The Houston Chapter of the Institute of Internal Auditors has a long history of providing quality continuing professional education to its members. That tradition continues with our third Annual Conference to be held on Monday, April 2, 2012, again at the Reliant Center. After our successful inaugural year, last year’s attendance expanded to over 1,100 Participants and we expect our 2012 Annual Conference to again be at capacity. This year, both the general and luncheon sessions, will include addresses from top internal audit thought leadership. We will also have various concurrent sessions covering topics related to technical tips and techniques, fraud, information technology auditing, non-technical, and regulatory compliance/corruption.

Highlights

8 hours of CPE with 20 break-out sessions

Continental breakfast, lunch, and a post‐conference networking reception

Vendor booths and an opportunity to network with conference sponsors

IIA Bookstore and discounts for conference participants

This event was a sell-out last year so plan to register early. All early registrants will be eligible to win two First Class domestic round-trip tickets on United Airlines! (Payment must be received by February 6, 2012, to be included in the drawing.) Registration Website: http://www.cvent.com/d/qcq9bl

Registration Fees On or before 2/6/12

2/7/12 –

3/16/12

IIA Member $250 $300

Non-member $350 $400

IIA Members who are educators, retirees, FT students,

or unemployed

$150 $200

Additional Registration Information Groups of five or more from the same organization receive a discount of $25 off per person.

In order to receive the group discount, groups of five or more have to sign up in one registration

Please refer to the registration website for more information on other discounts, cancellations, and substitutions.

CPE information There are no prerequisites for the sessions at the conference.

Please note that you must sign in at the conference to receive CPE credit.

You will receive CPE credit for each session you attend. The credits are issued as follows: morning general

session: 1.4 credits, luncheon general session: 1 credit, and each breakout session: 1.4 credits.

A CPE certificate will be emailed to you within two weeks after the conference ends.

Keynote Speakers

We have two dynamic keynote speakers from Fortune 500 companies providing their tips for success. The general session address will be by Larry Harrington, Chairman of the North American Board of the IIA and VP of Internal Audit at Raytheon Company. The luncheon session address will be by Carolyn Saint, VP of Internal Audit at Lowe’s.

Lawrence J Harrington, CIA, CPA

Vice President Internal Audit

Raytheon Company, Waltham MA

Larry Harrington has more than 25 years of experience in auditing and finance.

Larry is Vice President of Internal Audit for Raytheon Company, a Fortune 200

Aerospace and Defense contractor with revenues in excess of $25 Billion.

Raytheon is a technology leader specializing in defense, homeland security and

other markets throughout the world.

Larry started his career in public accounting and has since held a wide range of positions within retail,

financial services, insurance, manufacturing and technology. He has served as Vice President of Finance,

Vice President of Human Resources, and Vice President of Operations, as well as Chief Audit

Executive for several Fortune 200 companies during his career.

Currently, Larry is a board member of The IIA's International Board of Directors, as well as

Chairman of The IIA's North American Board of Directors. He is an active member of the Audit

Directors Roundtable, the Open Compliance and Ethics Group and several Chief Audit Executive

Roundtables.

Carolyn D. Saint

Vice President, Internal Audit

Lowe’s

As Lowe’s Vice President of Internal Audit, Carolyn Saint is responsible for the

company’s risk-based internal audit plan. Saint joined Lowe’s in 2006. In

addition to Lowe’s, her retail experience includes leading the audit functions of

Sears Holdings Corporation and Kmart. Saint spent 9 years at Deloitte & Touche

where she served both attest and internal audit clients in the manufacturing and

consumer products industries. Saint is a CPA and a CIA; she holds a bachelor’s degree in political science

from the University of Pittsburgh and a master’s degree in professional accountancy from Walsh College.

She is a member of the IIA’s North American and Global Boards of Directors.

Registration 7:30 - 8:15 a.m.

Registration / Continental Breakfast

Morning General Session and Keynote

Address 8:15 - 9:30 a.m.

GS 1 Larry Harrington (Raytheon) - "Leadership = Relevance"

Break 9:30 - 9:50 a.m.

Networking Break / Vendor Exhibits

Breakout Session 1 9:50-11:00 a.m.

Enhancing Audit's Effectiveness

Managing Fraud Before it Manages

You Leveraging IT It's about the People

Responding to the Regulations

CS 1-1 Leveraging Operational Risk Modeling and Internal Audit to Avoid Catastrophic Losses Paul Campbell / Kim Detiveaux

CS 1-2 Training Ground for Fraud, How the Internet Enables Fraudsters Ryan Hubbs

CS 1-3 You can't spell ERP without using IA: Leading Practices in ERP Implementations to Manage Risk and Enable Sustainable Controls Rob Brant / Keith Young

CS 1-4 Internal Audit’s Role in Value Creation: Hype or Reality? Paul Sobel

CS 1-5 United Kingdom Bribery Act: Preventing Strict Criminal Liability Stacy Williams

Break 11:00 - 11:20 a.m.

