Western Australia
Internal Audit Conference
17 - 18 September 2015
Duxton Hotel, Perth
Providing greater insights in the business of risk
Conference overview
This year marks the 40th anniversary of the Western Australia Chapter. The Western Australia Internal Audit Conference
has played an integral part of shaping the Chapter over the years by providing a premier professional development opportunity
for members in the region.
This year’s Conference will take the theme of “providing greater insights in the business of risk”. The program will focus on
addressing some of the key risk challenges facing organisations today. Key areas to be covered include, managing risk during
business change; keeping ahead of cyber security risks; tackling the big issue of fraud; taking an integrated approach to risk
management; and how to build greater efficiencies into the audit and risk function to deliver greater value for your organisation.
The program will feature a variety of keynote, technical sessions and discussion forums, along with master classes to cover the vital
elements in greater depth. There’ll be management vision coupled with expert technical analysis of key topics and insights on better
practice internal audit methodologies.
Benefit from gaining insights from speakers with local knowledge, technical experts and internal audit stakeholders.
Importantly, take advantage of the networking and knowledge sharing opportunities available at the Conference.
We encourage you and your team to attend the Western Australia Internal Audit Conference to enable your internal audit and
risk functions to provide greater insights in the business of risk.
Lee Sullivan PMIIA
Stephen Linden MIIA(Aust)
President
IIA-Australia
Western Australia Chapter Chair
IIA-Australia
Lunch Sponsor
Principal Sponsor
The Partners and Supporters Program supports
IIA-Australia’s strategy to increase the influence
and recognition of the internal audit profession.
Our supporter:
Cocktail Sponsor
Major Sponsor
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Day 1 – Thursday, 17 September 2015
7.30am – 8.45am
CHIEF AUDIT EXECUTIVE BREAKFAST FORUM
Meeting the challenges of running an internal audit function
This is an exclusive invitation only event limited to CAEs which will focus on the emerging issues for the internal audit
profession and the critical role of the CAE. This interactive forum will provide the opportunity for you to engage with, debate,
question and discuss various issues at strategic level with your peers as well as provide insight into senior executives’ and
directors’ expectations of internal audit.
Guest Speaker: Lee Sullivan PMIIA, Group General Manager - Group Internal Audit, IAG & President IIA-Australia
8.30am – 9.00am
REGISTRATION AND ARRIVAL REFRESHMENTS
9.00am – 9.10am
CONFERENCE WELCOME AND OPENING REMARKS
9.10am – 9.45am
KEYNOTE 1
Managing capital project risk – Integrating governance, risk and controls
• Identifying and addressing risks to ensure successful infrastructure project delivery
• Reviewing and auditing the investment decision process – Getting due diligence right
• Establishing a robust project governance framework – Effective gateways and controls
• Contract and tenders governance – Ensuring the deliverable are delivered
• Capital project assurance –Getting internal audit involved in the process
Ron Alexander, Director General, Department of Sport and Recreation Western Australia
9.45am – 10.30am
KEYNOTE 2
Fraud by employees - How does it happen and what can we do?
• Current trends in employee fraud/theft – Understanding the conditions that lead to employee fraud
•Understanding the mindset and goals of a fraudster on the inside
•Overview of emerging fraud vulnerabilities and identifying the red flags
•Looking beyond monetary gain – Other targets on a fraudsters shopping list such as ID, IP and data
•Practicalities in dealing with a fraud – Understanding the role of the organisation, internal audit and the police
Detective Senior Sergeant Steve Potter, Major Fraud Squad, Western Australia Police
10.30am – 11.00am
11.00am – 11.45am
11.45am – 12.30pm
MORNING TEA
CONCURRENT SESSIONS 1
1A Internal audits role in business transformation/
change
1B Bribery and corruption – Where are we at locally and
globally?
•Understanding the importance and impacts of change
management risks
• Identifying and managing the potential ‘control gaps’
during times of change
•The importance of mapping your project control
framework during a transformation program
•Defining assurance responsibilities
•Developing a reporting process to ensure your bases
are covered
Cameron Jones, Partner, PwC
•Australia, the UK and the US – Rules and ramifications
•Some points to focus on internally – Managing the risk
•Recent cases – Western Australia and international
•What to look for and what to do
John Holan, Associate Director, KPMG
CONCURRENT SESSIONS 2
2A Going lean - Undertaking process and efficiency
reviews
•Approaches to efficiencies reviews with a focus on lean
•Finding efficiencies in processes and systems – Mapping
your business process
•Analysing process for control risk
•Quantifying process efficiency gaps
•Internal audit’s role in getting maximum value from process
and efficiency reviews
Dr Helen Armstrong, Head Trainer, Business Education
Institute & Associate Professor, Curtin University
12.30pm – 1.30pm
2B Managing cyber security risks
•Overview of the latest trends in cyber-attack activity and
organisational vulnerabilities
•Defining cyber-attacks – Inside or outside jobs?
