Thursday, September 29, :30am 4:00pm. Members: $15.00 Non-members: $ NASBA CPE Credits

Transcription

1 Membership Appreciation Training & Networking Event The Government Advisory Committee (GAC) of the IIA Chicago Chapter and the AGA Chicago Chapter presents an educational/networking event. 8:30am 4:00pm Members: $15.00 Non-members: $20.00 (cost includes sponsored lunch) 6 NASBA CPE Credits Metcalfe Federal Building Conference Center Room West Jackson Blvd, Chicago, IL AGA Members, send to Registrar: MMatczynski@hudoig.gov Please note, all registration is final after Thursday 9/22/2016. Sponsored By: The IIA Chicago Chapter and AGA Chicago Chapter are 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:

2 Greetings and Welcome to the Joint Educational Session Hosted by the IIA GAC and AGA! Congruent to our National Organizational Mission, the AGA Chicago Chapter leads and encourages change that benefits our field and all citizens. It is my honor to both welcome you to our joint educational session and invite you to our after hours networking event sponsored by Baker Tilly. It is encouraging that at a time when earning the public trust and shaping our civil society through responsible fiscal accountability is paramount, we are embarking on this public private partnership to shape our world. We welcome change agents from all organizations who have an interest in taking this shared journey with us to join us in learning and development. The lives we sustain will be our own. Come join us and become part of a movement! Topics will include: Cybersecurity, Government Auditing, Risk Assessment, Fraud and more! Sponsored networking event: Ceres Café 141 West Jackson Boulevard (Board of Trade Lobby) 4:00pm to 7:00pm Dr. Kasthuri Henry, PhD, MBA, CTP, Six Sigma Black Belt President, AGA Chicago Chapter 2

3 April Agenda at a Glance 23 rd & 24 th ~ 8:00am 4:00pm PLEASE NOTE: Schedule changes may occur that affect speakers, topics, etc. Thursday, September 29 th 8:30am 8:45am 9:00am BREAK 10:00am BREAK 11:00am LUNCH 1:00pm Registration Welcome Address & Introductions IGs Role in Assisting Management Transition to the New ERM Framework Honorable David A. Montoya GASB Update Michael Malatt, CPA Shaping Legislation via Financial Process Improvement and Risk Mitigation Dr. Kasthuri Henry, PhD, MBA, CTP, Six Sigma Black Belt Global Cyber Issues Steven H. Shapiro, JD BREAK 2:00pm Risk Management Hugh Smith, CFE, CGFM BREAK 3:00pm Critical Thinking & Listening Skills for Auditors James Dahlquist, MPA Wrap Up & Evaluations 4:00 7:00pm Networking Mixer Ceres Café, 141 West Jackson Boulevard (Board of Trade Lobby) 3

