Compliance 

The Compliance Services Department supports MISO’s commitment to maintain reliable, compliant, efficient operations.  We collaborate with stakeholders and regulators to ensure a compliance framework that provides recognizable value to our stakeholders.  MISO employees participate in annual compliance education and every contracted party is provided a copy of the “Contractor Handbook” which explains MISO’s expectation of compliance with all applicable laws, rules and regulations and describes the procedure for reporting possible compliance violations.

At MISO, we strive to positively influence the industry on compliance and standards and improve compliance culture both inside and outside of our organization.

SOC 1

To assist our Transmission Owners and Market Participants with compliance with regulatory standards, including Sarbanes-Oxley, an independent public accounting firm regularly audits our control environment in accordance with the Statement on Standards Attestation (SSAE) 16 SOC1 Type 2 for periods beginning Dec. 1, 2010, and later or with Statement of Auditing Standards (SAS) 70 for periods Jan. 1, 2006, to Sept. 30, 2010.  

To obtain a copy of our most recent SSAE 16 SOC 1 Type II Audit Report,
please mail or e-mail a completed release
to aheaddy@misoenergy.org (for quickest response) or mail to: 
  

Amy Headdy
MISO
720 City Center Drive
Carmel, IN 46032

 

Compliance Hotline

Use MISO's compliance hotline and website to report suspected unlawful, unethical or inappropriate behavior relative to:

    • MISO Standards of Conduct
    • Other company policies and procedures
    • All applicable municipal, state, and federal laws and regulations

A representative from Global Compliance, a firm retained by MISO, answers all calls. To the extent practicable, we will protect the anonymity of any person who reports suspected misconduct if a name is provided.

Hotline: 1-866-546-9753
Global Compliance website

The MISO Board of Directors is responsible for overseeing MISO's Corporate Compliance Program. Accordingly, in addition to the compliance hotline and website, concerns regarding suspected misconduct may be directed to:

Karl Zobrist
Counsel to the MISO Board of Directors
1-816-460-2545
4520 Main Street
Suite 1100
Kansas City, MO 64111-7700
 

Stephen Kozey
Senior Vice President, Legal & Compliance Services
General Counsel and Secretary
1-317-249-5431
P.O. Box 4202
Carmel, IN 46082-4202

FERC Compliance

MISO grew out of FERC Orders Nos. 888/889 in the Commission’s efforts to satisfy the need for providing non-discriminatory access to electrical transmission. Since its conception, MISO has been responsible for compliance with FERC orders regarding our Tariff and business practices.  Visit our History page for more information.

Find a complete list of MISO Tariff, compliance and informational filings in our Library, which also includes our Business Practice Manuals (BPMs) and Rate Schedules.

NERC Compliance

MISO’s responsibility for ensuring compliance includes compliance with NERC Standards and Requirements applicable to our registered functions, with the exception of those otherwise delineated by the Coordinated Functional Registration (CFR).  Visit our Compliance Corner page to learn more about MISO NERC compliance.

You may also direct compliance-related questions or comments to the Compliance Services team.

 Related Documents

 Related Links