The Dallas Chapter of the Institute of Internal Auditors

October Meeting
Thursday the 6TH
CityPlace Conference Center

Lunch Meeting 12:00pm
Registration begins at 11:30am

COSO

Enterprise-Wide Risk Management:
“Separating the Wheat from the Chaff -
Gleaning Best Practices in an Evolving Marketplace”

Paul Kanneman, Grant Thornton LLP

Much has been written regarding Enterprise-Wide Risk Management. Everybody seems to know something about it. Lots of companies are talking about it and considering it. Some companies are even implementing it – or at least something they are calling EWRM. Yet, when you take a long hard look – through the eyes of professional skepticism – you don’t find many real world success stories and many are left scratching their heads and asking, “How is this any different than what we are already doing or have done in the past?”

Mr. Kanneman, Regional Practice Leader for Grant Thornton LLP’s Business Advisory Services, has been “living in the trenches” – assisting clients in articulating what EWRM means for their business and how EWRM concepts and constructs can be applied uniquely to their environment. Using several recent engagements as starting points, Mr. Kanneman will explore the various dimensions that constitute Enterprise-Wide Risk Management and then identify many of the leading practices and pitfalls that are associated with implementing those concepts in “the real world.”

Paul Kanneman, Grant Thornton Principal, has over 17 years of experience in management consulting and technology advisory services. He has worked with consumer product related companies ranging from manufacturers, wholesalers and distributors, to small independent retailers and national chains. Additionally, he has advised discrete and process manufacturers, energy companies, utilities, and financial service related institutions; focusing on technology-enabling the supply chain in the areas of customer service, store/branch operations, revenue accounting, and delivery logistics.

Retail-related clients include such firms as Service Merchandise, 7-11 Corporation, Lowe’s, Finlay’s, Zale Corporation, McDonald’s, a national office-supply retail chain, the convenience store divisions of two major oil companies, and the grocery division of a major food distributor. He has also assisted several “e-tailers” in their entry into the electronic commerce arena, including Dell Corporation. Lastly, Paul served for almost four years as the Chief Information Officer for one of the nation’s largest specialty retailers; responsible for managing the information technology environment supporting over 1,400 locations, corporate headquarters, regional credit centers, and a centralized distribution center.

Prior to his commercial career, Paul served as an intelligence officer for seven years, specializing in the area of signals/electronics intelligence, cryptology, and security. Paul recently joined Grant Thornton LLP and has been tasked with building the Technology Risk Management practice within the Central Region. He is responsible for the oversight and delivery of all technology related audit, review and advisory services performed on behalf of our clients within the Central region.

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Pre-Meeting 10:30am

T– CSA & Matrix Methodologies
Al Bazis, Dallas Area Rapid Transit (DART)

Two methodologies that can be used for work within the COSO approach will be presented. What are they, how do they work, how are they similar and how are they different? How are they implemented and what are the benefits? Can one be a primer for the other? What skills do we need?

Al Bazis, CPA, began his career at Arthur Andersen & Co where he was an Audit Manager. He then joined Associates First Capital Corp., an $80 billion financial services company, where he was Senior Vice President of Corporate Audit. Associates utilized many best practices in the internal audit department and was an early implementer of control self assessment (CSA) which was used successfully in all phases of audit work. Al is currently with Dallas Area Rapid Transit (DART) where he is the Director of Internal Audit. DART has recently adopted a COSO-based approach to audits which utilizes a risk/control matrix. This approach would allow for an easy transition to CSA in the future. Al has served on the IIA International committees, has served the Dallas Chapter of the IIA as president and is currently on the Chapter’s Board of Governors. He is the Chairman of the University of North Texas Internal Audit Advisory Board.

