247 Maitland AvenueAltamonte Springs, FL 32701-4201 USAwww.theiia.org/GRC2012

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2 0 1 2 G o v E R n A n C E , R I S k , A n D C o n t R o L C o n F E R E n C E

A U G U S t 2 0 – 2 2 , 2 0 1 2 / t h E B R E A k E R S / P A L M B E A C h , F L , U S A

MAxIMIzINg INterNAl AudIt’svAlue ANd relevANCe

the Breakers Palm Beach, FL / +1-888-273-2537 US $189 plus applicable taxes for reservations made before August 6 (based on availability).

By popular demand, the 2012 GRC Conference will return to The Breakers. Located just six miles from Palm Beach International Airport, The Breakers offers the convenience, comfort, and classic elegance that creates a memorable meeting experience. The resort is just 5 minutes from downtown West Palm Beach so you can take in local sights after a comprehensive day of learning.

www.theiia.org/gaming2012www.theiia.org/grC2012

2012 Governance, risk, and control conferenceAugust 20–22, 2012 / the Breakers / Palm Beach, FLwww.theiia.org/Grc2012

maximizinG internal audit’s value and relevance

Despite recent turbulent events and the fragile economic landscape, internal auditors remain at the forefront of their organization’s governance, risk, and control/compli-ance efforts. The 2012 Governance, Risk, and Control (GRC) Conference enjoys a solid reputation among chief audit executives, audit and corporate management, and staff as “a resource that helps to maximize internal audit’s value and relevance in the areas of operational, compliance, fraud, strategic, and technology risks.”

Do you have the analytical and critical thinking, communication skills, and business acumen to assume your role as a true business partner? Are your audit efforts aligned with key business strategies? This conference will help you attain those goals by presenting you with the best practices and personal experiences of career auditors who work for or oversee high-performing audit groups, and whose insight and passion for the profession resonates from the podium.

Four keynote sessions and 32 concurrent breakout sessions allow you to person-ally interact with senior-level executives from highly respected organizations including but not limited to Boeing, the Canadian Commercial Corporation, Georgetown University, MetLife, Smith & Wesson, The Hartford Financial Services Group, the U.S. Postal Service, and many others.

Tracks focus on those topics identified by practitioners as being the most impor-tant for the profession with an underlying focus on fraud and technology:

• TowardEffectiveGovernance• EnhancingEnterpriseRiskManagement• InvestinginControls• AuditingSmarter

To further enhance your conference experience, participate in a pre-conference workshop on Sunday, August 19, from 3:00 – 6:00 p.m. on Fraud and Risk Self Assessment, led by Dr. Joan Pastor of JPA International Inc.

To be world-class, you must strive to be best-in-class in your performance at every level – leadership, governance, control, risk management, fraud, technology, and relationship management. The IIA’s 2012 GRC Conference can help!

visit www.theiia.org/Grc2012 to learn more and log in on or before June 8 to save us $200 when you register as an iia member.

Group discounts are also available by calling +1-407-937-1111.

www.theiia.org/grC2012

sunday, auGust 19, 2012 LEARnInG LEvEL = I – Beginner II – Intermediate III – Advanced – Fraud – technology

3:00 – 6:00 p.m. Pre-conference WorkshopWrk 1 fraud and risk self Assessment IDr. joan Pastor, Chief Executive Officer, JPA International Inc. Auditing

4:00 – 6:00 p.m. Registration

monday, auGust 20, 20127:00 a.m. – 5:00 p.m. Registration7:30 – 8:30 a.m. Continental Breakfast and networking8:30 – 9:45 a.m. opening Comments - GRC Conference Chairman

Gs 1 sharpening our focus on the road Ahead: Internal Auditing 20/20 IIRichard F. Chambers, CIA, CGAP, CCSA, CRMA, President and Chief Executive Officer, The Institute of Internal Auditors Auditing

9:45 – 10:15 a.m. networking BreakTRACKS TOWARD EFFECTIVE GOVERNANCE ENHANCING ENTERPRISE

RISK MANAGEMENT INVESTING IN CONTROLS AUDITING SMARTER

10:15 – 11:30 a.m. cs 1-1 I

leadership skills for Working with executives and Audit Committees

Dr. joan Pastor Chief Executive Officer JPA International Inc.

cs 1-2 II

Aligning erM and Internal Audit to focus on strategic risksMODERATOR:

Sandra Pundmann, CIA Partner, Audit and Enterprise Risk Services Deloitte & Touche LLP

PANELISTS:

Elizabeth truelove McDermott Vice President, Ethics and Compliance Services Devry Inc.

thomas Cheriyan Director, Business Process Assurance CDW Corp.

cs 1-3 I

detecting fraud in Credit Card data

Phillip W. hurd Chief Audit Executive and Director, Internal Auditing Georgia Institute of Technology

cs 1-4 II

New technology is Changing business Processes, risks, and Controls. how Will that Impact You?

norman Marks, CRMA Vice President SAP

Personal Development Management Advisory Services Auditing Auditing

11:30 a.m. – 12:45 p.m. Lunch12:45 – 2:00 p.m. cs 2-1 II

governance, risk, and Control: What is it? how is it different than enterprise risk Management?

