Internal Compliance Program Outline and describe the elements of the ICP in an overview document that includes the following sections: Purpose, Background, and Program Overview Senior Management, Compliance Officer and Internal Compliance Program Core Members (including roles and responsibilities) Risk Assessment Internal Controls Measurable Compliance Performance Targets Compliance Communication and Training Self-Audit and Self-Certification Self-Reporting Documentation and Record Keeping Version History Attachments/Links Applicable Reliability Standards Organizational Chart Terms and Definitions Outline and describe the elements of ICP in an overview document that includes the following: Compliance Culture including organization, senior management commitment, funding, staffing, communication and ICP dissemination. Control Environment including monitoring, tracking, control, documentation, data retention, reporting, remediation, risk assessment. Continual Improvement including internal auditing, education and training. Along with the ICP overview document, develop an Handbook” companion “ICP document that includes specific ICP associated with the ICP. These plans are “plans” detailed processes and/or procedures, which also include the purpose, objective, responsibilities, reference documents and revision history for each plan. Identify and Update Requirements Create a list (in a database, in spreadsheet form, or as a word document) which clearly identifies all applicable NERC and WECC Reliability Standards. The list should: Be updated on at least an annual basis, but more frequently as appropriate. Contain information as to where NERC and WECC Reliability Standards may be found. On the list of applicable NERC and WECC Reliability Standards, assign specific Standard Requirements to certain employees, e.g. Subject Matter Experts (SMEs) or Reliability Standard Owners. The employees would be obligated to continuously monitor and track compliance with assigned NERC Reliability Standards. List any specific required for compliance List any measureable compliance performance targets associated with tasks required for compliance Ensure new or modified Reliability Standards are promptly identified and communicated to those required to comply with the standards.
Internal Compliance Program Outline and describe the elements of the ICP in an overview document that includes the following sections: Purpose, Background, and Program Overview Senior Management, Compliance Officer and Internal Compliance Program Core Members (including roles and responsibilities) Risk Assessment Internal Controls Measurable Compliance Performance Targets Compliance Communication and Training Self-Audit and Self-Certification Self-Reporting Documentation and Record Keeping Version History Attachments/Links Applicable Reliability Standards Organizational Chart Terms and Definitions Outline and describe the elements of ICP in an overview document that includes the following: Compliance Culture including organization, senior management commitment, funding, staffing, communication and ICP dissemination. Control Environment including monitoring, tracking, control, documentation, data retention, reporting, remediation, risk assessment. Continual Improvement including internal auditing, education and training. Along with the ICP overview document, develop an “ICP Handbook” companion document that includes specific ICP “plans” associated with the ICP. These plans are detailed processes and/or procedures, which also include the purpose, objective, responsibilities, reference documents and revision history for each plan. Identify and Update Requirements Create a list (in a database, in spreadsheet form, or as a word document) which clearly identifies all applicable NERC and WECC Reliability Standards. The list should: Be updated on at least an annual basis, but more frequently as appropriate. Contain information as to where NERC and WECC Reliability Standards may be found. On the list of applicable NERC and WECC Reliability Standards, assign specific Standard Requirements to certain employees, e.g. Subject Matter Experts (SMEs) or Reliability Standard Owners. The employees would be obligated to continuously monitor and track compliance with assigned NERC Reliability Standards. List any specific required for compliance List any measureable compliance performance targets associated with tasks required for compliance Ensure new or modified Reliability Standards are promptly identified and communicated to those required to comply with the standards.
2017%20ICPA%20Survey%20V6.0.docx