•Cyber security and information security – Same or different?
•Understanding the importance of being cyber-attack
prepared
•What should be on your audit plan when preparing for a
cyber-security audit
Stuart Mills, Head of Information Security Services,
Bankwest
LUNCH
Western Australia Internal Audit Conference 3
1.30pm – 2.15pm
CONCURRENT SESSIONS 3
3A Smart audit sourcing using subject matter experts
(SMEs)
• The benefits of using SMEs in balancing scarce resources
vs. knowledge expertise
• The challenges of using SMEs in educating a non-auditor
on how to audit
• Practical steps for SMEs to cross into the internal
audit domain
• Establishing processes to ensure quality in the SMEs
audit work
Lee Sullivan PMIIA, Group General Manager Group General Manager - Group Internal Audit, IAG
2.15pm – 3.00pm
3B Making Continuous Monitoring work
•Defining Continuous Controls Monitoring (CCM)
•Continuous auditing vs continuous monitoring
•Why hasn’t CCM achieved greater penetration?
•What tool sets and architecture do you need to implement
it effectively?
•Controlling the CCM environment
•The importance of exception management
•Measuring the success of the CCM effort on the business
Glen Laslett PMIIA CIA CCSA CRMA, CCM Consultant
Dr Catherine Hardy, Senior Lecturer, Business
Information Systems, The University of Sydney
Business School
CONCURRENT SESSIONS 4
4A Risk management frameworks – Relationships
between the 3 Lines of Defence
4B Interview and questioning techniques for the
internal auditor
•Defining roles and responsibilities of the 3 Lines of Defence
within an effective risk management framework
•Understanding how the various risk processes should be
integrated into a holistic risk management system
•Assurance of the risk and control management processes
– Assessment of Process Design as well as Process
Effectiveness
•Designing an assurance map built around the 3 Lines
of Defence
•Consolidated reporting on risk and risk management
to support effective governance
Zach Le Roux PMIIA CIA CCSA, CEO & Consultant,
RiskAssure.com.au
• Preparing and planning for an investigative interview
• Question preparation - The key essentials
• Identifying the signals of deception
• Documenting the results your interview
• Reporting on your findings
Craig Mellitchey AMIIA, Manager Deloitte Forensic,
Deloitte
3.00pm – 3.30pm
AFTERNOON TEA
3.30pm – 4.15pm
KEYNOTE 3
Success is a choice
Priya was born with cerebral palsy and has spent most of her life in a wheelchair but she has not let this stand in her way
of winning ten gold and numerous silver and bronze medals for Australia at Barcelona, Atlanta and Sydney Paralympics.
Priya has been awarded an Order of Australia Medal for her services to sport and is on numerous government and corporate
boards and committees raising funding and awareness for people with disabilities to play sport. In her inspiring, motivational
and entertaining presentation titled ‘Success is a Choice’ Priya reminds us that any dream, small or large, personal or
corporate, can come true with the strength of sheer determination and perseverance.
Priya Cooper OAM, 1999 Young Australian of the Year; Paralympics World Champion Swimmer; Vice PresidentW.A. Disabled Sporting Assoc.; Board Member Technology Assisting Disability WA Inc.
4.15pm –5.00pm
KEYNOTE 4
World café: Internal audit efficiency – Making value go further
More than just shooting the breeze, this lively, more informal session will gather together ideas and encourage lateral
thinking on the key challenge of providing efficient and real value-add internal audit deliverables.
Four key topic areas will be tackled in a roundtable format. Each topic discussion will be lead by a subject matter expert on
these issues:
• Stakeholder expectations - Understanding the power of building good relationships
• Auditing planning, 3 years, 1 year or quarterly - What should it look like?
• Utilising technology to enable audit efficiencies
• Showing value through effective internal audit reporting
This is an interactive session designed to engender and exchange ideas on better practices as well as raise questions and
awareness on how the internal audit profession can continue to add more value to their organisations. So come prepared
to be involved!
5.00pm – 5.10pm
CLOSING REMARKS
5.10pm – 6.00pm
NETWORKING DRINKS
4 Western Australia Internal Audit Conference
Day 2 – Friday, 18 September 2015
8.15am – 8.30am
REGISTRATION AND ARRIVAL REFRESHMENTS
8.30am – 12.30pm
MASTERCLASS 1 – ASSURANCE MAPPING - IDENTIFYING ASSURANCE GAPS AND COVERING
YOUR BASES
Assurance mapping can be a powerful tool to enables visualisation over all
assurance activities within an organisation, both internal and external, as
they apply to the organisation’s risks. Once complete risks with inadequate
assurance coverage and/or areas with duplicated coverage can be identified.