4 Presents The Honorable David A. Montoya Inspector General Mr. David A. Montoya was sworn in as Inspector General for the U.S. Department of Housing and Urban Development (HUD) on December 1, The Department s mission is to create strong, sustainable, inclusive communities and quality, affordable homes for all. The mission of the Office of Inspector General is to promote the integrity, efficiency, and effectiveness of HUD programs to assist the Department in meeting its mission. As Inspector General, Mr. Montoya is the senior official responsible for audits, evaluations, investigations, and oversight efforts relating to HUD's programs and operations. Mr. Montoya s 28 year career has been dedicated to public service focused on law enforcement, with more than 17 years of oversight, supervisory and executive leadership positions, including more than 14 years experience in the Federal Senior Executive and Executive Service. His professional career has demonstrated a rigorous focus on accountability, high ethical standards, and integrity. Before Mr. Montoya s appointment to HUD, he served in senior level positions for the Offices of Inspector General at the U.S. Postal Service and the U.S. Department of the Interior and as Deputy Director of the Environmental Protection Agency's Criminal Investigation Division. Mr. Montoya is a member of the Financial Fraud Enforcement Task Force, established by President Obama in November 2009, and is a co chair of the Mortgage Fraud Working Group, which is charged with addressing a wide range of fraud in the mortgage, finance, and housing markets. He is also a member of the Council of Inspectors General on Financial Oversight, established by the Dodd Frank Wall Street Reform and Consumer Protection Act, which assists in improving financial oversight and evaluating the effectiveness and internal operations of the Financial Stability Oversight Council. In addition, Mr. Montoya is a member of the Executive Committee of the Council of Inspectors General on Integrity and Efficiency (CIGIE); Chair s CIGIE s Professional Development Committee and sits on the Investigations and Information Technology Committees. Mr. Montoya is a member of the Advisory Council and is a cochair of the Law Enforcement Committee for the International Association of Financial Crimes Investigators and prior to his federal career worked in the private sector for Continental Airlines where he spent five years working in airport operations and sales. Mr. Montoya is strongly committed to collaboration with HUD staff and national stakeholders to ensure that the Department s vital programs are effectively and efficiently implemented and serve the public well. In addition, he is focused on developing analytics for early detection of waste, fraud, and mismanagement through the strategic application of OIG s audits, evaluations, reviews, and investigations. Mr. Montoya believes fraud prevention is imperative at the front end and consistently conveys this message to every OIG employee. Mr. Montoya has received many Executive Performance Awards, including a Certificate of Commendation from the U.S. Department of Justice. He is a native of El Paso, TX, and a 1986 graduate of the University of Texas at El Paso with a Bachelor s Degree in Criminal Justice. 4

5 9:00am IGs Role in Assisting Management Transition to the New ERM Framework Presented by IG David A. Montoya Summary An IG of one of the largest government agencies will discuss insights and best practices on the new Enterprise Risk Management Framework. Learning Objectives Brief both transition teams and new political appointees on their role in ERM governance. Maintain IG independence while still being helpful. Audit and evaluate the process not the content of risk profiles. Assess the agencies current risk processes and plans for ERM governance. Provide risk summaries from IG work. Collaborate on building paths to resolution of IG management challenges. Discuss importance of consolidating all agency reviews and corrective action plans in building risk profiles. Field of Study: CPE Credits: Program Level: Prerequisites: Advance Preparation: Government Auditing 1.0 hours (50 minutes) Overview 5

6 10:00am Michael Malatt, CPA, Senior Manager Baker Tilly Virchow Krause, LLP Mr. Malatt has been a member of the firm s Public Sector Practice Group since Michael has extensive experience with counties, municipalities, and special districts, specializing in providing financial audits, compliance audits, and accounting services. Michael is a member of the IGFOA Professional Education Committee, GFOA Special Review Committee, AICPA, and Illinois CPA Society. Michael obtained a Bachelor of Business Administration in Accountancy and Mathematics and a Master of Science in Accountancy from the University of Notre Dame. Michael received the 2008 Excel Award from the Illinois CPA Society for outstanding achievement on the Uniform CPA Examination in Illinois. Presents Summary "GASB Update As the GASB continues to actively and aggressively pursue changes to the current landscape of governmental accounting, it is vital to have an understanding what the future holds and how to prepare for these changes. This session is focused on providing insight into the new standards, agenda items, and potential future changes to be enacted by GASB and how such changes will affect local Illinois governments. This will include a discussion on the basic principles of recently issued pronouncements along with current agenda items and research projects that may result in the issuance of additional standards. Field of Study: CPE Credits: Program Level: Prerequisites: Advance Preparation: Government Accounting 1.0 hours (50 minutes) Overview 6

