Compliance Checklist for Energy and Utilities Sector: Minnesota

Regularly review FERC regulations and ensure ongoing compliance with updates. Maintain open communication with FERC and prepare for audits or inquiries.

Identify specific areas of non-compliance and take corrective action immediately. Develop and submit any required reports or filings to FERC, and update internal procedures to prevent future issues.

Conduct regular audits and assessments to ensure continued compliance with NERC standards. Stay updated on any changes to reliability standards and adjust operations as needed.

Identify the gaps in compliance and develop a corrective action plan. Implement necessary changes to meet NERC standards and prepare for potential penalties or enforcement actions.

Maintain accurate records of emissions, discharges, and waste management practices. Regularly review and update compliance strategies in line with EPA guidelines.

Identify the areas of non-compliance and take corrective measures immediately. Develop a mitigation plan, update operations as needed, and submit any required reports to the EPA.

Regularly review and update workplace safety protocols. Conduct ongoing safety training for employees and ensure that all incidents are properly documented and reported.

Assess current safety practices and identify areas of non-compliance. Implement necessary safety measures, provide additional training, and ensure all incidents are reported to OSHA.

Ensure all communications infrastructure is regularly inspected and maintained in compliance with FCC regulations. Keep records of all FCC-related activities and filings.

Identify areas where compliance is lacking, such as unapproved attachments or RF emissions above limits. Take immediate action to rectify the situation and update internal procedures to ensure future compliance.

Maintain accurate and timely reporting practices to the DOE. Review and update reporting procedures as needed to ensure ongoing compliance.

Identify missed reporting obligations and submit the necessary reports promptly. Review internal processes to ensure that future DOE reporting requirements are met.

Conduct regular safety inspections and audits of pipeline infrastructure. Ensure that all hazardous materials are handled and transported according to PHMSA regulations.

Identify any deficiencies in pipeline safety or hazardous materials handling. Take immediate corrective actions and implement ongoing monitoring to ensure compliance.

Ensure that all customer-facing communications and billing practices are clear, accurate, and compliant with FTC regulations. Review marketing strategies regularly to avoid misleading claims.

Review and revise billing and communication practices to meet FTC standards. Provide additional training for customer service and marketing teams to ensure compliance.

Regularly audit financial controls and reporting processes to ensure they meet SOX standards. Maintain thorough documentation and prepare for external audits.

Conduct a comprehensive review of financial reporting and internal controls. Implement necessary changes to achieve SOX compliance and prepare for potential audits or reviews.

Monitor energy efficiency initiatives and report progress to relevant federal agencies. Adjust programs as needed to maintain compliance and achieve efficiency targets.

Develop and implement energy efficiency programs to meet federal standards. Submit required reports and documentation to federal agencies and monitor ongoing performance.

Maintain ongoing communication with the NRC to ensure compliance. Regularly review and update safety protocols, emergency preparedness plans, and staff training.

Identify areas of non-compliance and develop a corrective action plan. Submit required documentation and reports to the NRC to achieve compliance.

Ensure thorough documentation of all environmental assessments and public involvement processes. Stay updated on any changes in NEPA requirements.

Initiate the NEPA review process immediately. Prepare and submit environmental assessments or impact statements as required.

Regularly monitor energy efficiency initiatives and renewable energy procurement to ensure compliance. Take advantage of available incentives and rebates.

Develop a plan to align operations with EPAct requirements. Seek out available resources to support compliance efforts.

Regularly review and update the SPCC plan. Conduct periodic training and drills for spill response teams to ensure readiness.

Develop and implement an SPCC plan immediately. Ensure all required spill prevention measures and response protocols are in place and compliant with EPA regulations.

Continuously review and update transport safety procedures. Ensure all staff involved in the transport of hazardous materials are adequately trained and certified.

Identify gaps in transport safety protocols and implement necessary changes. Provide required training to staff and ensure proper documentation.

Regularly review HR policies to ensure compliance with EEOC guidelines. Provide ongoing training to staff on diversity, equity, and inclusion practices.

Update HR policies and practices to align with EEOC regulations. Address any identified issues of non-compliance and provide necessary staff training.

Maintain accurate records of all intellectual property and ensure compliance with patent and trademark regulations. Regularly review IP portfolios and update filings as necessary.

Conduct an audit of intellectual property to identify areas of non-compliance. File or update patent and trademark applications as needed to protect IP assets.

Regularly review and update filed documents to ensure compliance. Prepare for potential PUC audits or inquiries.

Identify missing submissions and prioritize their completion. Take corrective measures to ensure ongoing compliance.

Monitor renewable energy procurement and adjust strategies as needed to maintain compliance with RPS requirements.

Develop a plan to increase renewable energy procurement to meet RPS targets. Explore new sources and adjust procurement contracts accordingly.

Maintain ongoing monitoring and reporting of environmental data. Implement necessary mitigation strategies to ensure compliance.

Identify areas of non-compliance and develop a mitigation plan. Ensure timely reporting and coordination with the MPCA for resolution.

Evaluate the effectiveness of energy efficiency programs and submit regular reports to the PUC. Adjust programs as needed based on customer feedback and regulatory guidance.

Develop and implement required energy efficiency programs under the CIP. Ensure proper documentation and submission of reports to the PUC.

Conduct regular safety inspections and maintenance activities. Document all actions taken to ensure compliance and prepare for potential 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.

Regularly review and update the wildfire mitigation plan. Ensure compliance with state requirements and coordinate with local agencies.

Develop and implement a wildfire mitigation plan. Train staff on wildfire preparedness and response protocols.

Regularly review customer service practices to ensure compliance with PUC regulations. Train staff on customer protection standards and service quality.

Update internal procedures to align with PUC customer protection regulations. Address any complaints or service issues promptly.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.