Springfield Chapter (Established in 1978) May 2016 ... · Springfield Chapter (Established in 1978) ... The profession of internal auditing is ... Internal Auditor for Capital Development

Springfield Chapter (Established in 1978)

SPRINGFIELD AUDIT TRAILSPlatinum & First Gold Chapter

President’s Message Tracy Allen, CPA, CISA

I can’t believe it is already the end of the

chapter year! This has been a very unusual

and challenging year for the chapter, and it

is hard to predict what the future may

bring. The profession of internal auditing is

valuable and desperately needed in this

current environment of risks. I very much

appreciate all the support and help I have received

these last 2 years from the other members of the

chapter officer team. I am excited to see that many of

the officers have been elected to serve another year

and we have two new officers joining the

team for next year. Please take the time

to thank the returning officers and get to

know the new officers. Those officers

have some big challenges ahead and a

rich tradition to uphold.

Ever since our Chapter first received its

charter in March 1978, it has built a rich

tradition of service to the profession and

provided quality training. I am proud of

the Chapter and thankful that I was

allowed the privilege of serving you as

President for the past 2 years.

May Is International Internal Audit Awareness Month!

Governor Rauner and Comptroller Munger

proclamations to declare May Internal Audit Awareness

month in Illinois. Earlier this spring I worked with the

other chapter presidents from all Illinois based IIA

chapters to request the designation.

As an internal audit professional, you play an important

role in raising awareness and elevating the profession.

In 2016, The Institute of Internal Auditors celebrates its

75th

anniversary offering you an important opportunity

to promote the profession among your stakeholders.

Continued last

SPRINGFIELD AUDIT TRAILS https://

I can’t believe it is already the end of the

chapter year! This has been a very unusual

and it

bring. The profession of internal auditing is

appreciate all the support and help I have received

2 years from the other members of the

chapter officer team. I am excited to see that many of

the officers have been elected to serve another year

May Is International Internal Audit Awareness Month!

have signed

proclamations to declare May Internal Audit Awareness

month in Illinois. Earlier this spring I worked with the

other chapter presidents from all Illinois based IIA

play an important

role in raising awareness and elevating the profession.

In 2016, The Institute of Internal Auditors celebrates its

offering you an important opportunity

to promote the profession among your stakeholders.

Continued last page �

TRAINING

The Auditor’s Highlight Reel: Next AssignmentH. Jay Wagner, CIA

On May 26, 2016, from 8:30a to 11:30a, we will hold our

final seminar of the chapter year. The topic will be “The Auditor’s Highlight Reel: Preparing For Your Next Assignment.” This seminar will highlight a variety of audit topics, including the Yellow Book, risk, effective listening, and critical thinking skills.

Our presenter will be a veteran of the audit community, Mr. Jim Dahlquist. Jim works in Administration at the Office of the Auditor General, and one of his many responsibilities is coordinating the training needs of the

dozens of auditors employed by his Office. Prior to serving in his administrative role, Jim years in the Division of Performance Audits, and was also a member of the Springfield IIA Board of Governors. Due to Jim’s gracious offer to present to our chapter as a courtesy, woffer this seminar for only $25 for members and $35 for nonmembers. A buffet breakfast will be served starting at 8:00a. We hope you will join us at the Northfield Center as we close out what has been a challenging, yetchapter year. Register at:

http://www.etouches.com/may2016seminar

President Tracy Allen with in-

coming President Jay Wagner. (Photo by Cary Franks)

TRAINING SEMINAR

The Auditor's Highlight Reel

May 26, 2016 @ 8:30 a.m.

3 Hours CPE

Members: $25 Non

Students: $20

Register by May 23, 2016

Northfield Center

Congratulations to Chapter Second Vice President

Leighann Manning on the birth of her daughter

McCartney Lee!

1 | P a g e

May 2016

SPRINGFIELD AUDIT TRAILS https://chapters.theiia.org/springfield

TRAINING

The Auditor’s Highlight Reel: Next Assignment CIA, CFE, CISA

On May 26, 2016, from 8:30a to 11:30a, we will hold our final seminar of the chapter year. The topic

“The Auditor’s Highlight Reel: Preparing For Your Next Assignment.”

This seminar will highlight a variety of audit topics, including the Yellow Book, risk,

, and critical thinking skills.

Our presenter will be a veteran of the audit community, . Jim works in Administration at the

Office of the Auditor General, and one of his many responsibilities is coordinating the training needs of the

dozens of auditors employed by his Office. Prior to serving in his administrative role, Jim spent several years in the Division of Performance Audits, and was also a member of the Springfield IIA Board of Governors.