7 April 23 rd Presents & 24 th ~ 8:00am 4:00pm Kasthuri Henry, PhD, MBA, CTP, Six Sigma Black Belt President Dr. Kasthuri Henry is an Award winning writer, engaging speaker, professor with 25 years of corporate experience and international exposure. She has spoken to thousands of business professionals across the US including national conferences of CFO Organization, Institute of Management Accountants, Associations of Financial Professionals, Chamber of Commerce and Business Leadership events. Dr. Kas draws from her experience as a CFO at Chicago Teachers Pension Fund, Regional CFO at Aon Risk Services and Sr. VP of FP&A at HSBC, among other senior finance roles in various organization. Her contribution to the business world was recognized by making her the recipient of Financial Executive of the Year, 2006 for the Mid America Region during her tenure as a CFO at Aon. Her contribution to the public sector was recognized by the GFOA for Excellence in Financial Reporting. Dr. Kas is the President of KasHenry Inc., a local business focused on business performance management and leadership development. She puts her Finance PhD to work as a Visiting Professor at North Park University and DeVry University Keller Graduate School of Management. She is a Phi Theta Kappa Leadership Honor Society and International Public Safety Leadership Ethics Institute (IPSLEI) Certified Ethical Leadership instructor. Her Board experiences include North Park University MBA Advisory Board, Treasury Management Association of Chicago, DeVry University Advisory Board and I AM 4 Kids, all focused on helping develop empowering identities and leadership for bringing about the much needed positive social change. 7

8 "Shaping Legislation via Financial Process Improvement and Risk Mitigation" Presented by Dr. Kasthuri Henry Summary Today, the public sector fiscal viability calls for technology integrated process controls for effective risk management and operational solutions to provide quality public service without compromising the public trust. This Pension Fund case study approach provides a blue print for how such integration could be achieved. 11:00am Application of the rule with an understanding of root cause and regulatory compliance has the potential to shape responsible legislation without losing sight of good governance and the need for public private partnership. Come join us and explore how we can help shape a fiscally responsible environment that would help us all thrive!! Learning Objectives Attendees will be able to: identify organizational pain points and risks, develop integrated solutions to address multiple problems leveraging technology, and use continuous improvement concepts and project management approaches to implement the integrated solutions in a phased manner. Field of Study: CPE Credits: Program Level: Prerequisites: Advance Preparation: Management Services 1.0 hours (50 minutes) Overview 8

9 Presents Steven H. Shapiro, JD Partner KRASNOW SAUNDERS KAPLAN & BENINATI LLP Steve is a former public company executive, Chief Privacy Officer and General Counsel, who returned to private practice to provide his clients with the same level of responsiveness, judgment and billing flexibility that he required as a General Counsel. He is a highly accomplished transactional lawyer, seasoned business counselor and effective negotiator. His legal and business expertise encompasses a wide variety of disciplines, including corporate law, securities law, M&A transactions, bank financing, employment law, IT contracting and privacy and data security. Steve represents funds and public and private companies in the sale and purchase of other companies; lenders and borrowers in complex corporate financing transactions and workouts; emerging companies and venture capitalists in venture capital financings; underwriters, placement agents and issuers in securities offerings; and service providers and their clients in the negotiation of IT contracts. Some transactions completed by Steve include: $2 billion spin off of a publicly traded multinational conglomerate, with related IPO $500 million asset purchase of oil company out of bankruptcy $325 million acquisition of community bank in northern suburbs of Chicago Lead counsel for UK based heavy equipment distributor for its U.S. acquisition program, encompassing 8 acquisitions with an aggregate value of over $300 million $200 million exit financing to Midwest manufacturer $100 million private placement of convertible stock for superregional bank holding company Sale of $30 million internet company $25 million rights offering for technology consulting company Steve speaks regularly and dynamically about a variety of business and legal issues, originating many well attended and well received seminars across the country. He earned a Bachelor of the Arts in Economics from Columbia University and was cum laude at the University of Chicago where he earned his Juris Doctorate. 9

10 Summary 1:00pm Global Cyber Issues Presented By Steven H. Shapiro, JD Moderated by Hugh Smith, CFE, CGFM A moderated discussion with a former General Counsel and Chief Privacy Officer who will share his expertise in identifying risk posed by cloud computing and other cyber issues, their possible consequences and how to mitigate exposure to these issues. Learning Objectives Obtain critical knowledge of the types of risks posed by cloud computing and other cyber issues and their impact. Identify the most significant cyber issues that can increase your exposure. Learn practical, proven and achievable steps to guide your decision making and risk management. Understand the legal risks and consequences of breaches of cyber issues. Identify important cyber risk contractual provisions for organizations. Learn how to minimize the exposure of their organizations to cloud computing and other cyber risks. Field of Study: CPE Credits: Program Level: Prerequisites: Advance Preparation: Information Technology 1.0 hours (50 minutes) Overview 10