Networking Break / Vendor Exhibits

Breakout Session 2 11:20 a.m. - 12:30

p.m.

CS 2-1 Risky Business: Building Partnerships to Improve Internal Audit’s Effectiveness Bethmara Kessler

CS 2-2 Fraud and Forensics: Trends and Techniques Brad Preber

CS 2-3 Two Halves don’t make a Whole! How to successfully integrate IT into Operational and Financial Audits Jamie Dubray

CS 2-4 Virtual Virtuoso: Orchestrating an effective virtual team that “rocks” your audits, not your budget! Sabrina Hurst/ Tracy Stiba

CS 2-5 Keep Your Agents in Line…So You Don’t Do Time! Keith Shuffler

Luncheon General Session and Keynote

Address 12:30 - 1:50 p.m.

GS 2 Carolyn Saint (Lowe’s) - "Auditing 2.0"

Break 1:50 - 2:05 p.m.

Networking Break / Vendor Exhibits

Breakout Session 3 2:05 - 3:15 p.m.

CS 3-1 Panel Discussion: What your Audit Committee Wants You to Think About Moderator: Bob Herrin

CS 3-2 Fraud and Embezzlement: Lessons from the Trenches Angela Morelock

CS 3-3 Smart Phones, Ipads and Blackberries, Oh My! How Secure is Your Company's Data…Really? Richard Peters

CS 3-4 Decision Making in an Uncertain Reality Sy Aslan

CS 3-5 Responding to Dodd Frank Tom Lord

Break 3:15 - 3:35 p.m.

Networking Break / Vendor Exhibits

Breakout Session 4 3:35 - 4:45 p.m.

CS 4-1 Demystifying Enterprise Risk Management Alyssa Martin

CS 4-2 Corralling the Bounty Hunters – How New Rules and Regulations are Turning Auditors and Fraud Specialists into Treasure Seekers Jeff Mathews

CS 4-3 Excel in Managing Spreadsheet Risk Jordin Reed/ Evan Campbell

CS 4-4 Finding the Next Superstar…Recruiting and Retaining MVPs Steve Goephert

CS 4-5 Panel Discussion: Creating Efficiencies Within Your Anti-Corruption Compliance Program Moderator: Michael Schwartz

Close Reception 4:45 - 6:00 p.m.

Networking Reception / Vendor Exhibits

SESSION DETAILS AND SCHEDULE

Morning General Session and Keynote (8:15 - 9:30 a.m.)

GS 1 Leadership = Relevance

Speaker: Larry Harrington (Raytheon)

The pace of change in our world is unrelenting - and increasing. With changes coming at an increasingly faster pace, organizations must continue to evolve at an increasing pace - or face extinction. Similarly, Internal Auditors must adapt to business environments that will be information/technology rich, multi-national, and ever changing. To be relevant, we must be true business leaders and serve our stakeholders in this future environment. Please join Larry Harrington as he discusses:

1. How the internal audit profession is facing challenges that will define our leadership role for

years to come. 2. How today's challenges create opportunities for internal auditors to brand themselves as visionary

business leaders focused on the success of their customers. 3. Practical suggestions you can take now to enhance your relevance.

Breakout Session # 1 (9:50-11:00 a.m.)

CS 1-1 Leveraging Operational Risk Modeling and Internal Audit to Avoid Catastrophic Losses Speakers: Paul Campbell/Kim Detiveaux (Deloitte)

Spectacular operating failures have made headlines globally over the last couple of years. Session participants will discover how established predictive risk modeling techniques could have helped operators detect key changes in causal factors before these failures occurred. While well designed predictive risk modeling processes are essential to achieve Risk Early Warning capability, it is the Internal Audit function which can provide assurance that Risk Early Warning processes are functioning as intended. This presentation will explore critical components of Risk Early Warning capability, and the key role Internal Audit has in execution.

CS 1-2 Training Ground for Fraud, How the Internet Enables Fraudsters

Speaker: Ryan Hubbs (Matson Driscoll & Damico)

Have you ever wondered how a fraudster learns to commit fraud? Does the unlimited amount of information on the internet help or hurt auditors and investigators in trying to uncover fraud? If you haven’t taken the time to look lately, you'd be surprised at what current and potential fraudsters are asking, saying and sharing on the Internet to perfect their trade. This interactive session will provide an awareness of some of the information, tools and communication available on the Internet for fraudsters and what anti-fraud professional are up against.

