Great West Retirement Services Dallas Texas - DOC

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                    November 3 – 5, 2003

   Earn up to 17.5 CPE Credits   Register Now      See Details Inside

                          The St. Anthony Hotel
                          300 East Travis Street
                        San Antonio, Texas 78205
                             (210) 227-4392
                                                                                           Lunch                    12:00 – 1:15 pm

      About Your Sponsor                                         Agenda                    Discussion on Best        1:15 – 2:45 pm
                                                                                            Practices for Audit
                                                                                            Division Charters

                                                                                           Break                    2:45 – 3:00 pm
                      The APPFA
                                              SUNDAY – NOVEMBER 2
                      Professional            Reception               6:00 – 8:30 pm       Operational Reviews:   3:00 – 4:30 pm
                      Development                                                           Commercial Real Estate
                      Conference is
                      designed to further
                      enhance participants’   MONDAY –         NOVEMBER     3              BBQ Dinner at the              6:00 pm
auditing skills and provide a forum for the                                                 County Line on the River Walk
                                              Continental Breakfast 7:30 – 8:30 am
exchange of ideas and concepts. At the
conference, the participants will attain an
overview of the topic areas. Attendees        Introduction &           8:30 – 8:45 am
should have a basic knowledge of               Logistics                                   WEDNESDAY –        NOVEMBER       5
accounting and auditing procedures,                                                        Continental Breakfast 7:30 – 8:30 am
practices and theory. There is no             Welcome and Opening 8:45 – 9:45 am
experience requirement and no advance          Comments                                    Business Continuity     8:30 – 10:00 am
preparation is needed. Participants
                                              Sheila W. Beckett, Executive Director,
attending this seminar will receive an
                                              ERS of Texas, and Ronnie Jung, Interim       Break                   10:00 – 10:15 am
attendance certificate following the
completion of this program. Auditing and      Executive Director, TRS of Texas
accounting professionals may qualify for                                                   New Standards, New       10:15 – 11:35 am
17.5 hours of Continuing Professional         Roll Call of the         9:45 – 10:30 am      Challenges
Education (CPE) by attending this              States
conference, which is designed to comply
with the AICPA’s Statement on CPE
Standards.                                    Break                   10:30 – 10:45 am
                                                                                              Session Descriptions and
                                              Roll Call of the        10:45 – 12:00 pm
                          APPFA is                                                                   Presenters
                                               States (continued)
                          registered with
                          the National
                          Association of      Lunch                    12:00 – 1:15 pm
                          State Boards of                                                  Welcome and Opening
                          Accountancy         Lies, Cons and              1:15 – 3:15 pm   Comments
                          (NASBA), as a        the Truth
                          sponsor of
                          continuing                                                       Sheila W. Beckett, Executive
                                              Break                       3:15 – 3:30 pm   Director of ERS of Texas and
professional education on the National
Registry of CPE Sponsors. State boards of                                                  Ronnie Jung, Interim Executive
accountancy have final authority on the       Alternative Assets          3:30 – 5:00 pm   Director of TRS of Texas
acceptance of individual courses for CPE
credit. Complaints regarding registered       APPFA Business Meeting             5:15 pm   Sheila Beckett has served as Executive
sponsors may be addressed to the
                                                                                           Director of the Employees Retirement
National Registry of CPE Sponsors, 150
                                                                                           system of Texas (ERS) since 1996 when
Fourth Avenue North, Suite 700, Nashville,
                                                                                           she was appointed to the position by the
TN 37219-2417, (615) 880-4200, Web            TUESDAY –        NOVEMBER      4             ERS Board of Trustees. Under her
                                              Continental Breakfast     7:30 – 8:30 am     leadership, ERS administers programs that
                                                                                           provide retirement, health insurance,
                                                                                           deferred compensation, and flexible
                                              System Implementation 8:30 – 10:00 am
                                                                                           benefits for more than 200,000 current
                                               Projects…and the Role                       state employees and retirees. As
                                               of the Auditor                              Executive Director of ERS, Sheila was
                                                                                           named Agency Administrator of the Year
                                              Break                   10:00 – 10:15 am     in 1998 by the Texas Public Employees
                                                                                           Association, Professional Administrator of
                                                                                           the Year by the Central Texas Chapter of
                                              Panel Discussion:      10:15 – 12:00 pm
                                                                                           the American Society for Public
                                               Current Issues in Public                    Administration in 2001, and she received
                                               Pension Fund Auditing                       the prestigious National Public Service
                                                                                           Award for the American Society for Public
Administration and the National Academy
of Public Administration in 2003, for her                                                    Alternative Assets
commitment to ensuring ERS
accomplishes its mission of enhancing the                                                    More institutional investors are
lives of its customers through the efficient                                                 considering alternative assets to diversify
delivery of high quality benefits at the                                                     their portfolios and diminish volatility of
lowest practical cost.                                                                       returns. This presentation will include a
                                                                                             discussion of private equity and hedge
Sheila holds a Masters of Public Affairs                                                     fund investments and staff’s fiduciary role
degree from the University of Texas at                                                       in evaluating and monitoring general
Austin, Lyndon B. Johnson School of                                                          partners and working with consultants,
Public Affairs, and a Bachelor of Arts in                                                    trustees and other limited partners.