11 Presents Hugh Smith, CFE, CGFM Practice Lead, Assurance & Attestation Services Mr. Smith possesses over thirty years of public accounting experience. He started his career with Deloitte spending six years in the assurance division servicing Fortune 500 and large closely held entities. He is a frequent speaker and consultant on assurance and attestation related subjects. He has developed professional training materials and programs relating to the specialized nature of financial reporting for the AICPA, CPAs for the Public Interest, the federal GSA, AGA, Lorman, NFRE and others. He serves on the Firm s Continuing Professional Education (CPE) and Quality Control (QC) committees responsible for ensuring good standing with the AICPA, ISCPA & PCAOB continuing professional education and peer review programs. He has served as director and advisor on several Boards at the national, state and local levels. Hugh is also a member of the executive committee of the Chicago Chapter of the Association of Governmental Accountants. Additionally, he holds national and local memberships and certifications with the Association of Governmental Accountants (AGA) and the Association of Certified Fraud Examiners (ACFE). For those Associations, he holds the designations of Certified Fraud Examiner (CFE) and Certified Governmental Financial Manager (CGFM). Hugh is currently serving as the AGA North Central Regional Vice President. He obtained a Bachelor of Science in Accountancy from the University of Illinois at Urbana. 11

12 2:00pm Risk Management Presented by Hugh Smith, CFE, CGFM Summary Presentation will focus on Risk Assessment, Fraud Prevention and the newly legislated Enterprise Risk Management (OMB 123). Attendees will gain insight into how to assess and manage financial reporting risk and develop strategies to implement ERM. Learning Objectives Attendees of this program will: gain understanding of what risk assessment involves, obtain knowledge regarding implementation of ERM, and acquire practical skills to implement effective risk management. Field of Study: CPE Credits: Program Level: Prerequisites: Advance Preparation: Management Services 1.0 hours (50 minutes) Overview 12

13 3:00pm James Dahlquist, MPA, Senior Training Manager Office of the Illinois Auditor General Mr. Dahlquist is a 20 year employee of the Illinois Auditor General, the State s only nonpartisan constitutional office. As senior manager of training and recruitment, he provides courses on a variety of topics including ethics, fraud, and internal controls, and is a guest lecturer on university campuses throughout Illinois. He has a BA in Communications from Northeastern Illinois University and a Master s degree in Public Administration from the University of Illinois at Springfield. Presents "Critical Thinking & Listening Skills for Auditors Presentation Summary Mr. Dahlquist will highlight the relevant points of critical thinking, effective listening, habit theory, and internal controls in our everyday lives. Learning Objectives Attendees of this program will be able to: compare the obstacles and most direct uses of critical thinking and listening skills, discuss examples of implementing these techniques, and implement a suitable approach. Field of Study: CPE Credits: Program Level: Prerequisites: Advance Preparation: Personal Development 1.0 hours (50 minutes) Overview 13

14 IIA GAC AGA Chicago Chapters Thursday, Training & September Networking 29, Event 2016 General Information Metcalfe Federal Building Registration includes: GSA Conference Room 331 A certificate of completion; 77 West Jackson Boulevard Lunch; and, Chicago, Illinois Training materials furnished via a link for printing on your own or viewing on electronic devices at your leisure. Register by September 23, 2016 Members: $15 Non-Members: $20 Life Time Members: $0 Delivery Method: Group Live Registration Questions: Please contact our Registrar, Matthew Matczynski via at MMatczynski@hudoig.gov or Program Director, Dr. Kas Henry via at KHenry@agachicago.org Payment Questions: Please contact our Treasurer, Tom DiLisio via at Dilisio.Thomas@dol.gov Registration Information FIRST NAME LAST NAME ORGANIZATION PRICE Method of Payment Check We will provide an invoice to the identified contact person. Checks should be made payable to AGA Chicago Chapter and mailed to: Post Office Box 1744, Chicago, IL Electronic Fund Transfer (EFT) We will provide an invoice and our bank routing information to the contact person. Order Total: Contact Information Please include the contact information for the person who will coordinate the registration fee payment. Name/Title Organization Phone Credit Card Cancellation Date: Friday, September 23, 2016 Contact AGA Chicago Chapter Treasurer via at Dilisio.Thomas@dol.gov to process credit card payment. Requests for cancellation must be made in writing to MMatczynski@hudoig.gov prior to cancellation deadline. Registered participants who give a cancellation notice after the deadline, or who do not attend the event, will be charged the full price of the event. This policy is based on the fact that the Chapter contracts for costs (speakers, catering, etc.) and is required to pay for these costs whether or not the registered participant attends the event. 14

