The Institute of Internal Auditors Puget Sound Chapter NEWSLETTER
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1 INSIDE THIS ISSUE: The Institute of Internal Auditors Puget Sound Chapter NEWSLETTER President s Message February 2012 President s Message 1 February Highlights 2 March Events 3 Fraud Conference 4 Standards Exposure 5 International Conference 6 Board of Governors 7 International Committees 8 Chapter Committees 8 Articles Submission: Help us keep members informed. Submit your news, articles and announcements for publication consideration in the monthly newsletter. Please submit them by the third Wednesday of every month to Maria Sibal at maria.sibal@nordstrom.com. What a great gathering we had at Maggiano s in Bellevue! I send my thanks to Anne Etter, Melvin Flowers, and Sanjay Singh for playing a major role in a memorable event. The synergies generated by the panelists were awesome. The discussions were relevant and insightful. If you receive a survey please let us know how you felt about an event such as this, and if we should repeat it next year. Our March 13, 2012 luncheon will find us back at the Washington Athletic Club in Seattle. The topic for discussion and the technical session will be risk assessment. You can expect to learn actionable tips and techniques for use within your own environment. Please take a moment to look at the new IIA web site at Headquarters is making available to the membership many free, web based continuing education opportunities. The selection is varied and growing. I encourage you to consider this site when you are searching for a training prospect. Our team of dedicated volunteers is working together to put the finishing touches on the agenda for the Fraud Conference scheduled for March 29, 2012 at the Washington Athletic Club. The change in venue will enable us to increase the number of attendee slots. Registration is now open. Remember this event sold out quickly last year. As I close this February letter, I realize we are more than half way through the fiscal year and fast approaching the time for a slate of officers and directors to be suggested to serve for fiscal year Please give some thought to volunteering in a leadership role. Or, better still, consider nominating someone. Because together I know we can make this a special year. Carol Carol A Morgan, President June 1, 2011 May 31, 2012 cmorgan@worldvision.org
2 Page 2 February Events Highlights Chapter Events The February luncheon meeting and Chief Audit Executives (CAEs) panel discussion held in Bellevue was a great success with over 80 attendees. Corey Saunders, chapter s first vice president, introduced the CAE panel: Anne Etter, Director of Internal Audit for Puget Sound Energy; Melvin Flowers, Corporate VP of Internal Audit for Microsoft; Carol Morgan, VP of Audit & Risk Management Services for World Vision; and Sanjay Singh, VP of Internal Audit for Starbucks. The discussion was moderated by Gordon Prouty, Publisher at the Puget Sound Business Journal. February Events Highlights Event Highlights The discussion was relevant, informative and insightful. The panel discussed their operating philosophy such as having full transparency and integrity, becoming a trusted partner, and investing in your people. They also discussed the qualities that auditors must have to be successful including being bold but approachable, taking initiative, having integrity, be able to analyze and infer, and be able to think of themselves as business people. Save the Date Some of the new and innovative efforts that the CAEs talked about are: the outbound auditor work program, where auditors are able to work outside the Internal Audit group for a few months to learn the business and be able to move to the business; the guest auditor work program which helps spread risk awareness into the business; and focusing on data analytics that are predictive and directional. Other topics that were discussed were biggest challenges and major changes in Internal Audit, and the engagement of the audit committee. Before the end of the discussion, the CAEs provided some parting words for auditors such as Forget being liked, you want to be respected and We can't compete with the business understanding about their area, but we can show what value proposition we can bring. After the luncheon meeting, Ignacio Martinez, Managing Director of Protiviti, presented the technical session on Enterprise Risk Management Making Your Risk Assessment Count. Some of the topics included in the technical session were the current state of risk management, building of an enterprise risk assessment and what is most important to the enterprise.
