Internal Audit Forum. Local Government. Better governance - Better communities

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1 Better governance - Better communities Local Government Internal Audit Forum Thursday, 9 November 2017 SMC Conference & Function Centre 66 Goulburn Street, Sydney

2 Program overview IIA-Australia is delighted to invite you and your team to attend the 2017 Local Government Internal Audit Forum. This event brings together experienced industry speakers who will offer insights and expert guidance on the key issues shaping the local government sector. It will provide delegates with a sector-based forum to exchange knowledge on the critical issues impacting internal audit, risk and governance professionals, audit committee members, councillors, as well as, council management teams. Focusing on the theme of Better governance Better communities, this year s program will highlight the important role of the internal audit and risk functions within councils in addressing key risk, governance and operational challenges, as the local government sector refocusses on community delivery expectations after transitioning through a significant period of change. Key issues to be covered include, assuring IT security, emergency management preparedness, auditing customer satisfaction, developing assurance strategies, auditing culture, addressing enterprise wide risk management and practical strategies to deliver more value from the internal audit function. Mark Harrison PMIIA CIA CRMA President IIA-Australia The program features a variety of strategic and technical sessions, along with interactive discussion sessions to discuss the vital elements in greater depth. There will be first-hand insights on stakeholder expectations, practical learning on internal audit methodologies, coupled with expert opinions on audit and risk issues. We encourage you and your team to attend the 2017 Local Government Internal Audit Forum to gain knowledge and ideas on how the internal audit and risk function can assist their councils in driving better governance to deliver better community services. Principal Sponsor Major Sponsors SUPPORTER The Partners and Supporters Program supports IIA-Australia s strategy to increase the influence and recognition of the internal audit profession. Our supporter:

3 Thursday, 9 November 2017 Forum Program 8.15am 8.50am 8.50am 9.00am Registration and arrival refreshments Welcome address and opening remarks 9.00am 9.45am Session am 10.30am Session 2 Leadership for better governance and better communities Strong leadership in the local government sector remains as important as the sector transitions through change (amalgamation) and continual budget constraints with increasing community expectations. In this session we will explore: Leadership challenges for the sector to deliver better community services Creating the right organisational culture to foster better performance Integrating risk and business-critical functions to drive internal outcomes The importance of effective governance and what needs to change for councils to be more effective Rik Hart, General Manager, Inner West Council Local government performance expectations of the future This session will provide insights from the NSW Auditor-General s office on the key aspects of local government performance, as well as, perspectives on the key areas of improvement and opportunities for the sector in the future. Key points of discussion will include: Overview of the mandate of the NSW Auditor-General across the local government sector Trends and learnings from the state government sector Key issues in local government financial reporting and performance Perspectives and expectations on the responsibilities of the internal audit and risk functions Addressing challenges and opportunities to improve local government performance in the future and how internal audit can add value to the process Ian Goodwin, Deputy Auditor-General of NSW, Audit Office of New South Wales Rod Longford, Principal Performance Analyst, Audit Office of New South Wales 10.30am 11.00am Morning tea and networking break 11.00am 11.45am Concurrent sessions 3 3A ICAC insights Learnings from operation Ricco The overwhelming scale breadth and duration of the corruption exposed in the ICAC s investigation into the Chief Financial Officer and others at the former Botany Bay City Council was not due to a few rogue individuals alone. This presentation will examine the critical systemic failures that contributed to corruption at the Council and provide guidance on how to prevent similar corruption elsewhere. Key points of discussion will include: Significant and systemic failures in the Council s organisational processes and controls Governance structures and mechanisms The general oversight of the local government sector Adam Shapiro, Senior Corruption Prevention Officer (Training), NSW ICAC 3B Auditing project risk This session will explore the role of internal audit in addressing risks associated with public sector and community projects. Key points to be discussed include: Understanding the importance and impacts of change management risks being driven from projects and their impact on the audit plan Identifying and managing the potential control gaps during projects The importance of control mapping large scale projects when multiple stakeholders are involved Defining assurance responsibilities and the role of internal audit Developing an audit criteria and scope Establishing a reporting process to ensure your bases are covered to effectively communicate potential risks Barry Munns PFIIA, Internal Audit Manager, City of Sydney 11.45am 12.45pm Session 4 12:45pm 1.45pm Effective enterprise risk management Discussion session With the operating environment of local government having been in state of uncertainty for the past two years the risk profile of councils has undergone dynamic change. As such, councils are needing to revisit their risk exposures and adopt new ways to assess new emerging risks. This interactive session will provide a forum to discuss these contemporary risk as a collective group to bounce ideas off each other and our panel of experts. Key talking points will include: What are the key risks that is on the mind of local government stakeholders? Risk documentation vs risk management Defining risk assurance responsibilities Addressing the practicalities of integrating risk management into day-to-day operations Panel members include: Elizabeth Gavey, Audit Committee Member, Georges River Council Julie Walton, Chair Governance Risk and Audit Committee, Shellharbour City Council Bill Warne, Chairman, Statewide Mutual Andrew Methven, Risk & Assurance Manager, Risk Management, City of Sydney Lunch