Dr. Glenn E. Sumners, CIA Director, Center for Internal Auditing College of Business

Dr. jared S. Soileau, CIA, CCSA Visiting Assistant Professor, Accounting

Louisiana State University

cs 2-2 I

be at the table: tips and techniques for Auditors to Promote effective and efficient enterprise risk Management

Carin Salonia Assistant Vice President, Internal Audit Management Advisory Services

Daniel Seabra Assistant Director, Internal Audit Management Advisory Services

The Hartford Financial Services Group

cs 2-3 II

enhancing Management’s Internal Control Capabilities

jacqueline Wagner, CIA Consultant Ernst & Young LLP

Bavan holloway, CIA Vice President, Corporate Audit, Office of Internal Governance The Boeing Co.

cs 2-4 I

best Practices on the use of data Mining to Combat fraud

Felicia A. hawkins Manager, Countermeasures and Performance Evaluation U.S. Postal Service

Auditing Management Advisory Services Auditing Specialized Knowledge and Applications

2:00 – 2:30 p.m. networking Break2:30 – 3:45 p.m. cs 3-1 I

Internal Audit: thought leadership for effective Crisis Management

Sanjay Patel Deputy Chief Accountability Officer Central Management Services State of Illinois

cs 3-2 II

Integrating It into the erM Process

Xenia Ley Parker, CIA, CFSA Senior Director, IT Internal Audit Marsh & McLennan Companies

cs 3-3 III

Choices In risk Management ModelsMODERATOR:

Sally j. Dix, CIA, CRMA Vice President, Standards and Guidance The Institute of Internal Auditors

PANELISTS:

R. karl Erhardt Senior Vice President and General Auditor MetLife

Sandra Pundmann, CIA Partner, Audit and Enterprise Risk Services Deloitte & Touche LLP

norman Marks, CRMA Vice President SAP

cs 3-4 II

Audit smarter, Not longer! It Audit Case study

Ross Elliott Wescott, CIA Chief IT Auditor Portland General Electric Co.

Management Advisory Services Auditing Business Management & Organization Auditing

monday, auGust 20, 2012 (ContInUED) LEARnInG LEvEL = I – Beginner II – Intermediate III – Advanced – Fraud – technology

3:45 – 3:55 p.m. Session Change3:55 – 5:10 p.m. cs 4-1 II

Auditing governance: If there’s a Will, there’s a Way

hal Garyn, CIA Vice President, North American Audit Services The Institute of Internal Auditors

cs 4-2 I

An overview of the oCeg grC Capability Model

jason Mefford, CIA, CRMA President Mefford Associates

jane Diaz Senior Internal Auditor Ventura Foods LLC

cs 4-3 I

governing with ItIl and CobIt

Pam nigro Manager Health Care Service Corp.

cs 4-4 II

the Auditor’s role in helping Management understand how to Prevent and detect fraud

harriet Richardson, CIA, CGAP Deputy City Auditor City of Berkeley, CA

Auditing Auditing Computer Science Auditing

5:15 – 6:30 p.m. Welcome Reception

tuesday, auGust 21, 20127:30 a.m. – 5:00 p.m. Registration7:30 – 8:30 a.m. Continental Breakfast and networking8:30 – 9:45 a.m. opening Comments

Gs 2 Providing Assurance over risk Management: It’s Not an option Anymore IIPaul j. Sobel, CIA, CRMA, Vice President and Chief Audit Executive, Georgia-Pacific LLP Management Advisory Services

9:45 – 10:15 a.m. networking BreakTRACKS TOWARD EFFECTIVE GOVERNANCE ENHANCING ENTERPRISE

RISK MANAGEMENT INVESTING IN CONTROLS AUDITING SMARTER

10:15 – 11:30 a.m. cs 5-1 II

Case study: Corporate governance start-up

nick Moscaritolo Vice President, Internal Assurance JDA Software Group

cs 5-2 II

risk Management strategy: the right Approach for Your organization

Sally j. Dix, CIA, CRMA Vice President, Standard and Guidance The Institute of Internal Auditors

cs 5-3 II

Case study: how elster group Integrates Multiple Compliance Initiatives on a single technology Platform

Malte h. Globig, CIA Senior Manager, Internal Audit Elster Group SE

cs 5-4 II

IA fraud risk Assessment and Management

Annie Dugas Director, Investigative and Forensic Services Raymond Chabot Grant Thornton Consulting Inc.