3 Page 3 March Events March Luncheon and Technical Session Luncheon Meeting March 13th (11:30 to 1:00) at the WAC Luncheon Risk Assessments Scot Glover, Managing Partner, and Justin Hendrickson, Principal, of Grant Thornton will lead an interactive discussion that will cover the uses of risk assessments, the do s and don ts, and how to help ensure that your efforts in performing risk assessments will yield the most effective results. We all want to avoid the dreaded, What keeps you up at night discussion. We ll talk about different ways we can do that provide management the quality results they are looking for. Luncheon Meeting Registration Please register through the Events section of the Chapter's Home Page. The meeting will be conducted at the Washington Athletic Club, located in downtown Seattle at 1325 Sixth Avenue. The fee for the Luncheon Presentation is $35 for members of The IIA, $40 for nonmembers (one CPE is awarded). Technical Session March 13th (1:15 to 3:15) at the WAC Technical Session Risk Assessments Corey Saunders, Senior Manager of Grant Thornton, will build upon Justin and Scot s discussion, but get into greater detail to describe some of the tools and approaches to adding granularity into the assessment of interview results. We ll share some best practices and creative approaches, and have an open dialogue around what has or has not worked in the past, and hopefully what will work most effectively in the future. Technical Session Registration Please register through the Events section of the Chapter's Home Page. The technical session will be conducted at the Washington Athletic Club, located in downtown Seattle at 1325 Sixth Avenue. The fee is $60 for members of The IIA, $80 for non-members (3 CPEs are awarded). About the Presenters About the Presenters Scot Glover, Managing Partner, Western Region Advisory Services practice Based out of Grant Thornton s San Francisco office, Scot joined Grant Thornton after leading the governance, risk and compliance practice at Armanino McKenna, a large regional CPA and consulting firm in the San Francisco Bay Area. Prior to Armanino McKenna, Scot was a Risk Advisory Services partner for Ernst & Young in Palo Alto and Los Angeles where he led over 300 advisory professionals providing services to Fortune 1000 and dynamic growth companies, worldwide. Scot also served as the global coordinating partner for several Fortune 1000 risk advisory services clients, and was a member of Ernst & Young s Risk Advisory Services global strategy board. Scot has extensive experience in business process improvement, corporate governance, enterprise risk assessment and internal audit transformation. Scot s industry expertise covers high-technology, biotechnology and manufacturing companies. Scot holds a Bachelor of Arts degree in Organizational Behavior and completed executive management training as part of the Kellogg Business School Executive Leadership Program and the Harvard Business School Executive Development Program. He is a Certified Public Accountant in California and is a member of the AICPA, the California Society of CPAs and the Institute of Internal Auditors.
4 Page 4 March Events About the Presenters About the Presenters (continued) Justin Hendrickson, Principal, West Region Advisory Services practice Justin is based out of the Seattle office of Grant Thornton. He currently leads the Pacific Northwest Internal Audit practice. Justin has had extensive experience working with public and private companies of all sizes, in a variety of industries. Prior to joining Grant Thornton, Justin was with Arthur Andersen for six years. He began his career with Andersen in 1996 working in the external audit practice. In 1999, he transferred to New York to work in Andersen s national Regulatory Risk Services Practice. He specializes in internal audit procedures; internal controls design, efficiency and operation, and consumer compliance regulations. Justin received his Bachelor of Arts degree in Business Economics with emphasis in Accounting from the University of California, Santa Barbara. He serves on Grant Thornton s national Internal Audit Solution Group established to develop firm methodology, provide professional technical guidance and lead the firm s efforts in internal audit and internal control services. He is a Certified Information