Compliance Risk Analysis Update Ruchi Ankleshwaria Manager, Compliance Risk Analysis W ESTERN E LECTRICITY C OORDINATING C OUNCIL.

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Presentation transcript:

Compliance Risk Analysis Update Ruchi Ankleshwaria Manager, Compliance Risk Analysis W ESTERN E LECTRICITY C OORDINATING C OUNCIL

Agenda Compliance Risk Analysis Team Status of CMEP Items Inherent Risk Assessment (IRA) Update Internal Controls Evaluation (ICE) Update Compliance Oversight Plan (COP) Update 2 W ESTERN E LECTRICITY C OORDINATING C OUNCIL

Compliance Risk Analysis Team 3 W ESTERN E LECTRICITY C OORDINATING C OUNCIL CIP Del Ruesch Benjamin Scofield Open Position O&P Patrick Van Guilder Mike Curley Heath Tallman Open Position Analysis & Controls Jennifer Hart Ruchi Ankleshwaria

Compliance Risk Analysis Team Responsibilities 4 W ESTERN E LECTRICITY C OORDINATING C OUNCIL Technical Review of CMEP Items (SR, SC, MP, CMP) Inherent Risk Assessment (IRA) Internal Controls Evaluation (ICE) Compliance Oversight Plans (COP) CRA Team

Compliance Risk Analysis Team Responsibilities 5 W ESTERN E LECTRICITY C OORDINATING C OUNCIL Technical Review of CMEP Items (SR, SC, MP, CMP) Inherent Risk Assessment (IRA) Internal Controls Evaluation (ICE) Compliance Oversight Plans (COP) CRA Team

CEMP Items Processing W ESTERN E LECTRICITY C OORDINATING C OUNCIL

Compliance Risk Analysis Team Responsibilities 7 W ESTERN E LECTRICITY C OORDINATING C OUNCIL Technical Review of CMEP Items (SR, SC, MP, CMP) Inherent Risk Assessment (IRA) Internal Controls Evaluation (ICE) Compliance Oversight Plans (COP) CRA Team

Inherent Risk Assessment (IRA) Activities Current Status – IRA Complete - 26 – Improving the Analysis – ERO Enterprise Exercise for IRA “Base Case IRA” 8 W ESTERN E LECTRICITY C OORDINATING C OUNCIL

Base Case IRA Implementation 2017 Second quarter Outcome Refinement to ERO Enterprise IRA process Strengthen ERO Enterprise Framework Establish core set of IRA risk factors Purpose Build Consistency within ERO Enterprise Align RE process for IRA guides and practical applications 9 W ESTERN E LECTRICITY C OORDINATING C OUNCIL

Compliance Risk Analysis Team Responsibilities 10 W ESTERN E LECTRICITY C OORDINATING C OUNCIL Technical Review of CMEP Items (SR, SC, MP, CMP) Inherent Risk Assessment (IRA) Internal Controls Evaluation (ICE) Compliance Oversight Plans (COP) CRA Team

Internal Controls Evaluation (ICE) Activities 11 W ESTERN E LECTRICITY C OORDINATING C OUNCIL Current Status Performing ICE for 2 Entities Build efficiencies in the process Future Plans ERO Enterprise ICE enhancement Process Implementation

Compliance Risk Analysis Team Responsibilities 12 W ESTERN E LECTRICITY C OORDINATING C OUNCIL Technical Review of CMEP Items (SR, SC, MP, CMP) Inherent Risk Assessment (IRA) Internal Controls Evaluation (ICE) Compliance Oversight Plans (COP) CRA Team

Compliance Oversight Plan (COP) Activities Current Status Working on criteria for COP First COP shared with an entity Future Plans Share COP after every audit since 3 rd quarter of 2016 ERO Enterprise COP process 13 W ESTERN E LECTRICITY C OORDINATING C OUNCIL

Summary Reduce CMEP Items queue Improve IRA Analysis Improve ICE Process Look forward to COP 14 W ESTERN E LECTRICITY C OORDINATING C OUNCIL

Questions Ruchi Ankleshwaria (801) W ESTERN E LECTRICITY C OORDINATING C OUNCIL 15