This masterclass will take you through the assurance mapping process which
can be practically applied in all organisations no matter how big or small.
Key learning outcomes
• How to link enterprise risk management with the assurance map
• How to build a framework to manage and assess the quality of
assurance coming from assurance providers within your organisation
• Understanding the boundaries and responsibilities of the various
assurance functions
• Discover the building blocks of constructing an effective assurance map
Key areas to be covered
• Identifying the essential enterprise risk management elements needed
for assurance mapping
• Identifying which assurance providers can be included, and knowing why
• Using the assurance map as an internal audit planning tool
• Knowing how to assess the extent of the assurance coverage for each
process and sub-process
• Identifying various alternatives to consider when assessing potential gaps
and / or duplicate coverage areas
• Strategies for building a practical assurance mapping action plan for CAEs
Presenter: Zach Le Roux PMIIA CIA CCSA, CEO & Consultant, RiskAssure.com.au
Zach le Roux is the founding member of Audit and Governance Services CC in South Africa and has recently established RiskAssure.com.au in Australia.
Zach’s experience in auditing and consulting spans more than 30 years. During this time he facilitated, implemented and managed the change-over of
inspectorate departments into modern internal audit departments, lectured and consulted on corporate governance, management and audit issues,
researched and implemented risk-based audit methodologies and promoted the philosophies of internal audit, control self-assessment and strategic business
management. He currently consults and trains internationally in the internal audit, risk management and corporate governance fields to clients in the public
and private sector.
During is his career he worked for seventeen years as CEO of Audit and Governance Services CC. He has also held a number of other roles including, two
years in Deloitte as Corporate Governance and Internal Audit expert ; one year as World Bank consultant in the Bank of Ghana; four years in Internal Audit
of the South African Reserve Bank ; one year as CFO of the SA Mint; and two years lecturing at University of Stellenbosch. Zach has also served on a number
of Audit Committees.
12.30pm – 1.00pm
LUNCH FOR THOSE ATTENDING BOTH MASTERCLASSES
1.00pm – 5.00pm
MASTERCLASS 2 – AUDITING THIRD PARTY SERVICE PROVIDERS
Many organisations are reliant on external service providers for the delivery
of activities such as IT, HR, Payroll and other supplier arrangements through
outsourcing initiatives. However, the negotiation of these outsourcing
contracts, monitoring of quality, performance and risk management can
prove to be challenging. This Masterclass brings together the most common
issues to address in auditing contracts, risks and core controls when using
third party services providers.
Key learning outcomes
• Learn how to interpret contracts and identify underlying business drivers
• Enact a proven effective method for auditing and reviewing contracts
• Identify legal pressure points and means for redress
• Understand client, data and monitoring issues inherent in the process
• Learn how to identify and mange the associated risks
• How to embed performance measures and audit access rights in your
contract agreements
• A detailed test program will be provided to attendees
Key areas to be covered
• Assess the processes resulting in the awarding of a contract
• A clearly defined business case and desired outcomes
• The audit mandate
• Desired characteristics of KPIs that are feasible and consistent
• Desired characteristics of a legal contract
• Risk management
• Service level agreements
• Identifying what post “contract awarding” processes should be in place
• The importance of proper relationship management
• Contract expectations, including limits, add-ons and exit
• Data collection, access, ownership and use
• Fixed Asset ownership and responsibility
• Timeliness and quality of contracted services
• Payments to contractors
• Customer satisfaction and complaints management
• Contract reviews and evaluation
• Qualification, accreditation and expertise of contractors
• Contractor compliance with legislation, regulation and industry standards
• Business continuity and Disaster recovery
• Contractor’s insurance cover
Presenter: Andrew Burchfield FIIA CIA, Principal, Andrew Burchfield Consulting
Andrew had 23 years’ experience as an executive manager of internal audit and risk management areas where he made significant contributions to identifying
business solutions for his employers. His wide-ranging business career covers the chartered accountancy, commercial and all government sectors.
Andrew is now an independent consultant and trainer specialising in internal audit, risk management and corporate governance. Andrew is a professional
trainer with 23 years’ experience in both South East Asia and Australia. He has also lectured and tutored in the University sector and made conference
presentations in South East Asia and Australia. His comprehensive knowledge and practical insights allow him to effectively convey information to attendees
at his Professional Development courses.