4 1.45pm 2.30pm Concurrent sessions 5 5A Emergency management health check tool Is your council prepared? With increased severity and frequency of weather events inclusive of flooding, storms, erosion and bushfires, communities, emergency services and state government are looking for assurance that local councils have capacity and capability at the ready to assist in mitigating the impact of events on their communities, assets and service delivery. Key points to be covered in this session include: Recognition of the roles and responsibilities of councils in emergency management Building council collaboration and capacity in preparedness for emergencies - the Emergency Management Health Check Tool, a council self-assessment of preparedness, planning capability, resilience and resourcing Identifying and reporting on high performance, best practice and areas for improved capability Addressing resourcing gaps and building the case for emergency management funding Integration with risk management, emergency management planning, business continuity, integrated planning and reporting and the role of the internal audit process Representative from Sydney Coastal Council Group 5B Auditing culture - Can you do it? This session will explore best practices and current trends related to supporting an ethical culture and achieving compliance. It will outline how to assess and evaluate ethics programs and frameworks in order to help assess the culture of an organisation. Key areas to be explored include: Understand how the Code of Ethics relates to and is significant to internal auditors Developing a framework or checklist to identify and track conflicts of interest Identify best practices for interactions with internal stakeholders ensuring ethical compliance Review sample audit program steps and other audit procedures, practice advisories, and tools to address conflicts of interest Stephen Horne PFIIA CIA CGAP CRMA, Principal, Checks Balances & Integrity 2.30pm 3.15pm Concurrent sessions 6 6A Office of Local Government (OLG) update This session will provide an update on the current work program for the OLG that is shaping the governance and performance requirements for the local government sector. Key points to be covered include: The review of the Model Code of Conduct for Local Councils in NSW and associated procedures Development of a Model Code of Meeting Practice Prescription of new requirements for induction training and ongoing professional development for councillors Progress on the development of the regulatory framework for internal audit for councils John Davies, Manager, Council Governance Policy and Sector Development Group, Office of Local Government 6B Assuring IT Security Keeping cyber safe With cyber risks continuing to emerge from evolving business needs and changing technologies, this session will explore the key issues to consider for an internal audit of cyber security. Understanding the context, key resources, associated challenges and cybersecurity risk profile in a local government setting Determining the key protective measures and security protocols used by Council Management Staying abreast of cyber risk developments while constrained by resources, distance and time pressures Key emerging cyber risks relevant to the local government sector Defining the critical role of internal audit to assist your Council mitigate cyber threats Building better cyber governance and reporting across the organisation to maintain resilience Gerald VanDenHeuvel, Manager Information Services, Broken Hill City Council Mark Sercombe PFIIA CIA, Principal Consultant, Technology Risk 3.15pm 3.45pm Afternoon tea and networking break 3.45pm 4.30pm Concurrent sessions 7 7A Why you need an assurance strategy Using two case study examples, this session will take you through the practical steps of developing an assurance map in a local government context to assist councils manage their risk exposure. The session will explore approaches and challenges to: Defining the 3 Lines of Defence in a local government environment Building a risk-based assurance map to assess the quality of assurance coming from assurance providers within your organisation Discovering the building blocks for constructing an effective assurance map Using the assurance map as an effective risk management tool Why you need an assurance strategy Ian Lyall PFIIA CIA CGAP CCSA CRMA, Internal Auditor, Cessnock City Council Andrew Cox PFIIA CIA CGAP, Chair, Audit Risk and Improvement Committee, Queanbeyan-Palerang Regional Council 7B Auditing customer satisfaction and service delivery Measuring customer satisfaction is a critical area that is strategic to improving organisational performance. This session will explore the importance of; the challenges of; and, outline a framework that you can use to undertake a customer satisfaction audit. Key areas to be covered include: Determining the drivers of a good customer experience Using a customer journey map to identify and plan your audit Using journey maps to help plan an audit by using then to identify customer pain points and likely risk areas to address in your audit Making the link between poor customer experience and risk Developing and applying effective KPIs to measure customer satisfaction and how to use it during your audit to trigger audit conversations and investigations How to frame your audit recommendations to include benefits to both the customer (improved services, satisfaction, less effort) and the organisation (customer engagement, lower cost to serve, less risk) Kimberley Reynolds, Practice Lead Customer and Employee Experience, Centium