CS 1-3 You can't spell ERP without using IA: Leading Practices in ERP Implementations to Manage Risk and Enable Sustainable Controls

Speakers: Rob Brant / Keith Young (EY)

During this session, Rob and Keith will explore the role of the internal audit function over an ERP implementation including the ERP implementation timeline, relationships with key stakeholders and committees, roles for internal audit to provide value and/or oversight, required skills and competencies and overcoming institutional objections to the role internal audit can play. This session will provide attendees with an overview of the key implementation, process and technology risks companies are faced with in ERP implementations. There will also be discussion around how to implement controls to enable a controlled ERP design that is sustainable upon go-live.

CS 1-4 Internal Audit’s Role in Value Creation: Hype or Reality? Speaker: Paul Sobel (Georgia Pacific)

We all talk about internal auditing creating value, but are we just preaching to the choir? If you asked your key stakeholders whether you’re really part of value creation, how would they respond? Can members of your audit team articulate how they add value to the organization? This session will focus on answering these questions, with an emphasis on:

- Determining what value is and how it’s perceived in organizations. - Creating an internal audit vision and value proposition. - Understanding how risk and value creation are linked. - Communicating the value internal audit provides.

CS 1-5 United Kingdom Bribery Act: Preventing Strict Criminal Liability

Speaker: Stacy Williams (Locke Lord)

The United Kingdom Bribery Act 2010 is groundbreaking in that it creates strict criminal liability for a commercial organization that fails to prevent its employees, agents or subsidiaries from engaging in bribery. The only defense to this charge is to prove that the company had in place adequate procedures designed to prevent bribery. According to guidelines published by the UK Government, such procedures necessarily include internal monitoring and review of the organization’s compliance program. This session will discuss the differences between the UK Bribery Act and the FCPA; current trends and implementation of the UK Bribery Act; as well as best practices concerning adequate procedures, including auditing and reviewing compliance programs.

Breakout Session # 2 (11:20 a.m. - 12:30 p.m.)

CS 2-1 Risky Business: Building Partnerships to Improve Internal Audit’s Effectiveness

Speaker: Bethmara Kessler (The Fraud and Risk Advisory Group)

Do you find it hard to get the full attention and support of people in the business for all of your Internal Audit efforts? Do you find yourself wondering how to get real buy in for the results of your work? This session will give participants tips, tools and techniques to build more effective partnerships in any business.

Participants will learn about: - The Zones of Risky Business - A cautionary tale - Building Partnerships - Speaking the language of the business to get results - Building A Risky Business Toolkit:

- Risk Based Audit Plans - Fraud Risk Assessments - Hotline and Complaint Analysis - Discretionary Spending Reviews - Harnessing the Power of Audit Software

CS 2-2 Fraud and Forensics: Trends and Techniques

Speaker: Brad Preber (Grant Thornton)

In this session, participants will learn about the latest trends in occupational and financial reporting fraud, together with the forensic investigative techniques that can be used to detect the schemes. In addition, practical tips and tools will be shared for application on the job.

Participants will learn about:

- Understanding of current fraud trends - Learn about forensic investigative techniques to find and quantify fraud - Practical tips, tools and war stories will be shared

CS 2-3 Two Halves Don’t Make a Whole! How to Successfully Integrate IT into Operational and Financial Audits.

Speaker: Jamie Dubray (CITGO)

This seminar will provide practice suggestions for how to integrate IT Audit objectives and IT Audit tests into Operational and Financial Audits. Participants will find out how to determine whether an IT component should be considered in an Audit. Learn methods to integrate IT Audit Planning into the Operational /Financial /Compliance audit planning processes. Obtain a ‘template’ Integrated IT Audit Program to use as a starting point for your engagements.

CS 2-4 Virtual Virtuoso: Orchestrating an effective virtual team that “rocks” your audits, not your budget! Speaker: Sabrina Hurst/Tracy Stiba (Hewlett Packard)

With all the pressure to reduce costs, and do more with less, many audit shops are considering virtual audit. As the Global Lead over SOX Automated Controls will walk participants through such questions as “How does it work?” “Can it work?” “How can you manage and build a successful working relationship with a team you can’t take to lunch?” Participants will learn tools used, common best practices that don’t fit this model, and adapted best practices that do.

CS 2-5 Keep Your Agents in Line…So You Don’t Do Time!

Speaker: Keith Shuffler (Transocean)

Most government agencies in high corruption risk countries only interact with a company’s agents. It can be very expensive and reputation-damaging when agents don’t comply with local laws, the FCPA, or the recent UK Bribery Act. This course will provide solutions on how to successfully train, monitor, and audit a company’s agents.

Luncheon Keynote Address (12:30 - 1:50 p.m.)