Political Science from Texas A&M
                                                                                             Presenter: Keith Garrison
Ronnie Jung is currently the Interim
Executive Director for the Teacher                                                           Keith is currently the Director of
Retirement System of Texas (TRS) which                                                       Alternative Assets for the Teacher
serves over one million public and higher      Lies, Cons and the Truth                      Retirement System of Texas (TRS) and
education employees and retirees. He                                                         has been employed by TRS since 1989.
was appointed as Deputy Director for TRS                                                     Prior to this, Keith was a commercial
in August 2001. Prior to that                  What profession can detect lying better       lending officer with two different banks in
appointment, Ronnie served as Chief            than any other…and why? What is the           the Austin area. Keith received his
Financial Officer for TRS for five years.      profile of the person who is the easiest to   undergraduate degree in Finance in 1980
He previously worked for twenty years at       deceive? How do you not become that           from the University of Texas-Austin and
the Texas State Auditor’s Office and two       person? What is the profile of the most       obtained the Certified Property
years at the Texas Legislative Budget          dangerous deceiver and can they be            Management (CPM) designation from the
Board. He earned a B.A. in Accounting          neutralized? In this presentation, Dan        Institute of Real Estate Management in
from the University of Texas at Austin in      Korem, one of the IIA’s most popular          1998.
1974 and a Masters of Public Affairs from      speakers, details this vital information as
the LBJ School of Public Affairs, UT Austin    well as little-known techniques to detect
in 1991. He is a Certified Public              lying. Resisting and not falling prey to
Accountant and a member of the                 deception has never been more important       System Implementation
American Institute of CPAs and the Texas       for auditors – the ethical standard bearers   Projects…and the Role of
Society of CPAs.                               of the global business community.
                                                                                             the Auditor
Ronnie previously served as a member of        Presenter: Dan Korem
the Governmental Accounting Standards                                                        Mr. Wechsler will describe the role of
Board’s task force for higher education                                                      auditors in large public employee pension
                                               Dan is a critically acclaimed author,
financial reporting which lead to the                                                        system implementation projects. He will
                                               documentary producer, and independent
development of GASB #35. He was                                                              review historical involvement and offer
                                               investigative journalist whose programs
recognized as “2002 Administrator of the                                                     several potential roles with increasing
                                               have been seen by over 150 million
Year” by the Texas State Agency Business                                                     participation and value to the process. In
                                               people worldwide. A much sought-after
Administrators’ Association.                                                                 addition, he will provide perspectives on
                                               speaker for corporate, law enforcement
                                               and education groups in North America         what traditionally goes wrong in such
                                               and Europe, he is the president of two        projects and how to avoid it happening at
Roll Call of the States                        Dallas-based communications companies.        each of our systems.
                                               Korem & Associates (K&A) is one of the
In this session, a representative from each
                                               world’s leaders when it comes to training     Presenter: Leon Wechsler
                                               professionals in on-the-spot behavioral
participating organization will speak to the
                                               profiling. His most recent books are          Leon is the President of L.R. Wechsler,
group about current audit areas, ongoing
                                               Suburban Gangs – The Affluent Rebels          Ltd. (LRWL) – a mid-sized consulting firm.
