Monday January 9, :00 AM 9:00 AM

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1 Monday January 9, :00 AM 9:00 AM Opening Keynote 1 COSO Enterprise Risk Management: EHS Implications Paul Sobel, CIA, QIAL, CRMA Vice President and Chief Audit Executive Georgia Pacific LLC Paul Sobel has many years of experience in internal auditing leadership roles as a CAE with Georgia Pacific and three public companies including Mirant Corporation, Aquila, Inc., and Harcourt General. Sobel s responsibilities included leading the global internal audit efforts at these companies, as well as consulting on each company s ERM, compliance and internal controls programs. He has also served as international audit manager for PepsiCo, senior manager in Arthur Andersen s business risk consulting practice, and manager in Arthur Andersen s financial statement assurance practice. Sobel is a frequent speaker on governance, risk management, and internal audit topics. He has written and co authored three books: Auditor s Risk Management Guide: Integrating Auditing and ERM; Internal Auditing: Assurance and Consulting Services; and Enterprise Risk Management: Achieving and Sustaining Success. He has been recognized for articles published in Internal Auditor magazine and Management Accounting Quarterly. Sobel has served numerous leadership positions with The IIA, including the Board of Directors and Executive Committee, as well as positions with The IIA Research Foundation. In 2012 he was recognized in Treasury & Risk magazine s list of the 100 Most Influential People in Finance. He has also served on the Standing Advisory Group of the Public Company Accounting Oversight Board (PCAOB) and as The IIA s representative on the Pathways Commission, which developed recommendations to enhance the future of accounting education in the United States.

2 Monday January 9, :15 AM 10:15 AM GS 1 How to Manage Fraud Risks in the EHS Environment John Hall, CPA, Certified Board Advisor Founder and President Hall Consulting, Inc. Every business environment has inherent risks of wrongdoing and fraud. EHS is certainly no exception where worker and public health and safety are at stake. And it s not just financial and IT exposures that we re up against here. We face the risk of manipulated hand written documents, verbal misrepresentation, sloppy procedures and outright intent to deceive. In this session you ll learn five proven anti fraud techniques and actions to counter the risk of misconduct and fraud on your projects. Short on theory, we ll jump immediate into how to action steps you can use on the job starting right away. John J. Hall, CPA, is the founder and President of Hall Consulting, Inc. and the author of The Anti Fraud Toolkit and the award winning book "Do What You Can Simple Steps Extraordinary Results" As an instructor for IIA headquarters and chapter events for over 25 years, John specializes in skills training programs and conference presentations for internal and government auditors, CPAs, fraud examiners and management groups. He also coaches business and audit professionals in how to increase their effectiveness, clarify and meet their business and personal goals, and move their careers forward. John has over 40 years of experience as a consultant, auditors, professional speaker and business coach. He has worked in senior leadership positions in large corporations and international public accounting firms. He is a member of the national Speakers Association, the IIA and the AICPA. Auditing

3 Intermediate

4 Monday January 9, :30 AM 11:30 AM RT 1 1 OSHA Confined Space Entry Rules and How to Audit Compliance Barbara Jo Ruble, QEP, CPEA President Specialty Technical Consultants, Incorporated Kahlilah Guyah Consultant Specialty Technical Consultants, Inc. Barbara Jo Ruble has more than 35 years of experience helping corporations to develop, assess, and improve their environmental management systems and compliance programs. She has developed comprehensive environmental, health and safety guidance manuals, training programs, and multi media auditing protocols for various industrial clients and is the primary author of ISO 14001:2015 Environmental Management Systems: A Complete Implementation Guide. Ruble has performed more than 200 EHS compliance audits or management systems assessments of industrial facilities worldwide. She has also provided independent review of corporate EHS auditing programs. A member of The Auditing Roundtable since 1989, Ruble is a past president of the association and developed the Lead Auditor Training Course. RT 1 2 Conflict Minerals Updates Lawrence Heim, CPEA Managing Director Elm Sustainability Partners

5 Auditing Intermediate RT 1 3 International EHS Enforcement Paul Beatley Director Enhesa

6 Monday January 9, :00 PM 2:00 PM GS 2 The Effect of Culture on Safety and Compliance in a Global Organization Mary Breslin, CIA President Empower Audit Mary Breslin has implemented numerous baseline internal audit functions, Sarbanes Oxley programs, sophisticated data analytics programs, and transformed checklist functions into value add audit departments both domestically and abroad as a former CAE. She was an early adopter of data analytics for audit and has been utilizing analytics in her career in both audit and fraud work for over 15 years. Breslin also has extensive domestic and international fraud experience.

