Prior to filing of an application Before an application is submitted to the AUC many hours are spent by an applicant preparing the application and may include consultation with affected parties and experts.
Filing of applicationApplications are expected to be filed electronically through the eFiling System. More information the system is available on the eFiling System page of the AUC website.Under certain limited circumstances, the AUC will accept the filing of an application by email or in paper format. Further information on filing an application with the AUC is available on the Filing an application page of the AUC website.
Objections or complaints regarding ISO rules A market participant may object to an independent system operator (ISO) rule under Section 20.4 of the Electric Utilities Act, or complain about an ISO rule under Section 25 of the Electric Utilities Act. The ISO is also required to file ISO rules under Section 25 of the Electric Utilities Act in accordance with directions from the AUC. Further information regarding objections or complaints related to ISO rules is available on the Filing of ISO rules page of the AUC’s website.
Applications related to Alberta reliability standardsAn interested person may challenge new reliability standards, agreements, criteria or directives pursuant to Section 19(6) of the Transmission Regulation. Further information is available on the Filing of Alberta reliability standards page of the AUC’s website.
Applications for the preferential sharing of recordsMarket participants that wish to file an application to share records that are not available to the public can find information available on the Preferential sharing of records page of the AUC website.
Complaints related to conduct of the ISO or MSAAccording to Section 26(1) of the Electric Utilities Act, any person may make a written complaint to the Commission about the conduct of the ISO. According to Section 58 of the Alberta Utilities Commission Act, any person may make a written complaint to the Commission about the conduct of the Market Surveillance Administrator (MSA). Further information is available on the Complaints about the ISO or MSA page of the AUC website.
Confidential materialsA party may request that information it has submitted to the Commission remain confidential. According to Section 13 of AUC Rule 001, or Section 5 of AUC Rule 014, a formal request must be made in writing that briefly describes the nature of the information in the document, and the reasons for the request, including the specific harm that would result if the document were placed on the public record, and indicate whether all or only part of the document is the subject of the request.
ReviewOnce the application is filed with the AUC, Commission members and staff members are assigned to review the application as required.
Notice issuedThe AUC typically issues a notice, which contains the following information:
Name of applicant
Application number and/or proceeding identification number
Nature of the application
How to participate (intervene) in the proceeding, if possible
The AUC lead application officer’s name and contact information
The applicant’s contact information including an individual that can provide further information
All notices are issued through the AUC’s eFiling System and published on the AUC website.
Statement of intent to participateIf in a markets proceeding, the notice contemplates the filing of a statement, then the party filing the statement should note the applicable application number and the proceeding identification number in the subject line and set out the name of the party or organization name, address, telephone number and email address.
Depending on the requirements outlined in the public notice, the submission could require one or more of the following items:
A description of the nature of the party’s interest in the proceeding (i.e. how the party will be affected by the Commission’s decision).
A clear description of the nature of the party’s concerns or objections to the proceeding.
An indication as to whether the party supports or objects to the application.
If you are represented by another party, please include the contact information for your representative. If you are a group, provide a contact person for the group and give details on the group members. Submissions should be addressed to the AUC.
For more information on how to participate visit the Getting Involved page of the AUC website.
The discovery process continuesThe review of the application is ongoing. It is scrutinized by the AUC as well as parties who have shown interest in the application. Information is exchanged between the applicant, interested parties and the AUC, sometimes through the use of information requests and responses. Documents are filed and marked as exhibits and may be referred to throughout the application process.
All information filed in this process is considered to be on the public record unless a specific request is made to the AUC to make certain information confidential. The AUC will make a ruling on the confidentiality request as soon as practical.
Registered interveners may be provided the opportunity to enter evidence regarding the application. This is an opportunity for the interveners to potentially present an alternate position to the matter that is being dealt with in the application. The AUC, the applicant and all other registered interveners are provided the opportunity to examine the intervener evidence. If an oral hearing is required, any party submitting evidence should make one or more witnesses available to respond to questions during the hearing.
Resolution of applicationDuring the course of an application process, the applicant and interveners may sometimes negotiate on matters related to the application through a separate process. In some instances, an agreement is reached between the parties. When this occurs there may be no need for an oral hearing or a significantly shortened oral hearing or written hearing will take place. The AUC considers all of the information filed from a public interest perspective and releases a decision report.
Absent a settlement agreement, the AUC will continue to review the application through a written process, and in some cases, an oral public hearing will also be completed.
HearingAn oral hearing is held when issues in an application cannot be dealt with sufficiently through a written process. The hearing is similar to a court proceeding. Typically a panel of three Commission members is assigned for an oral hearing. Expert witnesses are cross examined and any additional relevant evidence is registered in the proceeding. A transcript of the events is prepared by a court reporter. An oral hearing will vary in length depending upon the number of interveners and quantity of material to be covered by expert witnesses.
Final submissionsOnce the oral hearing has concluded or at the point that all evidence has been exchanged in a written proceeding, dates are established for the presentation or filing of argument. Typically, argument is provided in written form but it can also be provided orally. The argument is the opportunity for the applicant and all interveners to provide their final submissions regarding the application and will include each party’s recommendations on how it considers certain matters should be resolved by the AUC. Argument can only deal with matters that have been covered during the prior processes. New matters cannot be introduced at this phase of the application process.
Reply argument is the opportunity to respond to the initial argument of other parties. Only those issues covered in the initial argument can be addressed in reply argument.
DecisionThe AUC reviews all of the information collected throughout the application process to arrive at an informed decision. The AUC assesses the submissions and evidence provided by the applicant and the interveners and arrives at decisions on various matters. The supporting rationale for the decisions is also provided by the Commission in its decision reports.