projects and recent legislation affecting
                                               (1995), The Art of Profiling – Reading        Since 1994, he has focused on providing
their pension fund. They will discuss how
                                               People Right the First Time (1997),           support to LRWL’s 23 public employee and
they accomplished the results and how
                                               Streetwise Parents, Foolproof Kids, 2d ed.    teacher retirement system clients –
they overcame hurdles. This session
                                               (early 2004), and Rage of the Random          including over a dozen new system
facilitates networking and is extremely
                                               Actor (fall 2003).                            implementation projects – from inception;
beneficial in locating peers that are
working on similar projects and facing                                                       through needs analysis, RFP preparation
similar challenges.                                                                          and procurement and contract
                                                                                             negotiation; to overall project
Moderator: Marci Sundbeck
Leon received a B.S. degree from Purdue       Greg is the Internal Auditor at the
University and a M.S. degree from             Missouri State Employees’ Retirement           Discussion on Best Practices
Worcester Polytechnic Institute. He has       System (MOSERS). He has held this              for Audit Division Charters
been an invited speaker at PRISM, SCTR        position since February 1, 2001. Prior to
and HLSUA.                                    joining MOSERS, Greg was the Manager of
                                              Financial Management and Policy for the        Persons attending this session will attain
                                              Missouri Department of Health, a Program       an appreciation of the components of an
                                              Evaluator for the Missouri General             audit division charter through discussion
Panel Discussion: Current                     Assembly for two years, and worked nine        of a DRAFT Example Audit Division
Issues in Public Pension Fund                 years at the Missouri State Auditor’s Office   Charter. The discussion will cover the
                                              where his last position was Senior Auditor.    purpose, responsibility, authority, roles,
Auditing                                      He has an undergraduate degree in              standards, accountability and relationships
                                              business administration from Central           of the audit division. The following topics
                                              Missouri State University. He is a CIA,        will be discussed: auditing and consulting
A distinguished panel of APPFA Chief Audit
                                              CPA, CIDA and CGFM. He is a member of          roles; independence; relationship to the
Executives will discuss current issues and
                                              the Institute of Internal Auditors, the        Board and to Management; standards;
challenges in their respective pension
                                              Association of Government Accountants,         access to records and personnel;
funds. This interactive session will
                                              and the Missouri Society of CPA’s. He is       relationships to the external financial
provide answers and solutions to help
                                              currently the treasurer of the Mid-Missouri    statement auditor and other external
APPFA members more effectively handle
                                              chapter of the IIA.                            auditors; relationship to risk management
their ever-increasing responsibilities.
                                                                                             and internal control programs;
                                              Janet is currently the Internal Auditor for    relationship to compliance with pertinent
Panel Members: David MacCabe,                 The Public School and Non-Teacher              laws, regulations and Board policies;
John Spielman, Greg Beck, Janet               School Employee Retirement Systems of          relationship to audits performed by
Harris and Caroline Drum Bradley              Missouri. Prior to this Janet has 22 years     outside government agencies; and hiring
                                              of public accounting experience, which         of outside consultants/experts. The effect
                                              included auditing financial statements for     of the Sarbanes Oxley Act of 2002 on
David is the Director of Internal Audit for
                                              public entities. Janet received her            audit division best practices will be
the Teacher Retirement System of Texas.
                                              undergraduate degrees in Accounting and        discussed. The DRAFT Example Audit
He has worked in management and audit
                                              Business Administration in 1985 and her        Division Charter will be discussed with
positions in state and federal government
                                              CPA certificate in 1988.                       respect to the passages that are parallel to
for over 30 years. He has a BBA form the
                                                                                             and are complimentary to the APPFA-
University of Texas at Austin and a
                                              Caroline is currently the Internal Auditor     endorsed Example Audit Committee
master’s degree in public administration
                                              for the Indiana Public Employees’              Charter.
from Southwest Texas University. Dave
was the founding chair of the Texas State     Retirement Fund (PERF). Prior to coming
Agency Internal Audit Forum and has           to PERF, Caroline worked for American          Presenters: Bob Benson and
been active in the Institute of Internal      United Life and Bank One as an internal        Jeanette Eckert, Co-Chairs of the
Auditors since 1978. He currently serves      auditor. She received a degree in              APPFA Best Practices Committee
on the IIA International Educational          Business Administration from the
Products Committee, the CIA Advocates         University of Iowa. She is a Certified
                                              Internal Auditor (CIA), has her Fellow of      Bob has been an internal auditor at
Council, and is a Quality Auditing Services
                                              Life Management Institute and has also         CalPERS for over ten years. During that
volunteer. Dave is a CIA, CGAP and CFE.