Andrew is a Fellow of the Institute of Internal Auditors (IIA) and of the Society of Certified Practising Accountants (CPA) and a member of the Risk Management
Institution of Australasia (RMIA). He is a former Councillor of both the IIA and the RMIA and a past member of their Australian Committees on Professional
Standards and Professional Development.
Western Australia Internal Audit Conference 5
How to register
Online Registration
Register online at www.iia.org.au and follow
the prompts. Each delegate must complete a
separate online registration form. Please note
this is a secure website.
Western Australia Internal Audit Conference 2015 Conference Fees
Early Bird
Early Bird Member & ACFE
$725
Early Bird Non-Member
$875
Early Bird Group Member & ACFE * (per delegate)
$675
Early Bird Group Non-Member & LGIAN * (per delegate)
$735
Standard
Registration forms
Alternatively registration forms can be
returned by fax +61 2 9264 9240, email:
conferences@iia.org.au, or mailed to:
PO Box A2311,
Sydney South, NSW 1235, Australia.
IIA-Australia members must be financial at
the time of registration to be eligible for the
member rate.
register before 31/08/2015
register after 31/08/2015
Standard Member & ACFE
$875
Standard Non-Member
$1025
Standard Group Member & ACFE * (per delegate)
$775
Standard Group Non-Member & LGIAN * (per delegate)
$885
Masterclasses
Conference
Attendee Rate
Masterclass
Only Rate
Please complete and return the registration
form along with full payment. Each delegate
must complete a separate registration form.
Attend one Masterclass - Member & ACFE
$300
$350
Attend one Masterclass - Non-Member
$400
$450
Conference fees
Attend both Masterclasses - Member & ACFE
$500
$600
Attend both Masterclasses - Non-Member
$600
$800
All fees are quoted in Australian Dollars and
are inclusive of the 10% compulsory goods
and services tax (GST).
* Three or more delegates from the same organisation booking and paying at the same time. Relevant member / non-member
rate apply with a group booking. Each delegate must complete a separate registration form.
Schedule and General Changes
IIA-Australia endeavours to ensure that accurate information is contained in this brochure at time of printing,
however program content, speakers and information within this brochure are subject to change without notice.
At times it might be necessary to cancel or reschedule a conference after receipt of the confirmation letter.
IIA-Australia will provide advance notice of such changes, and in doing so will not be responsible for penalties
related to the cancelling or rescheduling of airfares, lodging, etc.
Liability/Disclaimer
To the extent permitted by law, IIA-Australia is not responsible for the actions, advice or representations
of delegates and speakers of the Western Australia Internal Audit Conference. In completing the registration
form, the delegate indemnifies IIA-Australia for any direct, indirect or consequential loss or damage in
connection with any personal accidents, losses or damage to the personal property of delegates and any
later substitutes. It is strongly recommended that delegates take out adequate medical, travel and personal
insurance prior to commencement of the conference and travel.
6 Western Australia Internal Audit Conference
Western Australia Internal Audit Conference 2015
Registration form and tax invoice
17 - 18 September 2015, Duxton Hotel, Perth
1. PROVIDE PERSONAL DETAILS – Please use block letters
Title
Prof
Dr
Mr
Mrs
Ms
Miss
Other
Family name
Conference
Masterclass
Attendee
Only Rate
Rate
Masterclasses
Given name
Attend one Masterclass - Member & ACFE
Postnominal
CIA®
CRMA™
CCSA™
GradCertIA
CGAP™
QIAL™
CFSA™ Other
$300
$350
Attend one Masterclass - Non-Member
$400
$450
Attend both Masterclasses - Member & ACFE
$500
$600
Position
Attend both Masterclasses - Non-Member
$600
$800
Organisation
TOTAL REGISTRATION FEES $
Address for correspondence
Promotional Code #
Promotional code / voucher number
City/State
Country
Telephone (
)
Facsimile (
)
Postcode
# Only one promotional code / voucher number can be used at any one time.
3. INDICATE CONCURRENT SESSION PREFERENCES
Mobile
DAY 1 – Thursday 17 September 2015
Email
Concurrent Sessions
Name as you wish it to appear on name badge
Please indicate your membership number
IIA Member 2. CONFIRM REGISTRATION TYPE AND FEES
Early Bird
register before
31/08/2015
Early Bird Member & ACFE
$725
Early Bird Non-Member
$875
Early Bird Group Member & ACFE* (per delegate)
$675
Early Bird Group Non-Member & LGIAN*
(per delegate)
$735
Standard
Standard Member & ACFE
Standard Non-Member
Discount applied $
register after
31/08/2015
$875
$1025
Standard Group Member & ACFE* (per delegate)
$775
Standard Group Non-Member & LGIAN*
(per delegate)
$885
11.00am – 11.45am
A Internal Audits role in business
1
transformation/change
B Bribery and corruption – Where
1
are we at locally and globally?
