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Compliance Checklist for Energy and Utilities Sector: Alabama

Use this state-specific checklist to ensure your energy and utilities operations meet necessary compliance requirements in Alabama.

Alabama
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Alabama

1. Corporate Governance and Ethics:
The utility has a code of conduct and corporate governance policies in place that are regularly reviewed and followed by all employees.

YesNoNA

Ensure continuous training for employees on governance and ethical standards. Regularly review and update the code of conduct to reflect evolving industry standards and regulations.
Develop and implement a code of conduct and corporate governance policies. Provide mandatory training for all employees and establish a review schedule to ensure ongoing adherence.
2. Risk Management Framework:
The utility has an established risk management framework that identifies, assesses, and mitigates operational and financial risks.

YesNoNA

Regularly review and update the risk management framework. Ensure that emerging risks are promptly addressed and that mitigation strategies are effective.
Develop a comprehensive risk management framework. Identify key risks, assign ownership, and implement mitigation strategies. Monitor the framework’s effectiveness and adjust as needed.
3. Cybersecurity Policies and Procedures:
The utility has robust cybersecurity policies and procedures in place to protect against cyber threats.

YesNoNA

Conduct regular cybersecurity audits and update security protocols. Provide ongoing cybersecurity training for employees and ensure incident response plans are in place.
Develop and implement cybersecurity policies and procedures. Train employees on cybersecurity best practices and establish an incident response team to handle potential breaches.
4. Employee Health and Safety Programs:
The utility has comprehensive health and safety programs to protect employees, including regular training and emergency preparedness drills.

YesNoNA

Maintain ongoing safety training programs and conduct regular emergency preparedness drills. Monitor and improve safety protocols based on feedback and incident reports.
Develop and implement health and safety programs. Provide mandatory safety training for employees and establish procedures for regular drills and safety audits.
5. Internal Audit and Compliance Monitoring:
The utility has an internal audit function that regularly monitors compliance with both internal policies and external regulations.

YesNoNA

Ensure the internal audit function has sufficient resources and authority to operate effectively. Regularly review audit findings and implement recommended corrective actions.
Establish an internal audit department or function. Define audit procedures, schedule regular audits, and ensure that compliance monitoring is thorough and actionable.
6. Data Management and Reporting Accuracy:
The utility has data management policies ensuring the accuracy and security of data used for reporting and decision-making.

YesNoNA

Regularly audit data management practices to ensure accuracy and security. Update data policies as needed to reflect technological advancements and regulatory changes.
Develop data management policies that include guidelines for data accuracy, security, and reporting. Train employees on these policies and establish regular audits to ensure compliance.
7. Customer Service Standards:
The utility has established customer service standards and regularly measures customer satisfaction against these standards.

YesNoNA

Continuously monitor customer feedback and satisfaction levels. Adjust customer service practices and standards as needed to improve service quality.
Define and implement customer service standards. Establish a system to monitor customer satisfaction and gather feedback. Use this data to improve service offerings.
8. Environmental and Sustainability Initiatives:
The utility has internal initiatives aimed at reducing its environmental impact and promoting sustainability.

YesNoNA

Monitor the effectiveness of environmental and sustainability initiatives. Report progress internally and externally, and make adjustments to meet evolving goals.
Develop and launch sustainability initiatives that align with industry standards and community expectations. Establish metrics to measure impact and report progress regularly.
9. Financial Controls and Accountability:
The utility has strong financial controls in place to ensure accurate financial reporting and accountability.

YesNoNA

Regularly review financial controls to ensure they remain robust and effective. Conduct internal audits and implement any necessary improvements based on audit findings.
Implement comprehensive financial controls and establish clear accountability measures. Train financial staff on these controls and conduct regular audits to ensure compliance.
10. Employee Development and Training:
The utility provides ongoing training and professional development opportunities for its employees.

YesNoNA

Regularly assess training programs to ensure they meet employee and organizational needs. Update training content to reflect new skills, technologies, and regulatory requirements.
Develop a training and development program that addresses the skills and knowledge gaps within the organization. Encourage continuous learning and professional growth for all employees.
1. Alabama Public Service Commission (PSC) Compliance:
The utility files all required documents and reports with the Alabama PSC, including rate cases, safety plans, and service quality reports.

YesNo</span >NA

Regularly review filed documents to ensure compliance with PSC requirements. Prepare for audits or requests for additional information.
Identify missing documents or reports and prioritize their preparation and submission. Implement corrective actions to ensure future compliance.
2. Alabama Department of Environmental Management (ADEM) Compliance:
The utility adheres to ADEM regulations, including emissions and water quality standards.

YesNo</span >NA

Monitor environmental data to ensure compliance with ADEM regulations. Submit timely reports and implement necessary mitigation strategies.
Identify areas of non-compliance and develop a corrective action plan. Ensure timely submission of required reports to ADEM.
3. Renewable Energy Standard Compliance:
The utility meets Alabama’s renewable energy requirements by procuring the required percentage of electricity from renewable sources.

YesNo</span >NA

Continuously monitor renewable energy procurement to ensure ongoing compliance. Adjust strategies as needed based on market conditions.
Develop a strategy to increase renewable energy procurement. Explore potential contracts and partnerships to meet state renewable energy standards.
4. Energy Efficiency Program Implementation:
The utility implements energy efficiency programs as required by state law and reports outcomes to the relevant authorities.