7 Monday January 9, :15 PM 3:15 PM GS 3 Women in Auditing Panel Discussion Moderator: Jill Bernstein Senior Audit and EHS Regulatory Consultant Enhesa Panelist: TBD Session Objectives: discuss differences and difficulties faced by women auditors identify special considerations that need to be taken into account when a woman auditor in specific jurisdictions determine best practices for women auditors and young women auditors in particular Jillian Bernstein works as a Senior Audit and EHS Regulatory Consultant at Enhesa's Arlington, VA office. She specializes in both U.S. and Canadian laws at the federal and state/provincial levels. Her work involves monthly monitoring of regulatory developments and analyzing their impact on multinational clients, as well as developing and maintaining compliance tools such as audit protocols, regulatory guides, and lists of legislation. In addition, Jillian works as an audit manager for Enhesa where she helps plan, organize, and execute EHS audits around the world. In 2015, Jillian took on the role of auditor, covering both environmental and health and safety topics for various facilities in several industries.

8 Monday January 9, :45 PM 4:45 PM GS 4 The Place of Virtual Audit in the EHS Performance Evaluation: Panel Discussion Moderator: Leigh Leonard Manager Hitachi Consulting Panelist: Dana Davis Manager Hitachi Consulting

9 Tuesday January 10, :00 AM 9:00 AM Opening Keynote 2 Strategies for Effective Assessment of Risk and Compliance in the Environmental Industry Doug Parker President Earth and Water Strategies

10 Tuesday January 10, :30 AM 10:30 AM GS 5 Is Your EHS Auditing Program Worth It? How Do You Know? Douglas Hileman, CRMA, CPEA President Douglas Hileman Consulting LLC Douglas Hileman has 40 years of experience in EHS, including facility compliance, corporate compliance, EHS auditing, support to financial audits, and sustainability reporting, and launched his firm in He was active in the Auditing Roundtable, chairing five national meetings, and serving two years on the board. During six years at PwC, Hileman supported scores of financial audits, as well as internal audits. His firm has conducted assurance engagements for the SEC's Conflict Minerals Rule for each of the three years it has been applicable. He has served in leadership positions of The IIA at the local and global level, including serving as a member of Professional Issues/ Guidance Development Committee. He co authored Internal Audit and the Second Line of Defense, an IIA Practice Guide released in 2016.

11 Tuesday January 10, :45 AM 11:45 AM GS 6 1,000 EHS Audits in 22 Months, Now What? Bill Qualls, CPEA, CESCO Executive Director Responsible AG

12 Tuesday January 10, :45 AM 1:15 PM RT 2 1 Industry: Environmental Facilitator: TBD RT 2 2 Compliance Transformation: EHS Facilitator: Joanne Beatty Director, Advisory KPMG

13 Tuesday January 10, :30 PM 2:30 PM GS 7 Monitoring Operational Compliance and Continuous Improvement in Construction Alyssa Vumbaco, CISA IT Audit Manager Loews Corporation Olaitan Femi Falade Operations and Compliance Internal Auditor Loews Corporation This presentation will focus on how the Loews IA Compliance Team monitors our subsidiaries and their contractors to ensure that they comply with OSHA regulations during construction projects. Regulatory compliance in the United States is driven by governing agencies. For instance, worker safety, pipeline safety, fire safety and environmental compliance is primarily driven by the OSHA, DOT, NFPA, and EPA respectively. As compliance with regulations requires personnel with in depth knowledge of the regulations, the Loews IA Compliance Team stay abreast with the regulations that govern the operations of our subsidiaries by continuously researching covered agencies websites and other useful resources like industry specific journals. Our team use continuous improvement as a way to enhance the operational efficiency of our subsidiaries. An integral aspect of our compliance program is monitoring the operations of our subsidiaries. This not only provides a framework to assess how our subsidiaries and their contractors comply with regulations, it also presents opportunities to give feedbacks and guidance on industry best practices. Our presentation will focus on how the Loews IA Compliance Team monitors our subsidiaries and their contractors to ensure that they comply with OSHA regulations during construction projects. Alyssa Vumbaco is an IT Audit Manager in the Loews Corporation Internal Audit group. Alyssa has been with Loews Corporation since Her main focus includes supervising all IT audits

14 and reviews, as well as all Natural Gas pipeline compliance actives at Boardwalk Pipeline Partners, a subsidiary of Loews Corporation. Prior to her start with Loews, Alyssa was an Experienced Associate in the Risk Assurance group at PricewaterhouseCoopers ( PwC ) for two years. Alyssa is a Certified Information Systems Auditor (CISA), as well as Certified in Risk and Information Systems Control (CRISC). Olaitan Femi Falade is the EHS and Process Safety Management Internal Auditor at Loews Corporation, He is the subject matter expert for existing and emerging EHS regulations that affect our subsidiaries operations. He recommend new programs and policies as required to respond to new and emerging regulations. He audits Loews Corporation subsidiaries, i.e. Boardwalk Pipeline Partners (a midstream gas and chemical storage company), Loews Hotels (construction projects), and Diamond Offshore Drilling (an oil exploration and production company). His professional goal is to prevent losses and ensure utmost operational efficiency, environmental compliance and safety of Loews Corporate subsidiaries. Auditing Intermediate