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Post-Meeting 1:30pm

Best Practices and What, If Anything,
Has Changed Since SOX Has Been Implemented
Panel Discussion moderated by Kathryn Barton, Lone Star Technologies

The Panel will discuss their insights into changes that have arisen from SOX implementation. Our distinguished panel includes:

Moderator: Kathryn Barton, Lone Star Technologies - Internal Audit Director, joined Lone Star Technologies, Inc. in July 2002, which is a producer and marketer of premium casing, tubing, line pipe and couplings for the oil and gas industry; specialty tubing for the industrial, automotive, and power generation industries; and flat rolled steel and other tubular products and services. Kathryn leads the Internal Audit team which is responsible for all Internal Audit activities.

Kathryn has over 22 years of experience in various Internal Audit positions primarily in the Electric Utility and Oil and Gas Industries. During her 16 year career with Central and South West Corp., Kathryn pioneered the practice of Control Self Assessment (CSA). She developed a CSA program in 1996 and managed the processes until the company was acquired in 2000.

Raised in Cleveland, Ohio, Kathryn earned a Bachelor of Arts degree from Baldwin-Wallace College, Berea, Ohio. She is a Certified Public Accountant, Certified Internal Auditor, Certified Internal Systems Auditor and attained Certification in Control Self-Assessment.

Brad Bates, Deloitte - Senior Manager, is based in Dallas within Deloitte’s Enterprise Risk Services (“ERS”) practice and an internal audit specialist with 19 years of Internal Audit experience in a variety of industries. Brad has worked at Deloitte for approximately six years, where he manages all aspects of internal audit engagements for Deloitte’s fully-outsourced internal audit clients. Prior to joining Deloitte, Brad worked in a similar capacity with another Big Four professional services firm where he managed full-outsourced internal audit engagements, performed risk assessments, and developed internal audit plans for organizations in a variety of industries.

Brad is a Certified Internal Auditor and has been active in the IIA for his entire 16-year career. He has served on many committees and has held various officer positions in the Dallas Chapter. Brad was the President of the Dallas Chapter for the 2000-2001Chapter year. Brad is a graduate of Louisiana State University in Shreveport where he received a bachelor’s degree in Accounting.

Gwen Land, Jefferson Wells International - Director of Internal Controls, joined Jefferson Wells, a professional services firm, in 1998 with the opening of the Dallas office. Gwen is responsible for developing the firm’s Internal Audit practice in the Dallas market and managing a staff in excess of 70 professionals. Service offerings include Internal Audit Co-sourcing, Internal Audit Outsourcing, and Sarbanes-Oxley Assistance.

Prior to joining Jefferson Wells, Gwen was in Internal Audit management in the financial services industry for 15 years. She worked with Comerica Bank, Lomas Mortgage USA, and Bank of America. She started her career in public accounting with BDO Seidman.

Gwen graduated from Trinity University in San Antonio with a B.S. in Business Administration. She is a Certified Public Accountant, Certified Internal Auditor, and a Certified Information Systems Auditor.

Clint McPherson, Protiviti, Inc. – Internal Audit Services Director, from the Ft. Worth office, has over 15 years of experience in internal audit, business operations, and information technology. Clint has experience in the areas of enterprise risk assessments and planning, internal audit quality assessment reviews and transformation efforts, and numerous comprehensive internal audit business process and IT operational reviews.

Prior to joining Protiviti, Clint held an Internal Audit practice leadership position within a “Big 5” accounting firm, as well as, serving in Internal Audit leadership positions within both a publicly-traded Fortune 15 consumer products/manufacturing organization and a large insurance based holding company and as a senior consultant with Accenture’s Financial Services practice.

Clint received is Bachelor of Business Administration in Finance and Accounting from the University of Oklahoma. Clint is a Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), Project Management Professional (PMP), and is accredited in Quality Assessment from the Institute of Internal Auditors.

Kirk Tryon, Texas Instruments - Internal Audit Manager, joined TI in 1991 as an internal auditor with responsibility for auditing TI Japan. Kirk has been an audit manager for the last 11 years and most recently, was responsible for managing audits in TI’s Asia and Japan regions, and TI’s Semiconductor business. Prior to joining TI, Kirk worked for the Auditor General’s Office for the State of Arizona. Kirk graduated from Arizona State University in 1988, and is a licensed CPA in Arizona.

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