Acts and Regulations

2013-66 - Reliability Standards

Section 17
Disposition versions

Full text
Financial penalties
17(1)The following definitions apply in this section.
“Violation Risk Factor” means the violation risk factor (lower, medium or high) assigned in an approved reliability standard to a violation of a requirement of the approved reliability standard or determined by the Board to apply in respect of the requirement in the absence of an assignment. (facteur de risque de violation)
“Violation Severity Level” means the degree (lower, moderate, high or severe) to which a person has violated a requirement of an approved reliability standard.(degré de gravité de violation)
17(2)If the Board orders the payment of a financial penalty in accordance with paragraph 122(4)(b) of the Act, the Board shall set the amount of the penalty within the range set out in Column 3 of the table to this subsection that corresponds to the Violation Risk Factor set out in Column 1 and the Violation Severity Level set out in Column 2.
Column 1
Column 2
Column 3
Violation Risk Factor
 
Violation Severity Level
Range (per violation)
Lower
Lower
$1,000 to $3,000
Lower
Moderate
$2,000 to $7,500
Lower
High
$3,000 to $15,000
Lower
Severe
$5,000 to $25,000
Medium
Lower
$2,000 to $30,000
Medium
Moderate
$4,000 to $100,000
Medium
High
$6,000 to $200,000
Medium
Severe
$10,000 to $335,000
High
Lower
$4,000 to $125,000
High
Moderate
$8,000 to $300,000
High
High
$12,000 to $625,000
High
Severe
$20,000 to $1,000,000
17(3)In setting the amount of the financial penalty within the appropriate range determined under subsection (2), the Board shall consider, but is not limited to considering, the following factors:
(a) the existence of repetitive violations and the violator’s compliance history;
(b) the failure of the violator to comply with remedial action directives as defined in the NB CMEP;
(c) self-disclosure and voluntary corrective action by the violator;
(d) the degree and quality of the cooperation by the violator in the violation investigation and in any remedial action directed to be carried out in respect of the violation;
(e) the presence and quality of the violator’s compliance program;
(f) any attempt by the violator to conceal the violation;
(g) whether the violation was intentional, including whether it was committed for economic reasons;
(h) whether the violation was intentional but can be demonstrated to constitute a good faith effort to avoid a significant and greater threat to the immediate reliability of the interconnected bulk power system;
(i) the time available to mitigate the impact of the violation on the reliability of the bulk power system; and
(j) the existence of extenuating circumstances such as natural disasters.
17(4)The Board, having determined the appropriate range under subsection (2), may, despite that subsection, require the payment of a financial penalty that is lower than the lowest amount in the range
(a) if the there was no attempt by the violator to conceal the violation and the incident is a first time violation,
(b) if the violation had an inconsequential impact on the reliability of the interconnected bulk power system, or
(c) if, on the written request of the violator, the Board determines that the lower amount is appropriate given the violator’s financial situation and ability to pay the financial penalty.
17(5)Despite subsection (2), if the Board is imposing both a financial and non-financial penalty for a violation, the Board may take the monetary value of the non-financial penalty into account when setting the amount of the financial penalty, even if this results in the setting by the Board of a financial penalty that is lower than the lowest amount in the appropriate range.
17(6)If multiple violations of an approved reliability standard result from a single act or from the same event, the Board may require the violator to pay a single aggregate financial penalty in relation to the violations.
17(7)Any provision of a settlement agreement that relates to financial penalties may supersede any financial penalties that would otherwise be determined under this section.
Financial penalties
17(1)The following definitions apply in this section.
“Violation Risk Factor” means the violation risk factor (lower, medium or high) assigned in an approved reliability standard to a violation of a requirement of the approved reliability standard or determined by the Board to apply in respect of the requirement in the absence of an assignment. (facteur de risque de violation)
“Violation Severity Level” means the degree (lower, moderate, high or severe) to which a person has violated a requirement of an approved reliability standard.(degré de gravité de violation)
17(2)If the Board orders the payment of a financial penalty in accordance with paragraph 122(4)(b) of the Act, the Board shall set the amount of the penalty within the range set out in Column 3 of the table to this subsection that corresponds to the Violation Risk Factor set out in Column 1 and the Violation Severity Level set out in Column 2.
Column 1
Column 2
Column 3
Violation Risk Factor
 
Violation Severity Level
Range (per violation)
Lower
Lower
$1,000 to $3,000
Lower
Moderate
$2,000 to $7,500
Lower
High
$3,000 to $15,000
Lower
Severe
$5,000 to $25,000
Medium
Lower
$2,000 to $30,000
Medium
Moderate
$4,000 to $100,000
Medium
High
$6,000 to $200,000
Medium
Severe
$10,000 to $335,000
High
Lower
$4,000 to $125,000
High
Moderate
$8,000 to $300,000
High
High
$12,000 to $625,000
High
Severe
$20,000 to $1,000,000
17(3)In setting the amount of the financial penalty within the appropriate range determined under subsection (2), the Board shall consider, but is not limited to considering, the following factors:
(a) the existence of repetitive violations and the violator’s compliance history;
(b) the failure of the violator to comply with remedial action directives as defined in the NB CMEP;
(c) self-disclosure and voluntary corrective action by the violator;
(d) the degree and quality of the cooperation by the violator in the violation investigation and in any remedial action directed to be carried out in respect of the violation;
(e) the presence and quality of the violator’s compliance program;
(f) any attempt by the violator to conceal the violation;
(g) whether the violation was intentional, including whether it was committed for economic reasons;
(h) whether the violation was intentional but can be demonstrated to constitute a good faith effort to avoid a significant and greater threat to the immediate reliability of the interconnected bulk power system;
(i) the time available to mitigate the impact of the violation on the reliability of the bulk power system; and
(j) the existence of extenuating circumstances such as natural disasters.
17(4)The Board, having determined the appropriate range under subsection (2), may, despite that subsection, require the payment of a financial penalty that is lower than the lowest amount in the range
(a) if the there was no attempt by the violator to conceal the violation and the incident is a first time violation,
(b) if the violation had an inconsequential impact on the reliability of the interconnected bulk power system, or
(c) if, on the written request of the violator, the Board determines that the lower amount is appropriate given the violator’s financial situation and ability to pay the financial penalty.
17(5)Despite subsection (2), if the Board is imposing both a financial and non-financial penalty for a violation, the Board may take the monetary value of the non-financial penalty into account when setting the amount of the financial penalty, even if this results in the setting by the Board of a financial penalty that is lower than the lowest amount in the appropriate range.
17(6)If multiple violations of an approved reliability standard result from a single act or from the same event, the Board may require the violator to pay a single aggregate financial penalty in relation to the violations.
17(7)Any provision of a settlement agreement that relates to financial penalties may supersede any financial penalties that would otherwise be determined under this section.