                                              passed the Series 7 exam.                      time, Bob has participated in audits of the
                                                                                             benefits programs, investment operations,
John joined Colorado PERS in 1991, as a
                                                                                             real estate investment unit, and the
Systems Auditor, and was appointed
                                                                                             accounting systems. Bob has also
Internal Audit Director in 2001. John
                                                                                             participated in many special projects,
previously worked in systems audit and
                                                                                             including the new investment accounting
software quality assurance related
                                                                                             system, the new financial accounting
positions with Lockheed Martin
                                                                                             system, the new headquarters building,
Corporation and Computer Data Systems,
                                                                                             major revision of the financial statements
Inc. He was also a Business Systems
                                                                                             and responses to GASB and SEC exposure
Analyst with Great West Life Assurance
                                                                                             drafts. Bob is the contract manager for
Company and helped regionalize the
                                                                                             the annual financial audit and for the
information systems for their United
                                                                                             audits of real estate advisors and
States headquarters established in
                                                                                             properties. Bob is a CIA, CISA, CPA, CMA
Denver. John received his undergraduate
                                                                                             and CGFM.
degree from the University of Connecticut
and his Master degree in Business and
                                                                                             Bob has a varied background, which
Computer Resource Management from
                                                                                             includes a B.A. in botany-biology from
Webster University in 1993. He is a
                                                                                             Pomona College and a Ph.D. in
member of the Information Systems Audit
                                                                                             entomology and biochemistry from the
and Control Association. He is a CISA and
                                                                                             University of Illinois. Bob taught
currently serves on APPFA’s Board of
                                                                                             entomology at Washington State
                                                                                             University for six years, and he taught
                                                                                             biochemistry at the University of California
                                                                                                       business impact analysis, disaster
at Davis for four years. Following this,       Presenter: Tom Britting, CIA,                           recovery plan, incident manage-
Bob retooled into accounting and taught        CISA, CGFM, CFE                                         ment team plan and business
accountancy at California State University                                                             continuity/resumption plans.
at Sacramento for eleven years. Bob                                                                   The working relationship
                                               Tom is a Consultant with the firm of
taught classes in financial, intermediate                                                              between internal audit and
                                               Conrad and Associates, LLP. Tom
and advanced accounting; managerial and                                                                business continuity planning.
                                               currently oversees client relations for the
cost accounting; auditing; and CPA Exam                                                       In addressing these topics, examples will
                                               firm’s public pension fund clients. Prior to
review. Bob also coached the varsity                                                          be cited as well as proven methods for
                                               this position, Tom served for more than
punters and place-kickers at Cal State                                                        avoiding some of the pitfalls.
                                               10 years as the Chief Auditor of the
                                               California Public Employees’ Pension Fund
                                               and has 20 years of audit experience with      Presenter: Rick Torres, CBCP,
Jeanette is the Audit Manager of the
Louisiana State Employees’ Retirement
                                               California’s Office of the Auditor General     CRP
                                               and the U.S. General Accounting Office.
System (LASERS) in Baton Rouge,
                                               Tom holds an undergraduate degree in           Rick has twenty-six years of combined
Louisiana. She started this audit division
                                               Accounting and a graduate degree in            mainframe data processing and business
in 1994. In this capacity, she is
                                               Public Administration.                         continuity experience. Since joining the
responsible for directing all internal
control reviews and special projects in the                                                   Teacher Retirement System of Texas
financial, compliance, operational and                                                        (TRS) as Risk Manager, he is now
information systems areas for LASERS.                                                         responsible for ergonomics, property
Jeanette is the coordinator of LASERS’                                                        management, safety, a portion of worker’s
external audit. Prior to joining LASERS in                                                    compensation, interaction with State
May 1994, Jeanette was a state financial                                                      Office of Risk Management, wellness
institution auditor for 5 years, a state                                                      program and business continuity. In the
budget analyst for 8 years and an                                                             area of business continuity, Rick has
accountant for the state prison system for                                                    developed, designed, coordinated and
3 years.                                                                                      completed the TRS Business Impact
                                                                                              Analysis. He coordinates with the TRS
Jeanette has an undergraduate degree in                                                       Information Technology Section and
Business Education from the University of                                                     business units to develop, implement,
Southwestern Louisiana in 1972 and an                                                         exercise and maintain business continuity
MBA from Louisiana State University and a                                                     plans. He is directly involved in
Masters in Information Systems Decision                                                       administering the hot site contract with
Science. She is a CIA and a CPA. She has                                                      Northrop Grumman.