Systems Auditor (CISA), and a member of the ISACA, the IIA and the AICPA. Corey Saunders, Senior Manager, Western Region Advisory Services practice Based out of Grant Thornton s Seattle office, Corey joined Grant Thornton in 2010 after spending seven years with KPMG s Internal Audit, Risk, and Compliance Services practice. Just before joining Grant Thornton, Corey also led the Sarbanes-Oxley compliance group for a Fortune 200 waste collection, transfer, recycling, and disposal company. He has 15 years of experience in the delivery of financial statement audits, outsourced and co-sourced internal audit services, SOX compliance, internal control portfolio analysis, and has served as an outsourced interim Internal Audit Director. Corey is well-versed in performing risk assessments as part of enterprise risk management efforts as well as more targeted risk assessments for Internal Audit planning purposes and financial reporting risk assessments as part of SOX 404 compliance. Corey received a Bachelor of Science degree in Accountancy from Arizona State University, where he was a member of the ASU Honors College. He is a member of the AICPA and is licensed in Arizona. In addition, Corey currently serves as 1 st VP of the Puget Sound Chapter of the Institute of Internal Auditors. IIA Puget Sound Chapter Third Annual Fraud Conference Annual Fraud Conference We have an incredible line-up of high caliber speakers from industry, consulting and government who will share their expertise. Topics to be covered include: Investigative interviewing, Foreign Corrupt Practices Act update, Social media business risks and investigations, Ethics, and Risk management. Our keynote speaker will be the accomplished author and anti-fraud practitioner, Martin Biegelman of Navigant Consulting. After the conference, we will be hosting a networking event with hors d'oeuvre and refreshments, and encourage you to attend. Date: March 29, 2012 Location: Washington Athletic Club (WAC), 1325 Sixth Avenue, Seattle, WA Time: 8:00 am to 5:30 pm - Conference; 5:30 pm to 6:30 pm - Networking Event Cost: $130 for IIA Members and $160 for Non-Members CPE: 8 credits will be awarded Registration is now open on our chapter website at:
5 The IIA s 2012 Standards Exposure Page 5 The International Internal Audit Standards Board (IIASB) of the Institute of Internal Auditors (IIA) recently conducted a comprehensive review of the International Standards for the Professional Practice of Internal Auditing (Standards) and is proposing changes to some of the Standards. The mission of the IIASB includes developing, issuing, maintaining and promoting the Standards. The proposed changes result from IIASB deliberations over the past two years. The changes reflect consideration of input the IIASB has received from internal auditors and stakeholders, as well as global surveys and other research focused on the Standards. IIA s 2012 Standards Exposure Exposure Period Part of the established process includes the exposure of the proposed changes to the Standards to stakeholders of the profession to ensure that the modifications are clear, understandable, and consistent with the practice of internal auditing. The proposed revised Standards will have a 90-day exposure period from February 20, 2012, to May 20, Purpose for the Exposure The proposed changes include the following topics: Clarifying the responsibilities of internal auditors, the Chief Audit Executive (CAE) and the internal audit activity for conforming with the Standards. Increasing focus on the Quality Assurance and Improvement Program requirements and clarifying ways in which conformance may be achieved. Clarifying the CAE's role to communicate unacceptable risk. Explicitly requiring timely adjustments to the internal audit plan for changes. Increasing coverage of risks to the achievement of strategic objectives. Adding more examples of functional reporting to the board. Adding the definitions of "overall opinion" and "engagement opinion" into the glossary, as well as changing the definitions of "risk" and "board." A number of the proposed changes provide improvements in clarity of the wording of the Standards, not changes to the intent of the Standards themselves. The IIASB believes that the proposed changes will be beneficial. How to Respond To facilitate your response to this exposure