Md. Code Regs. 36.07.04.04

Current through Register Vol. 51, No. 26, December 27, 2024

Section 36.07.04.04 - Review of Internal Controls

A. A facility operator shall submit its internal controls to the Commission for review and written approval.

B. If the Commission determines that a submitted internal control is deficient, the:

(1) Commission shall provide the facility operator with written notice of the deficiency; and

(2) Facility operator shall revise the internal control as appropriate and resubmit it to the Commission for review.

C. A facility operator's initial internal controls submission and a change or amendment to its approved internal controls shall be reviewed and approved in accordance with a process and time frame developed and implemented by the Commission.

D. The process developed by the Commission under §C of this regulation shall, at a minimum, require the facility operator to:

(1) Submit a redlined copy of any section of the approved internal controls to be changed or amended with added text underlined and deleted text lined out;

(2) Document on the redlined copy the date the Commission approved the section to be changed or amended and the date the revision was submitted to the Commission for review;

(3) Submit a narrative explaining the reason for the change or amendment which includes the facility operator's target date for implementation;

(4) Maintain a log of all changes or amendments in approved internal controls which includes the initial approval date and the effective date of any change or amendment approved by the Commission; and

(5) Mark each page of approved internal controls with the date on which it was approved by the Commission.

Md. Code Regs. 36.07.04.04

Regulations .04 adopted as an emergency provision effective 40:20 Md. R. 1650, eff.8/26/2013 ; adopted permanently effective December 12, 2013 40:24 Md. R. 2019, eff.8/26/2013