The Fair, Efficient and Open Competition Regulation (AR 159/2009) (FEOC Regulation) came into force on September 1, 2009. One requirement within the FEOC Regulation is that a market participant 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.
Records that can be shared
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 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 FEOC Regulation, for a period of one year after the coming into force of the FEOC Regulation or until the expiry or termination of the agreement or arrangement, whichever is earlier, or
(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 from the Commission.
Section 3(3) of the FEOC 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 Section 3(3)(a) and (b) of the FEOC Regulation.
Minimum Filing Requirements for Preferential Record Sharing Applications
Useful links and related information:
Template process for reviewing applications
FEOC Regulation
Background Discussion Paper
Stakeholder Comments
Frequently Asked Questions
Markets Division contacts
Filing an application - instructions
The Commission’s system software has been modified to handle the confidential nature of Preferential Sharing of Records applications as long as the type of application submitted is designated as a Preferential Sharing of Records application.
Although the applications are primarily non-public, market participants should refer to Section 3(5) of the Fair, Efficient and Open Competition Regulation (AR 159/2009) (FEOC 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 Digital Data Submission (DDS) Service. In order to file applications through DDS, applicants or their representatives require a DDS User ID and the role "Submit Facilities/Resources/Utilities Application" on the DDS user profile. Requirements for account set-up are outlined in the DDS User Guide.
Obtaining a Business Associate Identifier (BA ID) is a prerequisite for utility companies, municipalities, law firms, consulting organizations and intervener associations to set up a DDS account and file an application with the AUC. An application for a BA ID can be made to the Petroleum Registry of Alberta.
Any questions with respect to DDS may be directed by email to systemservices@auc.ab.ca or by telephone at 780-643-1055.
The E-Filing User Guide provides detailed instructions on the use of the E-Filing system; the E-Filing Attachment Guide describes the attachment descriptions, access protection and types for Preferential Sharing of Records applications on page 68.
The requirements and procedures for filing, revising and submitting information to the AUC is found in AUC Rule 001 Rules of Practice.