YesNo</span >NA

Regularly assess energy efficiency programs’ effectiveness and make necessary adjustments. Report outcomes to the relevant authorities.
Develop and implement required energy efficiency programs. Ensure proper documentation and timely submission of reports.
5. Infrastructure Safety and Maintenance:
The utility maintains compliance with Alabama state regulations on infrastructure safety, including routine maintenance, inspections, and timely repairs.

YesNo</span >NA

Schedule regular safety inspections and maintenance activities. Document all actions to ensure compliance and prepare for regulatory reviews or inspections.
Identify areas of non-compliance and prioritize necessary repairs or maintenance. Develop a schedule to address deficiencies and ensure future compliance.
6. Customer Protection and Service Quality Compliance:
The utility adheres to Alabama PSC regulations regarding customer protection, including billing practices, service quality, and disconnection policies.

YesNo</span >NA

Regularly review customer service practices to ensure compliance with PSC regulations. Train staff on customer protection rules.
Review and update internal procedures to align with PSC customer protection regulations. Address areas of non-compliance promptly.
1. Corporate Governance and Ethics:
The utility has a code of conduct and corporate governance policies in place that are regularly reviewed and followed by all employees.

YesNoNA

Note: Ensure continuous training for employees on governance and ethical standards. Regularly review and update the code of conduct to reflect evolving industry standards and regulations.
Note: Develop and implement a code of conduct and corporate governance policies. Provide mandatory training for all employees and establish a review schedule to ensure ongoing adherence.
Note:
2. Risk Management Framework:
The utility has an established risk management framework that identifies, assesses, and mitigates operational and financial risks.

YesNoNA

Note: Regularly review and update the risk management framework. Ensure that emerging risks are promptly addressed and that mitigation strategies are effective.
Note: Develop a comprehensive risk management framework. Identify key risks, assign ownership, and implement mitigation strategies. Monitor the framework’s effectiveness and adjust as needed.
Note:
3. Cybersecurity Policies and Procedures:
The utility has robust cybersecurity policies and procedures in place to protect against cyber threats.

YesNoNA

Note: Conduct regular cybersecurity audits and update security protocols. Provide ongoing cybersecurity training for employees and ensure incident response plans are in place.
Note: Develop and implement cybersecurity policies and procedures. Train employees on cybersecurity best practices and establish an incident response team to handle potential breaches.
Note:
4. Employee Health and Safety Programs:
The utility has comprehensive health and safety programs to protect employees, including regular training and emergency preparedness drills.

YesNoNA

Note: Maintain ongoing safety training programs and conduct regular emergency preparedness drills. Monitor and improve safety protocols based on feedback and incident reports.
Note: Develop and implement health and safety programs. Provide mandatory safety training for employees and establish procedures for regular drills and safety audits.
Note:
5. Internal Audit and Compliance Monitoring:
The utility has an internal audit function that regularly monitors compliance with both internal policies and external regulations.

YesNoNA

Note: Ensure the internal audit function has sufficient resources and authority to operate effectively. Regularly review audit findings and implement recommended corrective actions.
Note: Establish an internal audit department or function. Define audit procedures, schedule regular audits, and ensure that compliance monitoring is thorough and actionable.
Note:
6. Data Management and Reporting Accuracy:
The utility has data management policies ensuring the accuracy and security of data used for reporting and decision-making.

YesNoNA

Note: Regularly audit data management practices to ensure accuracy and security. Update data policies as needed to reflect technological advancements and regulatory changes.
Note: Develop data management policies that include guidelines for data accuracy, security, and reporting. Train employees on these policies and establish regular audits to ensure compliance.
Note:
7. Customer Service Standards:
The utility has established customer service standards and regularly measures customer satisfaction against these standards.

YesNoNA

Note: Continuously monitor customer feedback and satisfaction levels. Adjust customer service practices and standards as needed to improve service quality.
Note: Define and implement customer service standards. Establish a system to monitor customer satisfaction and gather feedback. Use this data to improve service offerings.
Note:
8. Environmental and Sustainability Initiatives:
The utility has internal initiatives aimed at reducing its environmental impact and promoting sustainability.

YesNoNA

Note: Monitor the effectiveness of environmental and sustainability initiatives. Report progress internally and externally, and make adjustments to meet evolving goals.
Note: Develop and launch sustainability initiatives that align with industry standards and community expectations. Establish metrics to measure impact and report progress regularly.
Note:
9. Financial Controls and Accountability:
The utility has strong financial controls in place to ensure accurate financial reporting and accountability.

YesNoNA

Note: Regularly review financial controls to ensure they remain robust and effective. Conduct internal audits and implement any necessary improvements based on audit findings.
Note: Implement comprehensive financial controls and establish clear accountability measures. Train financial staff on these controls and conduct regular audits to ensure compliance.
Note:
10. Employee Development and Training:
The utility provides ongoing training and professional development opportunities for its employees.

YesNoNA

Note: Regularly assess training programs to ensure they meet employee and organizational needs. Update training content to reflect new skills, technologies, and regulatory requirements.
Note: Develop a training and development program that addresses the skills and knowledge gaps within the organization. Encourage continuous learning and professional growth for all employees.
Note:
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