GS 2 Auditing 2.0" Speaker: Carolyn Saint (Lowe’s)

Internal Auditors are moving beyond their traditional areas of assurance to partner with business to ensure strategic objectives are achieved and operations improved. At Lowe’s, we began a transformation of our audit department to align with this new way of assessing risks in 2011. We called this Internal Audit 2.0, because it was a fundamental re-think and restructure of every facet of the way we work. In this session, we’ll discuss lessons learned along the way and the road ahead.

Breakout Session # 3 (2:05 - 3:15 p.m.)

CS 3-1 Panel Discussion: What your Audit Committee Wants You to Think About

Moderator: Bob Herrin (Transocean)

This session will feature a panel discussion with three to four Audit Committee Chairs from various industry sectors. The panelists will discuss their concerns as active Audit Committee chairs in an environment of increased public and regulatory scrutiny and a rebounding economy. “What does your AC Chair want you do be thinking about?”

CS 3-2 Fraud and Embezzlement: Lessons from the Trenches

Speaker: Angela Morelock (BKD)

Fraud can wreak havoc on organization financial performance and undermine business objectives. No business is immune from the risks associated with fraud, and education is the key to prevention. Angela Morelock will share her insights into the world of internal embezzlement based on her experience investigating white-collar crime. With stories from the trenches and often overlooked prevention tips, participants will be simultaneously educated and entertained during this fast-paced program designed for those with or without an accounting background. Anyone involved in business – managers, owners, board members, controllers and outside auditors – will benefit from this enlightening presentation, which discusses the symptoms management should watch for with a focus on how organizations can better protect themselves.

CS 3-3 Smart Phones, Ipads and Blackberries, Oh My! How Secure is Your Company's Data…Really?

Speaker: Richard Peters (UHY)

Mobile “smart” devices are in your organization; authorized or un-authorized you can’t get around the fact that they exist and most people have them. What devices are on your network? What types of data does your company allow on these devices? What are the latest attacks against these devices? During this session we will discuss the latest mobile threats, attacks, and some of the current methods of protecting these devices and your data.

CS 3-4 Decision Making in an Uncertain Reality

Speaker: Sy Aslan (UMT Consulting)

It has been said that we are the sum of our decisions. We all face decisions that could impact our lives and businesses. Our capacity to make wise decisions in uncertain and difficult situation is the most important indicator of how good we are and how good we can be. For many, to make the right decision at the right time is imperative.

In this presentation we will discuss key principles of effective decision-making:

- The rational and emotional process of decision making - The bias and assumptions that impact decisions - Methods for enhancing insight, experience, and judgment

- Methods that help make

CS 3-5 Responding to Dodd Frank

Speaker: Tom Lord (PwC)

On July 21, 2010, Barack Obama signed into law the Dodd–Frank Wall Street Reform and Consumer Protection Act. The Act represents a significant change in the American financial regulatory environment affecting all Federal financial regulatory agencies and almost every aspect of the nation's financial services industry. During this session, participants will learn about the new requirements and how to integrate Dodd Frank into their company’s compliance program.

Breakout Session # 4 (3:35 - 4:45 p.m.)

CS 4-1 Demystifying Enterprise Risk Management

Speaker: Alyssa G. Martin (Weaver LLP)

Participants will learn why successfully utilizing ERM depends on right-sizing for each business and why they should inventory and build on what risk assessments already exists within the organization. ERM focuses on phases 1) objective setting, event identification, key risk identifiers; 2) risk identification and assessment, response; and 3) reporting and monitoring. The key is that to be effective, it should not be forced or rushed but rather be a managed process that over time is integrated into the decision making process of the organization.

Presentation points:

- ERM Basics: Defining, differentiating from other risk management approaches and using the \ COSO ERM Framework

- Approach and Methodology: Key implementation roles and steps to accomplish ERM - Documentation: Methods of documenting risk assessment and significant risks analyses - ERM as an ongoing process

CS 4-2 Corralling the Bounty Hunters – How New rules and Regulations are Turning Auditors and

Fraud Specialists into Treasure Seekers.

Speaker: Jeff Matthews (Charles River Associates)

From WorldCom to Madoff, the Whistleblower has often gained “star-status” in Corporate America over the past decade. In 2011, sweeping reform provided whistleblowers more protection, as well as more incentive to produce valuable information regarding potential fraud and misconduct. Some skeptics argue that these initiatives may coerce individuals to go directly to the government seeking the “bounty” and circumvent internal compliance programs, thereby disrupting the organization’s anti-fraud programs. Mr. Matthews provides a look into the new regulations and offers guidance on how to maintain control over your programs and reporting mechanisms.

CS 4-3 Excel in Managing Spreadsheet Risk

Speaker: Jordin Reed/Evan Campbell (Protiviti)

The issue of errors in spreadsheets affects all organizations. Over the course of this presentation, attendees will be shown real-life examples of spreadsheet errors that cost companies billions of dollars, a framework for identifying and controlling high-risk spreadsheets, and specific examples of controls and tools that can be used to help mitigate the risk associated with the use of spreadsheets.