Christian Asselin Chief Audit Executive Natural Resources Canada

Auditing Auditing Auditing Auditing

11:30 a.m. – 12:45 p.m. Lunch12:45 – 2:00 p.m. cs 6-1 II

how a small Audit department enhances Corporate governance through a broader, More strategic focus on risk

kaveh Rikhtegar, CIA Director, Internal Audit Canadian Commercial Corp.

cs 6-2 II

enterprise fraud risk Management

Paul E. Zikmund Director, Global Integrity and Forensic Audit Bunge Ltd.

cs 6-3 II

honorably retiring “Controls” and Promoting “risk treatments”: It’s time

tim j. Leech, CIA, CRMA Managing Director, Global Services Risk Oversight Inc.

cs 6-4 II

Crisis Management: A New Playbook

jason Ackerman, CIA, CRMA Chief Audit Executive Georgetown University

Monica Modi Dalwadi, CIA Director Baker Tilly

Auditing Auditing Auditing Business Management & Organization

2:00 – 2:30 p.m. networking Break

reGister as an iia memBer and save!www.theiia.org/Grc2012 / +1-407-937-1111

Group discounts are also availaBle

www.theiia.org/grC2012

tuesday, auGust 21, 2012 (ContInUED) LEARnInG LEvEL = I – Beginner II – Intermediate III – Advanced – Fraud – technology

TRACKS TOWARD EFFECTIVE GOVERNANCE ENHANCING ENTERPRISE RISK MANAGEMENT

INVESTING IN CONTROLS AUDITING SMARTER

2:30 – 3:45 p.m. cs 7-1 II

Is It governance really Auditable?

tim Penrose, CIA Senior Director, IT Audit TIAA-CREF

cs 7-2 II

leveraging the three lines of defense for effective risk Coverage

R. karl Erhardt Senior Vice President and General Auditor MetLife

cs 7-3 II

time to get real - refocusing Controls to fight Modern threats

Daimon Geopfert National Leader, Security and Privacy Consulting McGladrey LLP

vincent j. Schira IT Audit Program Leader Domino’s Pizza

cs 7-4 II

emerging technology risks – “smart Phones, iPads and blackberries, oh My!”

norman Comstock, CIA, CRMA, CCSA Managing Director

Richard Peters Senior Manager

UHY Advisors

jamie DuBray, CIA Manager, Audit - Shared Services CITGO Petroleum

Auditing Auditing Management Advisory Services Specialized Knowledge & Applications

3:45 – 3:55 Session Change3:55 – 5:10 p.m. cs 8-1 II

Internal Audit - Perspectives of a Chief Compliance officer

jon Rydberg Chief Compliance Officer and Vice President, Internal Audit Smith & Wesson

cs 8-2 II

A risk Manager’s view on erM

Carol Fox Director of Strategic and Enterprise Practice RIMS, The Risk Management Society

cs 8-3 II

using Computer forensics to Manage Controls

Bill Perry Private Investigator, Security Consultant/Instructor and Chief Compliance Officer Bill Perry & Associates

cs 8-4 III

What does An Internal Auditor really Need to know About Crisis Management

Annie Searle Principal Annie Searle & Associates LLC

Business Management & Organization Management Advisory Services Computer Science Management Advisory Services

Wednesday, auGust 22, 20127:30 – 11:30 a.m. Customer Relations7:30 – 8:30 a.m. Continental Breakfast and networking8:30 – 9:45 a.m. opening Comments

Gs 3 vendor Contracts and risk Assessment: lessons learned from fraud Convictions IIMODERATOR:

Frank Lazzara, Managing Director, FTI Consulting PANELISTS:

Dr. Susan Magiero, Managing Director, FTI Consulting Annie Dugas, Director, Investigative and Forensic Services, Raymond Chabot Grant Thornton Consulting Inc.Paul E. Zikmund, Director, Global Integrity and Forensic Audit, Bunge Ltd. Behavioral Ethics

9:45 – 10:15 a.m. networking Break 10:15 – 11:30 a.m. Closing Comments

Gs 4 ethics and Managing risk: A Preventive Maintenance Approach IIDr. Christopher Bauer, Founder, Bauer Ethics Seminars Behavioral Ethics

special offers for Grc conference deleGatesFree IIA MembershipBy remitting the nonmember price for this event upon registration, you are eligible for a free one-year gift membership. By completing a registration form for this event in its entirety and submitting it to The IIA, you signify your agreement.