15 April 23Recognitions rd & 24 th ~ 8:00am 4:00pm Institute of Internal Auditors Chicago Chapter Government Advisory Committee Special Thanks to Training Organizers: Ken Clow John Caporale Catherine Fisher Mark Kimmet Kyle O'Rourke IIA District 2 Representative, Past President of the IIA Chicago Chapter, Current BOG of the IIA Chicago Chapter and Chair of the Government Advisory Committee. Committee Marketing Chair Committee Education Chair Committee Secretary Committee Member And the Government Advisory Committee David Addis Committee Member Natalie Covello Committee Member LaTaunia Green Committee Member Casey Killian Committee Networking Events Cathy Pleasant Committee Recruiting Chair Cassaundra Rouse Treasurer Chapter Officer Alicia Roberson Committee Member Committee's Formation The Government Advisory Committee was formed in 2014 to assist the IIA Chicago Chapter in identifying ways to serve government auditors more effectively. The committee reports to the Chapter's Board of Governors. The goal and objective of this committee is to develop programs and events such as roundtable discussions over emerging issues and recent news impacting internal auditing in the government sector. Some topics discussed will focus on economic conditions, financial management and fiscal pressures facing governmental entities. Special emphasis will be on government ethics, auditor independence, detecting and preventing fraud, waste and abuse or improper payments. Committee s Activities The Committee will arrange government specific continuing professional education (CPE) at a low cost. The professional education activities will develop and hone the skills of auditors while allowing auditors to acquire new skills and capabilities. The Committee will coordinate network opportunities which will strengthen the government audit community. 15

16 April 23Recognitions rd & 24 th ~ 8:00am 4:00pm Association of Government Accountants Chicago Chapter Special Thanks to the Fall Into Training Planning Committee: Dr. Kasthuri Henry Hugh Smith Matthew Matczynski Cynthia CJ Carter Della Hernandez Franklin Moy President, AGA Chicago Chapter Regional Vice President, AGA North Central Region and Past President of the AGA Chicago Chapter Committee Registration Chair, Past President of the AGA Chicago Chapter, and Past Regional Vice President, AGA North Central Region Committee Sponsorship Chair Committee Communications Chair Committee Education Chair And to the AGA Chicago Chapter Executive Committee Chanel Castaneda Awards Director Crystal Currier Secretary Chapter Officer Tom DiLisio Treasurer Chapter Officer Lorraine Jamison PR/Marketing Director Eddie Jones President Elect Chapter Officer Adriane D. McCoy Membership Director Tiffany McCoy WebMaster & Historian Raul Nieto CGFM Director Sophia Patsios Assistant Meetings Director Rick Urbanowski Recognition Director Saundra Woods Accountability Director About AGA The Association of Government Accountants (AGA) supports the careers and professional development of government finance professionals working in federal, state, local governments, as well as the private sector and academia. Founded in 1950, AGA enjoys a long history as the thought leader for the government accountability profession. Through high quality continuing education, research, publications, certification, conferences and opportunities to network, AGA reaches thousands of professionals and offers more than 100,000 continuing professional education (CPE) hours annually. Organized in 1953, the AGA Chicago Chapter recently celebrated 60 years. 16

17 The IIA Chicago GAC & AGA Chicago Chapter thank our Sponsor for their generous donation!