Compliance and Enforcement Guidance FAQ
1. What is compliance and enforcement guidance?
2. How do I submit a request for compliance and enforcement guidance?
4. Is MACD required to provide compliance and enforcement guidance?
5. How long does it take for MACD to provide compliance and enforcement guidance?
6. Will MACD publish compliance and enforcement guidance?
7. Can MACD use information submitted in a CEG Request form to investigate an Applicant?
8. Is compliance and enforcement guidance binding on the IESO and MACD?
1. What is compliance and enforcement guidance?
Compliance and enforcement guidance with respect to a specific provision of the Market Rules or Market Manuals represents, on a forward looking basis, MACD’s view as to the meaning of that specific provision and its potential application in a compliance investigation.
The goal of the Compliance and Enforcement Guidance (CEG) Process is to foster market participant and IESO compliance with the Market Rules and Manuals.
There are three types of compliance and enforcement guidance that MACD may provide:
1. Strict Interpretation
This type of guidance can involve explanations of the market rule's language in order to explain the market rule's basic parameters, such as whether it is mandatory or permissive, which entity is subject to the Market Rule and the legal thresholds that would have to be met for compliance. There is no consideration of specific facts, historical or prospective, relating to actions, events or conduct that would be governed by that Market Rule.
2. Application and Compliance Guidance
This type of guidance includes a Rule Interpretation of a Market Rule as defined above, as well as:
a) the application of the Market Rule in regard to specific planned, potential or hypothetical facts, events or conduct presented by the Applicant; and
b) a conditional compliance assessment in relation to the specific planned, potential or hypothetical facts, events or conduct presented by the Applicant.
3. Enforcement Guidance
This includes Application and Compliance Guidance as defined above, as well as guidance related to the likely or conditional MACD enforcement decision and/or action in cases where the Application and Compliance Guidance concludes that non-compliance with the Market Rule would likely be determined.
2. How do I submit a request for compliance and enforcement guidance?
Anyone can submit a request for compliance and enforcement guidance to MACD by completing the CEG Request form and submitting it to CEG.Request.MACD@ieso.ca.
No, there is no fee to submit a request for compliance and enforcement guidance at this time.
4. Is MACD required to provide compliance and enforcement guidance?
No, MACD is not required to provide compliance and enforcement guidance. The CEG Process is a voluntary service provided by MACD. MACD may decline to provide the requested guidance. An applicant submitting a CEG Request will be notified whether MACD will provide the requested guidance.
5. How long does it take for MACD to provide compliance and enforcement guidance?
As the CEG Process is a new, voluntary service, there are currently no service timelines in place for providing compliance and enforcement guidance. However Applicants should expect that more complex requests would require more time. In the future, MACD may consider implementing service timelines for the CEG Process.
6. Will MACD publish compliance and enforcement guidance?
Yes, MACD intends to publish compliance and enforcement guidance on the IESO website, subject to the confidentiality provisions in the Market Rules.
7. Can MACD use information submitted in a CEG Request form to investigate an Applicant?
Yes. Where appropriate, the IESO may initiate other actions, including a compliance investigation, as a result of the submission of a request for compliance and enforcement guidance.
8. Is compliance and enforcement guidance binding on the IESO and MACD?
In the case where the compliance and enforcement guidance is published as an Interpretation Bulletin (IB), the compliance and enforcement guidance would be binding on the IESO, including MACD, within the limits of the information contained in the IB.
In the case where the compliance and enforcement guidance is published as Application and Compliance Guidance or Enforcement Guidance that includes specific facts, the compliance and enforcement guidance would be binding on the IESO, including MACD, only to the extent of the specific fact scenario. Any changed or additional facts render the compliance and enforcement guidance non-binding.
The CEG Request form includes the following disclaimer: Any guidance developed in response to a Compliance and Enforcement Guidance Request assumes that complete and accurate information related to this request is provided to MACD. MACD’s guidance may change if there are subsequent amendments to relevant provisions in the Electricity Act, 1998, the Market Rules, Market Manuals, Interpretation Bulletins, or other applicable legislation or regulations. The guidance would not supersede the findings of the Dispute Resolution Panel, the Ontario Energy Board, the courts, or any other adjudicative body with jurisdiction over the subject matter of this document.