Discounted IIA Research Foundation Bookstore Purchases and Free ShippingThe IIA Research Foundation Bookstore (IIARF) offers hundreds of educa-tional products that help you as a practitioner. Visit The IIARF Bookstore and receive an additional 10% off the already reduced IIA member pricing on IIA and IIARF-published products, as well as free shipping within the United States and Canada.

Waived CIA Exam Application FeeThe IIA will waive the initial Certified Internal Auditor® (CIA®) exam application fee (a US $100 value) for any IIA member who attends this conference. To request the application waiver, locate IIA Customer Relations during the conference, call +1-407-937-1111, or email CustomerRelations@theiia.org.

Enjoy Discounted Airfare on United Airlines and Delta AirlinesThe IIA has arranged for discounted travel of two percent to five percent for travel to and from the 2012 GRC Conference on United and Delta Airlines. Visit the “Location” page of www.theiia.org/GRC2012 for details and discount codes to use when booking your flight.

2012 Governance, risk, and control conference reGistration fees

IIA MeMbers NoNMeMbers AvAIlAble CPe

CoNfereNCeOn or Before June 8 US $1,195 US $1,695 18

After June 8 US $1,395 US $1,695 18

Pre-CoNfereNCe WorkshoP

Fraud and Risk Self Assessment US $325 US $325 3

After August 11, add US $100 to the registration fee

Your GRC Investment Includes 32 Concurrent Sessions, 18 CPE Credits (+3 with Workshop Attendance), 10 Hours of Networking, 5 Refreshment Breaks, 4 General Sessions, 3 Continental Breakfasts, 2 Lunches, 1 Reception, Unlimited Exhibit Hall Access, and more.

log in and register at www.theiia.org/Grc2012 or contact iia customer relations at +1-407-937-1111 or customerrelations@theiia.org.

conference informationPayment DetailsAfter August 11, 2012, registration includes an additional US $100 fee. Admittance to this event is contin-gent upon full receipt of payment prior to the conference. Payment for an IIA-sponsored conference is due in US dollars at time of registration. If payment has not been received prior to the start of the event, The IIA reserves the right to deny entrance. Go to www.theiia.org/GRC2012 to register using a credit card or register by calling IIA Customer Relations at +1-407-937-1111. If paying by check, make it payable to The Institute of Internal Auditors, and mail it with your registration form to The IIA Payment Center, P.O. Box 31280, Tampa, FL 33631-3280, USA, or contact IIA Customer Relations by phone at +1-407-937-1111, by email at CustomerRelations@theiia.org, or by fax at +1-407-937-1101 to charge your registration to your VISA, MasterCard, or American Express.

Schedule ChangesAt times, it may be necessary to cancel, reschedule, or substitute an event, conference session, speaker, conference, and/or topic after registration has been confirmed. The IIA will provide advance notification of any changes once notice has been received and, in doing so will not be responsible for penalties related to the canceling or rescheduling of registration fees, airfare, lodging, etc.

What If You Change Your Mind?Cancellations must be made in writing, and those received after July 23, 2012, are subject to a US $495 nonrefundable processing fee. This service charge will be waived if you register for another program at the time of cancellation. No refunds will be given for confirmed reservations not cancelled by August 6, 2012. All requests for refunds will be processed within 30 days following the program. Fees, courses, and program content are subject to change without notice.

Contact InformationFor more information regarding refund, complaint, and/or program cancellation policies, please contact IIA Customer Relations at +1-407-937-1111 or CustomerRelations@theiia.org.

CPE Credits AvailableWhen you attend this conference you are eligible for up to 18 continuing professional educa-tion (CPE) credits, depending on the number of sessions you attend. The pre-conference workshop is three CPE. Attendance will be tracked via a ticket system. The IIA’s educational programs are acceptable for fulfilling CPE requirements, which ensure that internal auditors

comply with the specific standards on education in The IIA’s International Standards for the Professional Prac-tice of Internal Auditing. The Institute of Internal Auditors is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

Conference Sponsorships and Exhibit Space AvailableFor exhibit and sponsorship opportunities at this event, please contact Sales@theiia.org or call +1-407-937-1388.

What to WearFor your comfort, business casual is appropriate when attending IIA conferences. We suggest that you dress in layers because the temperatures in hotel meeting rooms can vary considerably.