Attendees will learn to:

- Understand the breadth of issue of performing critical functions in Excel - Identify critical spreadsheets

CS 4-4 Finding the Next Superstar…Recruiting and Retaining MVPs

Speaker: Steve Goepfert (United Airlines)

The traditional recruiting approach no longer secures top candidates. It’s time for a new tactic. So what do you do? United Airlines’ internal audit department has developed effective strategies for attracting, identifying and retaining key talent – including the C3 formula: culture, compensation and cooperation. No matter what industry you’re in, this session will provide ideas and strategies to help your organization secure the best talent.

CS 4-5 Panel Discussion: Creating Efficiencies Within Your Anti-Corruption Compliance Program

Moderator: Michael Schwartz (KPMG)

This session will feature a panel discussion with three to four Chief Compliance Officers from various industry sectors. The panelists will discuss their views on how internal audit departments can support an organization’s overall compliance program efforts. Additional discussion will focus on anti-bribery and corruption compliance initiatives.

SPEAKERS PROFILES

Angela Morelock Angela Morelock, Partner - Forensics & Valuation Services, has more than 15 years of experience and leads BKD’s forensic accounting and investigations team, providing fraud investigation and prevention, complex litigation support and forensic accounting services for a variety of business clients. She regularly provides consulting and expert witness assistance to attorneys in a variety of litigation matters. Angela and her team have investigated some of the largest fraud cases in the United States. Her clients include the FBI, U.S. Department of Justice and the U.S. Attorney’s Office. She is a CFE, CFF, Cr.FA and a CPA. An avid public speaker, Angela is a frequent lecturer at national conferences and other business group meetings. Her educational sessions on white-collar crime receive high audience ratings. In 2008, Angela was chosen by Midwest CEO Magazine as one of the area’s “Most Influential Women.” In 2009, Angela was chosen by the Springfield Business Journal as one of the area’s “20 Most Influential Women.”

Carolyn D. Saint As Lowe’s Vice President of Internal Audit, Carolyn Saint is responsible for the company’s risk-based internal audit plan. Saint joined Lowe’s in 2006. In addition to Lowe’s, her retail experience includes leading the audit functions of Sears Holdings Corporation and Kmart. Saint spent 9 years at Deloitte & Touche where she served both attest and internal audit clients in the manufacturing and consumer products industries. Saint is a CPA and a CIA; she holds a bachelor’s degree in political science from the University of Pittsburgh and a master’s degree in professional accountancy from Walsh College. She is a member of the IIA’s North American and Global Boards of Directors.

Alyssa Martin Alyssa G. Martin is the Dallas Executive Partner at Weaver. She has 22 years of experience in public accounting. Her practice emphasis is in the areas of risk management, internal audit, IT audit, business management consulting, strategic planning, and technology consulting. She is a member of the Executive Advisory Committee of the Accounting and Information Management Area of the University of Texas at Dallas’ School of Management and serves as co-chairperson of the University of

Texas at Dallas AIM Alumni Curriculum. She also acts as Co-Chair of the Baker Tilley International Corporate Governance and Risk Management Committee.

Bradley J. Preber Brad is the National Managing Partner for Economic Advisory Services (“EAS”). EAS includes Litigation and Dispute Resolution, Financial Forensic Investigations, Forensic Technology Services (i.e., eDiscovery and eForensics) and Valuation. Brad is a Certified Public Accountant, Certified in Financial Forensics and Certified Fraud Examiner with almost thirty years experience serving as a litigation consultant, expert witness, forensic accountant and fraud investigator. He specializes in complex claims and events, with a particular emphasis on commercial disputes and fraud claims. He frequently speaks, writes and teaches on leadership, accounting and fraud related matters.

Bethmara Kessler, CFE, CISA, Licensed Private Investigator Ms. Kessler is the co-founder of The Fraud and Risk Advisory Group, Inc., a consulting firm specializing in the delivery of high quality management consulting services in the areas of; fraud and risk prevention, internal audit support, corporate investigations and business process improvement. Ms. Kessler is a former Fortune 500 Chief Audit Executive and has held leadership roles in Internal Audit, Enterprise Risk Management, Information Systems and Corporate Investigations. She is a frequent speaker at annual conferences and chapter events for the ACFE, ISACA and IIA. Ms. Kessler has written material for the ACFE Fraud Examiner Manual and the book Case Studies in Fraud: Lessons From the Bad Side of Business. She has had articles published on topics related to fraud, risk and internal control in specialty publications such as Internal Auditor Magazine, The Journal of Accountancy, and many others.