draft, you will complete an online survey that guides you through each of the proposed changes to the Standards and glossary. The survey which is available in English, French, German, Italian, Korean, Montenegrin, Polish, Portuguese, Romanian, and Spanish will allow you to vote on whether you agree with the proposed additions or revisions and to provide additional comments. In addition, The IIA will be hosting a free webinar on March 7, from 1:00 pm to 2:00pm (US Eastern Standard Time) to review the proposed changes. This webinar will be available live to the first 2,000 viewers and via replay shortly after the event for those that are not able to listen live. For access to the exposure instructions, online survey, and the webinar, go to: Your input is vital to ensure that the IIASB has a complete view from our practitioners and stakeholders. After considering comments, the IIASB may modify the proposed changes before releasing the final revised Standards. Thank you in advance for your time and for your continued support of the profession. Best regards, Andrew J. Dahle, CIA Chairman International Internal Audit Standards Board
6 Page International Conference 2012 International Conference
7 Page 7 Chapter Officers Chapter Officers Carol Morgan President Corey Saunders 1st VP Shane Clarke 2nd VP Maria Sibal Secretary Bill Smith Treasurer Michael Tozour Past President Name Company World Vision Grant Thornton LLP Protiviti Nordstrom PRGX Moss Adams cmorgan@worldvision.org corey.saunders@us.gt.com shane.clarke@protiviti.com maria.sibal@nordstrom.com william.smith@prgx.com michael.tozour@mossadams.com Board of Governors Name Company Board of Governors Alpa Parikh Anne Etter Annette Mumford Christina Gehrke Denise Merle Dominique Vincenti Karen Kachele Kriss Morris Lisa Battaglia Michael Kucha Tom Taylor Wendy Jones Univar Puget Sound Energy HomeStreet Bank FHLB Seattle Weyerhaeuser Nordstrom Robert Half International PACCAR Boeing Amazon Mutual of Enumclaw Alaska Airlines
8 Page 8 Chapter Members Serving on IIA International Committees Chapter Members Serving on IIA International Committees Member Name Company International Committee Brian Foster Microsoft Professional Certifications Board Steve Mar Nordstrom Committee of Research and Education Advisors Rod Winters Board of Directors / Executive Committee Committees Committee Chairs The Committee and Members Chairs welcome your input. Committee Chairs and Members Company Academic Relations Committee Marilee Byers Microsoft marilee.byers@microsoft.com Advocacy Committee Karen Kachele-Gottschalk Robert Half International karen.gottschalk@rhi.com Audit Committee Jim Hall (chair) Retired hstamps1@verizon.net CAP Reports Committee Annette Mumford (chair) HomeStreet Bank annette.mumford@homestreet.com CIA Program Committee Christina Gehrke (chair) Federal Home Loan Bank cgehrk@fhlbsea.com Directors Roundtable Committee Douglas Taylor (chair) Sterling Life Insurance Co. douglas.taylor@sterlingplans.com Historian Carol Morgan (chair) Jason Kidd Intern Committee World Vision T-Mobile cmorgan@worldvision.org jason.kidd@t-mobile.com Kevin Raferty (chair) Verity Credit Union kevinr@veritycu.com Kristina Demek kdemek@hotmail.com Membership Committee Mei Lei (chair) Pemco mei.lei@pemco.com Amy Brock Bank of Pacific abrock@bankofthepacific.com Adam Steed Nordstrom adam.steed@nordstrom.com Newsletter Committee Maria Sibal (co-chair) Lawrence Lee (co-chair) Nordstrom Ernst & Young maria.sibal@nordstrom.com lawrence.lee@ey.com Program Committee Meghan Hargreaves (chair) Puget Sound Energy meghan.hargreaves@pse.com QAR Project Committee Annette Mumford (co-chair) HomeStreet Bank annette.mumford@homestreet.com Anne Etter (co-chair) Puget Sound Energy anne.etter@pse.com Conference Planning/Marketing Karen Kachele-Gottschalk (chair) Robert Half International karen.gottschalk@rhi.com Website Committee Allen Smolinski (webmaster) T-Mobile allen.smolinski@t-mobile.com Natalie Blachere (back-up) Getty Images natalie.blacher@gettyimages.com
The Institute of Internal Auditors Puget Sound Chapter NEWSLETTER
INSIDE THIS ISSUE: The Institute of Internal Auditors Puget Sound Chapter NEWSLETTER President s Message August 2011 President s Message 1 Greetings All, Chapter Events 2 Pacific NW Enterprise Risk Forum
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