11.45am – 12.30pm
A Going lean - Undertaking process
2
and efficiency reviews
2B Managing cyber security risks
1.30am – 2.15pm
A Smart audit sourcing using subject
3
matter experts (SMEs)
Making Continuous Monitoring
3B
work
2.15pm – 3.00pm
A Risk management frameworks –
4
Relationships between the 3 lines
of defence
B Interview and questioning
4
techniques for the internal auditor
4. REGISTER FOR MASTERCLASSES
Day 2 – Friday 18 September 2015
8.30am – 12.30pm
MC1 Assurance mapping – Identifying
assurance gaps and covering your bases
1.00pm – 5.00pm
MC2 Auditing third party service
providers
* Three or more delegates from the same organisation booking and paying at the same time.
Relevant member / non-member rate apply with a group booking. Each delegate must
complete a separate registration form.
NOTE: All fees are quoted in Australian dollars (AUD) inclusive of GST.
This document will be a tax invoice/receipt for GST when you make payment
ABN 80 001 797 557
www.iia.org.au
www.iia.org.au
5. SPECIAL REQUIREMENTS
7. RETURNING FORM
Dietary requirements
Please return form and payment to
Please specify if you have any meal requirements. Please note that
some special meals will incur an additional change. You will be
notified if this is the case for the food type you have indicated.
Special assistance
Please indicate if you have a disability or require assistance to
participate fully. Please list the type of assistance you require.
Western Australia Internal Audit Conference 2015
Institute of Internal Auditors – Australia
PO Box A2311
Sydney South NSW 1235 Australia
Fax +61 2 9264 9240
conferences@iia.org.au
Each delegate must complete a separate registration form
General enquiries
conferences@iia.org.au
Tel +61 2 9267 9155
Tel Toll free (within Australia) 1800 236 366
www.iia.org.au
6. PAYMENT DETAILS
Method of payment
Level 7, 133 Castlereagh Street
Sydney NSW 2000 Australia
I wish to pay by credit card*
*3% surcharge for Amex/Diners 1.5% surcharge for Visa/MasterCard
Please complete the following:
Visa
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Amex
Diners
Total amount in AUD $ Credit Card Number Expiry Date Name of Card Holder Signature I will transfer the above sum to the Western Australia Internal
Audit Conference 2015 bank account (details below)
Account Name: The Institute of Internal Auditors – Australia
Bank: Westpac Banking Corporation
Address: 84 King Street, Sydney NSW 2000
Branch (BSB): 032003
Account Number: 478233
Swift code: WPACAU2S
When sending payment by telegraphic transfer from overseas,
please add AUD$20.00 for bank fees. The delegate is responsible
for all fees associated with the transaction. To enable us to identify
your payment, please ensure that your name and Western
Australia Internal Audit Conference 2015 appear on the
transfer.
Please email a record to accounts@iia.org.au.
I have enclosed an Australian cheque (cheques should be made
payable to The Institute of Internal Auditors Australia)
Cancellation Policy
Cancellations must be notified in writing to IIA-Australia. Cancellations received 30 days prior to the conference will receive a full refund. Cancellations received from 30 days to 15 days prior to
the conference will receive a refund less AUD $200.00 administration fee, cancellations received within 14 days of the conference will forfeit the registration fee paid. A substitute delegate will be
accepted at no extra charge, subject to membership status, if advised in writing. Transfer of monies to any other IIA product or service is not permitted.
Privacy Statement
I, or a later substitute hereby consent to my/their name, position and organisation being included in the Conference Delegate list and contact details forwarded by IIA-Australia to related third parties
including sponsors and exhibitors. I understand that if I do not provide consent my name will not be published in the list of participants that is distributed to each conference delegate upon registration.
I acknowledge that details will be used to confirm my membership status at IIA-Australia. If you do not indicate your preference it will be assumed that we may use your details as described.
Consent
Do not consent
IIA-Australia will handle any personal information collected on this form in accordance with its Privacy Policy.
Liability/Disclaimer
On completing this registration form, I accept that to the extent permitted by law IIA-Australia is not responsible for the actions, advice or representations of delegates and speakers of Western
Australia Internal Audit Conference 2015. In completing the registration form I indemnify the IIA-Australia for any direct, indirect or consequential loss or damage in connections with any
personal accidents, losses or damage to personal property of myself and any later substitutes.
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