served as a local chapter officer of the IIA
for 3 years including one year as the                                                         Prior to joining TRS, Rick served as
chapter’s president. She is currently a
                                               Business Continuity                            Business Continuity Manager for the Texas
member of the IIA’s Educational Products                                                      Department of Transportation and Texas
Committee. Jeanette is an APPFA                Persons attending this session will develop    Guaranteed Student Loan Corporation
member and is Co-Chair of the Best             an understanding of business continuity        where he was directly responsible for
Practices Committee. She conducts peer         planning. The discussion will address the      ensuring the Information Technology
reviews and has conducted peer reviews         evolution of business continuity planning,     plans were developed, maintained and
for the Texas Teachers Retirement              why management should be interested in         exercised. He was also a Senior
System, State Universities Retirement          a successful business continuity program,      Consultant with InfoCom Solutions
System of Illinois, and the Missouri State     where it belongs in an organization,           working with customers in the areas of
Employees’ Retirement System. She has          elements of a business continuity              insurance, manufacturing and financial
taught part-time at two vocation technical     program, working with management to            investments. In this capacity, he
colleges and at a business college. She        develop awareness and support and              participated in performing business impact
has been an adjunct professor at Baton         internal audit’s role in business continuity   analysis as well as developing,
Rouge Community College for the past           planning. The following topics will be         implementing and exercising business
year and a half teaching Access and Excel.     discussed:                                     continuity plans with emphasis on
                                                                                              preparing for Y2K.
                                                       Historical progression of disaster
                                                        recovery to business continuity       Rick holds a Bachelor of Business
                                                        program.                              Administration degree, summa cum laude,
Operational Reviews:                                   Management’s interest and             from Saint Edward’s University. He is a
Commercial Real Estate                                  responsibility in an effective        certified Business Continuity Planner
                                                        business continuity program.          (CBCP) through Disaster Recovery
                                                       Suggestions on where the              Institute and a Certified Recovery Planner
This session will cover operational reviews                                                   (CRP) through Harris Recovery Institute.
                                                        business continuity planning
of commercial real estate that is held in                                                     Rick is a member of the Capital of Texas
                                                        function best fits in an
public pension fund investment portfolios.                                                    Association of Contingency Planners.
The presentation will cover risk
                                                       A number of elements of a
assessment, audit approach strategies and
                                                        business continuity program to
effective reporting.
                                                        include but not limited to
New Standards, New
Challenges                                            Hotel Information                  Registration Information

This session will include an update on        The St. Anthony Hotel is offering         The registration fee of $200.00 must be
recent developments at the IIA in internal    conference rates as follows:              received by October 3, 2003 to reserve
auditing practice. The speaker will           Single (1 person, 1 or 2 beds) $91.00     your place at the conference. See
highlight changes in the Professional         Double (2 people, 2 beds)       $111.00   registration form for details.
Practices Framework and IIA professional
certification programs and also discuss the   The above rates will be honored           The registration fee includes all materials,
ever-changing role of internal auditors due   three days pre and post conference        continental breakfasts, lunches, breaks
to Sarbanes-Oxley and other                   based on availability. These rooms are    and dinner on Tuesday. Refunds are
requirements.                                 subject to state and local taxes of       available if written cancellation notice is
                                              16.75%.                                   received 10 days before the conference.
Presenter: Urton Anderson,                                                              Refunds will not be issued after that date.
                                              The cut off date for reservations is      For more information regarding
                                              Thursday, October 2, 2003.                administrative policies such as complaint
                                                                                        and refund, please view our website at
Urton is Clark W. Thompson, Jr. Professor                                      Business casual attire is
in Accounting Education at the University                                               appropriate.
of Texas at Austin (UT) and the Associate
Dean for Undergraduate Programs. He
joined the Department of Accounting at
UT in 1984, teaching auditing and
managerial accounting. Urton received
his Ph.D. from the University of Minnesota
in 1985. Urton’s research has addressed
various issues in internal and external
auditing. He has written two books,
Quality Assurance for Internal Auditing
and Implementing the Professional
Practices Framework (with Christy
Chapman), as well as papers published in
a variety of scholarly and professional
journals. Urton is a Certified Internal
Auditor and from 1994 to 1999 served on
the Board of Regents for the Institute of
Internal Auditors. In 1999, he was
appointed a member of the Internal
Auditing Standards Board and is currently
its chair. He served on the CCSA Steering
Committee, which developed the
professional examination for Control Self-
Assessment, and the CGAP Steering
Committee for the new professional
examination in governmental auditing. In
1997, he was named the Leon R. Radde
Educator of the Year by the IIA.

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