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Amendments to AUC Rule 019, AUC Bulletin 2021-03

Link to Bulletin Summarized

The AUC approved amendments to Rule 019: Specified Penalties for Contravention of ISO Rules. The changes are effective as of March 1, 2021.

On December 17, 2020, the AUC initiated a rule-review process in which it sought feedback from stakeholders on changes to Rule 019 as proposed by the Market Surveillance Administrator (“MSA”). The proposed changes involved having Rule 019 apply to all independent system operator (“ISO”) rules, collapsing the current three categories of contraventions into one category, and using the penalty escalation currently found in the Category 1 table to determine the penalty amount for subsequent contraventions of the same ISO rule.

Most stakeholders who provided comments supported the proposed changes. However, some stakeholders believed that treating all ISO rule contraventions with the same severity and risk may not provide the proper guidance regarding compliance.

While the AUC approved the amendments as proposed by the MSA, the AUC sees merit in exploring with market participants and other stakeholders the need to conduct a comprehensive review of Rule 019. Given the regulatory schedule, the AUC will not commence this review until the fourth quarter to 2021.

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