RODNEY SCOTT, CIA, MBA

Rod is currently consulting and teaching in the area of the Sarbanes-Oxley Act.  He developed and leads the IIA seminar "Sarbanes-Oxley Act: Assessing IT Controls".  He has formed his own company and services several clients with their Sarbanes-Oxley internal control assessments for IT general controls and application controls, as well as performing IT audit assignments. 
 
He held various positions in IT and IT Auditing with Caterpillar, Inc. before taking early retirement in 2000.  His most recent assignments were Project Manager for SAP implementation in Northern Ireland (1998-2000), Information Technology Manager for Caterpillar France (1994-1998) and Corporate IT Audit Manager (1990-1994).  

As the first Corporate IT Audit Manager he reported directly to Corporate General Auditor.  He assisted in the planning and direction of the Corporate Audit department through the implementation of a risk based approach using ADM Plus software.  He was solely responsible to plan the activities and direct eight staff auditors specializing in information technology.  He was responsible to identify security and control exposures in software, hardware and administration, in the worldwide, Caterpillar IT environment.  This scope included the central data center and all domestic and foreign subsidiaries, including IBM and DEC mainframes, PC's and the worldwide telecommunications network. He performed audits in more undefined areas such as major new software and where radical changes are occurring in functional responsibilities (i.e. due to facility modernization programs and reorganization into Business Units) and performed information technology audits at key facilities.  He was responsible to determine policy requirements in the security and control of information technology resources.  He defined critical issues (such as encryption and improved authentication) and communicated to all levels of management.

From 1980 to 1990, Rod worked at various levels of responsibility within the Corporate Audit department, starting as the first IT Auditor for the company.  He progressed to Supervisor and then Manager (see above).  At all levels of responsibility Rod performed major IT audits of critical business units and new technology.  He also was relied upon to identify the new developments that posed control concerns for the company and audit those developments in various stages of implementation.

With Caterpillar Inc. he had extensive experience in manufacturing and logistics and as a consultant has had experience with manufacturing, pharmaceutical, entertainment and telecommunications clients.

Rod graduated from the University of Wisconsin-Milwaukee with a BBA in production Management and earned an MBA from the University of Wisconsin-Milwaukee.  He passed the Certified Internal Auditor exam in 1993.