 2021]
- Presentation | FAC-008 and EOP-008 [Posted: Dec. 1, 2021]
Session 2 | Nov. 20, 2018
The AESO hosted an information session on Nov. 20, 2018.
Purpose
The purpose of the session was to share the lessons learned from the CIP audits completed in 2018 with the industry, so that
- We better understand the technical requirements
- We understand what is expected to demonstrate compliance
- We are aware of process improvements
- Ultimately, when you are preparing for an audit, that you know how to prepare evidence to show you are compliant
Session 2 materials
- Presentation | CIP v5 Pilot Audits Lessons Learned [Posted: Nov. 20, 2018]
Session 1 | Oct. 25, 2017
The AESO hosted an information session on Oct. 25, 2017.
Purpose
The purpose of the session was to provide understanding of the CIP compliance monitoring program and approach
- Provides assurances to the industry that those involved in reliability and security are meeting the standards set out
- What do you need to know to be ready to demonstrate you are compliant
- Not about how to be ‘technically compliant’, but how to show you are if you are
Session 1 materials
- Presentation | CIP v5 Compliance Monitoring [Posted: Oct. 25, 2017]