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The Fair, Efficient and Open Competition Regulation (AR 159/2009) came into force on September 1, 2009. Section 3(1) of the Fair, Efficient and Open Competition Regulation states that a market participant, subject to the exceptions set out in Section 3(2) of the regulation, may not share records that are not available to the public relating to any past, current, or future price and quantity offer made to the power pool or for the provision of ancillary services.

Filing and participating Find active and historic applications Find decisions

To submit an application, go to the eFiling System and select Request proceeding and then under the Applications menu, add an application:

  • Group: Market oversight
  • Category: Record sharing
  • Type: Preferential sharing of records

To participate as an observer, find the application or proceeding and select Registered parties and then select Register to participate

For additional information please see:

Filing an application

eFiling System user guide

Go to the eFiling System and select Find > Applications of Find > Proceedings from top navigation menu then enter the following:      

  • Division: Markets
  • Application Category: –Record Sharing
  • Application status: Registered or Decided in part if looking for current applications or Closed or Decided for historic applications.

Either go to the external website under the Decisions left-menu item, or go to the eFiling System and select Find > Dispositions from the top navigation menu then enter to the following:

  • Division: Markets
  • Category: Record Sharing

 

Records that can be shared
As set out in Section 3(2) the Fair, Efficient and Open Competition Regulation, records that are not available to the public that may be shared include those:

(a)  Between market participants who are affiliates of each other.

(b)  Between market participants 60 days after the price and quantity offer was made to the power pool or for the provision of ancillary services.

(c)  By a market participant with a broker, brokerage, forward exchange or person who prepares a price index for the purpose of, or related to, trading electricity, electric energy, electricity services or ancillary services.

(d)  By a market participant with the ISO (in Alberta, the role and obligations of the ISO are fulfilled by the AESO) or the MSA.

(e)  By a market participant with another person, where required or permitted to do so by any enactment, except an ISO rule.

(f)   By a market participant with another person, where required or permitted to do so by an ISO rule, but only to the extent that sharing is for the sole purpose of financial settlement.

(g)  Pursuant to an agreement or arrangement approved by the ISO before the coming into force of the Fair, Efficient and Open Competition  Regulation, for a period of one year after the coming into force of the Fair, Efficient and Open Competition Regulation or until the expiry or termination of the agreement or arrangement, whichever is earlier..

(h)   in accordance with an order of the Commission.

Parties requiring an order from the Commission
Those market participants without information sharing agreements previously approved by the AESO must file an application for an order permitting the sharing of records from the Commission.

Section 3(3) of the Fair, Efficient and Open Competition Regulation specifies that the Commission may, on application by a market participant that is otherwise not allowed to share non-public records under Section 3(1), issue an order permitting the sharing of those records. 

For the Commission to approve such an application a market participant must establish that the information shared will not be used for any purpose that does not support the fair, efficient and openly competitive operation of the market, and that the sharing of preferential records is reasonably necessary for the market participant to carry out its business. 

The Commission has provided the minimum filing requirements (below) to assist the Commission in determining whether a market participant has met the requirements set out in sections 3(3)(a) and (b) of the Fair, Efficient and Open Competition Regulation.

TIPS:

  • Review the minimum filing requirements for preferential record sharing applications.

  • Review previous AUC decisions regarding preferential record sharing applications to understand the process and identify possible areas of interest when the Commission is considering an application).

  • Accurately and clearly describe the flow of information contemplated in the preferential record sharing agreement between the parties.

  • When the expiry date for a preferential record sharing agreement is approaching, ensure there is enough lead-time for the Commission to process any new information such as a new application or an amended agreement.

Useful links and related information:

Template process for reviewing applications
Fair Efficient and Open Competition Regulation
Background discussion paper
Market Oversight and Enforcement Division contacts

Filing an application - instructions

The Commission's electronic filing system (eFiling System) has been modified to handle the confidential nature of preferential sharing of records applications as long as the applicant requests and registers a proceeding type Records Sharing to the division Markets.

Although the applications are primarily non-public, market participants should refer to Section 3(5) of the Fair, Efficient and Open Competition Regulation and the template process for reviewing applications for the aspects of an application that are necessarily public.

Applications are expected to be filed electronically through the eFiling System. In order to file applications through the eFiling System, applicants or their representatives require an eFiling System account. The eFiling System User Guide provides detailed instructions on the use of the system.

Any questions with respect to the eFiling System may be directed by email to info@auc.ab.ca or by telephone at 403-592-4500.

The requirements and procedures for filing, revising and submitting information to the AUC is found in Rule 001Rules of Practice