Sy Aslan Sy Aslan is the Academic Director of UMT Institute - the training arm of UMT Consulting. Sy has over 30 years of consulting and training experience enabling clients to enhance their business performance through strategic planning, problem solving, and leadership and team development. In his current capacity he has developed and delivered public and client-specific training programs and workshops for corporate executives, managers, and project leaders. Sy has also presented classes at both the graduate and under graduate levels, as well as numerous professional conferences. Sy holds a BSc and MSc in Management Engineering, and a PE and PMP in professional certifications.

Ryan C. Hubbs Ryan C. Hubbs is a Senior Manager for Matson, Driscoll & Damico, Forensic Accountants, out of Houston, Texas. His responsibilities include providing investigative support to various entities in response to fraud and employee misconduct investigations. He also provides consulting to organizations that are looking to improve or implement organizational anti-fraud programs. His background includes internal audit engagements within the utility and energy industries. Mr. Hubbs is a member of the ACFE Faculty as well as the Professional Standards and Practices Committee for the ACFE and the ACFE's Advisory Council. He has held executive positions in the New Orleans and Houston ACFE chapters. Ryan graduated from Louisiana State University with a BS in Business Administration, a minor in Sociology/Criminology and an MBA. He is a CFE, a CIA, CCSA, PHR, and a CFS.

Sabrina Hurst Sabrina Hurst is the Global Lead over Automated Controls at Hewlett Packard. She has served a broad portfolio of multinational clients providing information technology and business process oriented audit and consulting services. HP has moved to a virtual audit model, with teams working together from all over the world. Managing her teams globally and virtually is one of Sabrina’s many passions, an art requiring a group of skills and practices she is constantly striving to hone and perfect. Prior to joining HP she was a Manager at PwC. Sabrina is a CISA, CRISC, CIA and an active member of the Houston ISACA and IIA Chapters. Based in Houston she has over 9 years of combined experience in information technology controls, business process controls and internal auditing.

Tracy Stiba Tracy Stiba is the Internal Audit SOX Director at Hewlett Packard. She will develop SOX audit plans and strategies in close coordination with the external auditors, business unit audit teams and various key SOX stakeholders. Tracy has 16 years of public accounting experience and has held senior leadership positions at Arthur Anderson and most recently PwC. Tracy's expertise in SOX as well as information technology audits, business process risks and controls and third party assurance audits make her well suited for this position. Tracy as a Masters in Professional Accounting and Bachelor of Business Administration, both from the University of Texas at Austin. She is a Certified Public Accountant and a member of the American Institute of Certified Public Accountants (AICPA).

Paul Sobel, CIA Paul Sobel is VP/CAE for Georgia-Pacific, LLC based in Atlanta, GA. He previously served as the CAE for various public companies. His responsibilities include leading the global internal audit efforts, as well as consulting on each company’s ERM, compliance and internal controls programs. Paul is a frequent speaker on governance, ERM and internal audit topics. He has published a book titled Auditor’s Risk Management Guide: Integrating Auditing and ERM. In addition, he co-authored the textbook sponsored by the IIA’s Research Foundation titled Internal Auditing: Assurance and Consulting Services. Finally, he has been recognized for articles published in Internal Auditor magazine and Management Accounting Quarterly. Paul is currently serving on The IIA’s Board of Directors, in the past he has various executive positions with the IIA and other volunteer positions. He is The IIA’s representative on the Pathways Commission and recently finished a two-year term with the PCAOB.

Stacy Williams Stacy Williams is a partner with the law firm of Locke Lord LLP. He practices commercial litigation and has extensive experience conducting internal and governmental investigations. Mr. Williams regularly advises clients on corporate governance and compliance matters. He has also advised clients on a wide variety of criminal and civil business fraud, including matters involving the Foreign Corrupt Practices Act, UK Bribery Act, antitrust, class actions, export control requirements and Commodities Exchange Act. Prior to joining Locke Lord LLP, he was a law clerk to Judge Carolyn Dineen King, United States Court of Appeals, Fifth Circuit.

Steve Goepfert Steve is the VP & CAE for United Airlines in Chicago, Illinois. He had previously been Chief Auditor at Continental Airlines for 21 years. He was a former Chairman of the Board for the IIA. At the Global level, Steve served on the IIA’s Executive Committee and Board. He previously held executive positions with the Houston chapter and served on its Board for 17 years. Steve has held industry audit posts in multiple airline industry organizations. Steve is a member of the LSU Center for Internal Auditing Advisory Board and serves or has served on various public state schools’ Accounting Advisory Councils. A CIA, CRMA and CPA, he started his career with Coopers & Lybrand. Steve graduated with honors from Southern Illinois University. He was inducted into the SIU College of Business “Hall of Fame” in April 2010.