5 4.30pm 5.25pm Session 8 The value equation What makes a good internal audit function? Structured in a TED Talk style format this session will feature 3 short presentations from industry practitioners and subject matter experts on what works for them in relation to delivering and effective and value-adding internal audit function. Each presentation will focus on aspect of their audit methodology that makes internal audit get noticed in their organisation. The presentations will be short and sharp and will be followed by a facilitated open forum discussion to share our collective knowledge in repositioning the internal audit value proposition. Key themes to be presented are: Talk 1 - Building the maximum coverage with minimum resources audit plan Determining and focussing on the critical risks Structuring a practical audit approach Methodologies and tools Measuring internal audit success when working with constrained resources Michael Quirk MIIA(Aust), Head of Internal Audit, North Shore Councils Talk 2 - Plugging data analytics into your audit plan Defining where analytics fits into the audit program to identify and manage risks Developing scripts and queries that deliver information not data Keeping it simple and engaging getting organisational buy-in Gavin Steinberg MIIA (Aust), Managing Director, Satori Group Talk 3 - The scenic route to effective stakeholder engagement Governance doesn t appeal to everyone Pushing information onto people has little positive impact Know the problem you are trying to fix Tina Baker PMIIA CIA CRMA CCSA, Chief Internal Auditor, Internal Audit Office, Central Coast Council 5.25pm 5.30pm 5.30pm 6.00pm Closing Remarks Networking drinks Wednesday, 8 November 2017 Optional Pre-Forum Workshop 12.30pm 1.00pm 1.00pm 5.00pm Registration and arrival refreshments Pre-forum workshop Audit committee essentials A toolkit for audit committee effectiveness This workshop will address the peculiar professional development needs of audit committees in the local government sector. It will provide relevant value to audit committee chairs and members as well as those involved in the administration of audit committees, including senior management, secretariats, internal audit, risk and compliance specialists. Key learning objectives: Distinguish relevant legislative and regulatory requirements Understand the role and emerging expectations of contemporary audit committees Appreciate techniques for running effective audit committee meetings Drive the key governance features of audit, risk management and compliance Adopt a three-pillars approach for measuring and reporting the audit committee s contribution Recognise leading practice opportunities to embrace practical tips and tools. The learning experience will be delivered through six interactive topic areas that combine the theory and practice of audit committees with case studies, exercises, and reflective thinking. Legislative and regulatory requirements Role and emerging expectations of contemporary audit committees Techniques for running an effective audit committee meeting Key governance features of audit, risk management and compliance Three-pillars approach for measuring and reporting the audit committee s contribution Practical tips and tools in ensuring good risk, control and governance practices Presenter: Stephen Horne PFIIA CIA CGAP CRMA, Principal, Checks Balances & Integrity In 2015 Stephen established himself as a professional Non- Executive Director and specialist adviser, consultant and trainer in the field of integrity services, compliance and organisation performance improvement. For the previous decade Stephen held executive roles in the NSW public sector, as Chief Executive of the Internal Audit Bureau (a full-competition Government Trading Enterprise with $16 million annual revenue) and Assistant Auditor-General (Performance Audit). Stephen is an active Audit Committee member with a number of local government appointments including, Independent Member of Georges River, Liverpool, Blacktown, Wollongong, Wollondilly Councils, Moonee Valley Council (Victoria) ARICs and Independent Chair Cumberland City Council ARIC. Stephen was also a co-founder of the Corruption Prevention Network and is the immediate past President of the Institute of Internal Auditors-Australia and is currently the Global Chair of the Public Sector Guidance Committee for the IIA.

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