Lawrence J Harrington, CIA, CPA Larry has more than 30 years of experience, serving at the Vice President level within auditing, finance, human resources and operations. He is Vice President of Internal Audit for Raytheon Company, a $25 Billion technology and innovation leader specializing in defense, homeland security and other government markets throughout the world. He is Chairman of The IIA's North American Board of Directors and a board member of The IIA's International Board of Directors. He is also the former Chair of the IIA Professional Issues Committee.

Richard Peters Richard Peters, CISA, CISSP, QSA is a senior manager in UHY Advisor’s Technology Assurance and Advisory Services practice. He is a technology risk consultant with experience within the Payment Card Industry as well as the Information Security and Auditing/Assessment niche having performed work for various organizations in multiple industries. He has been providing PCI related services for over four years and is valued for his knowledge and background in client/server environments, mainframes, databases as well as application and hardware experience. Richard graduated from the University of Texas at Austin with a B.B.A. in Finance. He is a member of the Information Systems Audit and Control Association (ISACA), the Information Systems Security Association (ISSA), the National Information Security Group (NAISG) and the Open Web Application Security Project (OWASP).

Keith Shuffler Keith Shuffler is a Senior Audit Manager at Transocean Offshore Deepwater Drilling, Inc. Keith has over 26 years experience in the oil and gas industry and 20 years in Internal Audit. Prior to joining a Transocean predecessor company in 2000, he was a manager in the Internal Audit practice at PricewaterhouseCoopers. Keith has extensive experience auditing in high corruption-risk countries and is a Certified Public Accountant, a Certified Fraud Examiner, Certified in Financial Forensics, and a Forensic Certified Public Accountant.

Robert E. Brant (Need Bio and Photo)

Michael B. Schwartz Michael B. Schwartz is a Principal in KPMG LLP's Forensic Advisory Services practice in Houston, Texas. He assists corporate and public sector clients in preventing, detecting and investigating fraud, waste, abuse and other misconduct. Mr. Schwartz is the forensic coordinating partner nationally for the public sector and the national and global coordinator for anti-bribery and corruption and Foreign Corrupt Practices Act (FCPAI-related forensic services. Previously, he was the national forensic coordinator of KPMG's computer forensic practice and the communications and media industry sector, and was the Houston office coordinating partner for forensic services. Prior to joining KPMG in 2002, Mr. Schwartz had over twenty years of trial and other legal experience as an Assistant United States Attorney, in law firms and corporate legal departments. He is a frequent speaker nationally on fraud, misconduct and compliance-related topics.

Robert Herrin Bob joined Global Marine in 1989 where he held positions of increasing authority, including Audit Manager and Director of Internal Audit. In 2002, he became the Company’s Vice President, Internal Audit. He was named Vice President and Controller of GlobalSantaFe in 2005. Following the merger with Transocean, Bob assumed the Chief Audit Executive role. Bob holds a bachelor’s degree in Accounting from Texas Tech University and is a Certified Public Accountant. He is a member of the American Institute of Certified Public Accountants, the Texas Society of CPAs and The Institute of Internal Auditors, and is currently serving on the Board of Governors for the Houston Chapter of IIA.

Jamie DuBray, CPA, CIA, CISA, CGEIT, CISSP Jamie DuBray is currently an Audit Manager at CITGO Petroleum Corporation. In this role, she supports the areas of Shared Services, Supply & Marketing, Information Technology and Health Safety & Environmental. She has been with CITGO for over 5 years. Prior to joining CITGO, Jamie had previous Internal Audit experience with both Valero Energy Corporation and Tesoro Petroleum Corporation as well as positions within information technology and public accounting. She is a Certified Public Accountant, Certified Internal Auditor and holds several IT certifications. She has 13 years of audit experience and 10 years of experience in the Petroleum Refining industry. Jamie holds a Bachelors of Business Administration Degree in Accounting from Texas Tech University and a Master of Business Administration with a concentration in Information Technology from the University of Texas, San Antonio.

Evan Campbell Evan Campbell is an Associate Director in Protiviti’s IT Consulting practice. He is a leader within Protiviti’s Enterprise Application Solutions and Spreadsheet Risk practices. With a focus on the energy and financial services industries, Evan has assisted clients in all facets of their spreadsheet management programs, from defining policies and controls to implementing spreadsheet monitoring software. Additionally, he assist clients with ERP-related projects, analyzing and developing end-user computing (EUC) applications, and providing enterprise systems assurance – with a focus on SAP application controls

and security, using both manual and automated testing methods. Evan is a Certified Information Systems Auditor and Project Management Professional.

Jordan Reed Jordan Reed is a Managing Director in the Houston office of Protiviti specializing in the execution of Internal Audit and Financial Control solutions. Jordan assists both public and private organizations with internal audit planning and execution, and has been involved with all phases of internal control over financial reporting requirements. Jordan is also active in the development of spreadsheet risk management programs for organizations dependent upon spreadsheets that are financially material and/or critical to operational decision making. Jordan is a Certified Information Systems Auditor, Certified Information Security Manager, and Certified Information Systems Security Professional.

Kim Detiveaux Kim is a leader in the Governance, Regulatory and Risk strategy service line for Deloitte’s Energy & Resources group and has over 30 years experience serving energy companies globally. Over the past five years, he has focused on the development of Deloitte’s ERM Methodology and the provision of ERM assessment, design and implementation services to some of the largest energy companies in the world. He has extensive experience leading enterprise risk projects including the identification of risk strategy matched to the firm’s business model, and the design and implementation of risk management frameworks at the enterprise level, with a particular focus on integration with key functions including strategic planning, internal audit and compliance. In addition, Kim leads the credit risk management practice within Energy & Resources. Kim speaks frequently on energy risk management at industry association conferences, and holds a BS from University of San Francisco and an MA from John F. Kennedy University.

Paul Campbell Paul Campbell is a Principal in Deloitte’s Energy Risk practice, including services to the energy industry and the Federal Government. He also leads specialists from a group of approximately 200 professionals solely dedicated to providing services related to risk strategy, regulatory compliance, credit, climate change, quantitative analytics, technology, business process and operations and risk accounting to energy companies; as well as enterprise risk management for Federal agencies. Paul has worked with some of the largest companies in North America on transformation efforts related to the underlying infrastructure, systems, processes and technologies for new organizations as well as mature organizations. This includes helping to design, develop, select and implement energy risk management systems, as well as the systems and infrastructure to support compliance. Prior to joining Deloitte, Paul worked for several energy trading companies in Houston as well as four years with the Maryland Public Service Commission as a Regulatory Economist.

Thomas Lord Tom Lord is one of the leaders for the Dodd Frank Act practice for PwC Governance, Risk and Compliance practice. He has led engagements assisting firms in assessing impacts and designing internal responses to proposed regulations under the Act. He is currently leading engagements for both end user and swap dealer implementations for commodity firms. He has over 35 years of experience in the energy industry, including senior positions with various companies and firms. He has headed trading desks for gas firms as well as risk management projects with other firms. He had a large role in development of the world’s first option based capacity market for electricity in Columbia. Mr. Lord earned a B.S. in Mechanical Engineering and a B.A in Public Policy from Cornell University, a J.D. from University of Denver Sturm College of Law. He has published over 20 articles on energy and commodity markets and risk management as well as a speaker at multiple forums on Dodd/Frank sponsored by the legal community.

Jeffrey Matthews Mr. Jeffrey G. Matthews is a vice president in Financial Accounting & Valuation Practice at CRA. As a CPA and CFE, he has significant experience in financial investigations, forensic accounting, and litigation support. Mr. Matthews has spent many years practicing for Big Four accounting firms, state, local, and federal governmental bodies. He has investigated and provided oversight for investigations of federal and state criminal violations, including many types of fraud. He has calculated damages resulting from breach of contract, breach of fiduciary duty, diminution of value, and misappropriation of trade secrets. His clients include the nation’s top law firms, Fortune 100 legal departments, and government investigative agencies. He has been twice been voted as an all-star speaker by the Institute of Internal Auditors and has been quoted numerous times in The Dallas Morning News, Dallas Business Journal, Collin County Business Press, Texas Lawyer, Smart Business, and Private Equity International.

Keith Young Keith Young is a Partner in Ernst & Young’s Advisory Practice; he has over 15 years of experience in ERP, finance transformation, and financial/IT audit. Keith is one of the firm’s leaders in its Application Risk and Control practice and directs the Oracle portion of the US practice. Keith has various Oracle application modules experience and he has led large, multi-location systems implementations of Oracle Financials and Projects with various Fortune 50 companies. He specializes in IT general controls, application configuration, security, segregation of duties, business controls, technology infrastructure, testing, data conversion, training, and project management. Prior to joining Ernst & Young, Keith was a principal consultant at Oracle Corporation. Keith received his BS in Accounting/Information Systems from Babson College and he is a Certified Public Accountant and a Certified Information Security Auditor.

CONFERENCE COMMITTEE

Conference Chair Deanna Sullivan (Sullivan Solutions) Administration Connie Khawaja (Grant Thornton) Program Angel Butler (UHY Advisors)

Facilities Carrie Richardson (Waste Management) Marketing Rumy Jaleel-Khan (Deloitte) Sponsors Larry Abston (Anadarko) Exhibit Hall Mario Boffa (Chevron Texaco) Communications John Harris (Experis) Volunteers Christie Erickson (Clear Creek Independent School District)

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