Due to Jim’s gracious offer to present to our chapter as a courtesy, we are able to offer this seminar for only $25 for

and $35 for nonmembers. A buffet breakfast will be served starting at 8:00a. We hope you will join us at the Northfield Center as we close out what has been a challenging, yet successful,

Register at: http://www.etouches.com/may2016seminar.

TRAINING SEMINAR

The Auditor's Highlight Reel

May 26, 2016 @ 8:30 a.m.

Non-Members: $35

Register by May 23, 2016

2 | P a g e

Springfield Chapter of the Institute of Internal Auditors

2015-2016 PROGRAM SCHEDULE

Date Speaker Program Hours CPE Members Non-

Members

09/15/15 Tuesday

Raven Catlin

Performing Value Adding Audits

8:30 – 4:30 7

$105 $130

Students: $25

10/27/15

to 10/29/15

Various Annual SIAAB Fall Government Auditing Conference

8:30 – 4:30 (last day

until 11:30a)

17 (Gov’t)

$90 $90

11/19/15 � Student

Day

Chris Mower, Crowe Horwath

Risk Assessment and Audit Plan Development

12:30 - 4:30 4 $65 $80

Students: $20

December

2015

N/a No Training Planned

01/21/16 � Department

of Agriculture Auditorium

Jack Rakers

Risks for System Developments Facing the State of Illinois

8:30 - 12:30 4 FREE FREE (based on space)

02/25/16

Danny Goldberg

Optimized Operational Auditing

8:30 – 4:30 7

$105 $130

Students: $25

03/24/16

Dr. Joan Pastor

Psychology Behind Fraud and White Collar Crime

8:30 – 4:30 7

$105 $130

Students: $25

04/26/16 Tuesday

Mike Jacka Auditing Social Media: Is the Company Controlling the Conversation?

12:30 - 4:30 4 $60 $75

Students: $20

05/26/16 Jim

Dahlquist

The Auditor’s Highlight Reel: Preparing for Your Next Assignment

8:30 - 11:30 3 $25 $35

Students: $20

Cancellations should be made at least 24 hours before the meeting to avoid a charge. Meetings will be held at the Northfield Center on Thursdays unless noted differently.

3 | P a g e

May 2011 Coleen Jordan, CIA, CPA, served as Chapter President. • Training. The chapter met at the Northfield

Center for an afternoon seminar on “Risk Assessments and COSO.”

• Presenter. Chris Mower from Crowe Horwath. • New Position. Former Chapter President Jay

Wagner was appointed the new Chief Internal Auditor for the Department of Veterans’ Affairs. Doug Tinch was appointed the Chief Internal Auditor for Capital Development Bd.

• Condolences. Chapter member Dave Williams passed away at age 46. He worked for the State for many years, most recently at HFS. He has two small children.

May 2006 Tina Neely, CIA, CISA, CGAP, served as Chapter President. • Training. The chapter met at the Northfield

Center for a half-day seminar on “Personality Types – Dealing with Them.”

• Presenter. Rick Owens, State Farm. • Recognition. This annual “Chapter

Recognition” thanked: Tina Neely, Brian Bond, Doug Tinch, Jay Wagner, Ray Piiparinen, Steve Kirk, Cary Franks.

• New Position. Dan Kahle accepted a job with the ICC. Dan was the auditor for DCCA before he joined the Bronner Group. Barb Minton took a position outside with DCMS.

May 2001 Deanna Marvin, CIA, CISA, served as Chapter President. • Training. The chapter met at the Northfield

Center and held a Chapter Recognition Night. • Presenter. Special Agent Robert C. Anderson

of the FBI presented the afternoon seminar on “Fraud Detection and Investigation.”

• Dinner. Connie Klutnick, Supervisor of Training at the Illinois Department of Revenue presented “Seeking Consensus.”

• Member Profile. Elaine J. Lyons, CIA, CISA, MCSE, MCDBA, CEO for the EISIS Company.

• Gold. Our chapter achieved the coveted “Gold” Chapter Achievement Program award.

• Exam. President Deanna Marvin and Historian Harry Thurau passed CGAP exam.

• New Members. Kelly L. Donovan, Ted Tracy, Department of Agriculture, Valerie Koch, Attorney General, Melissa Oller, Board of Education, Michael Taylor Parker.

May 1996 Mark Krell, CIA, served as Chapter President. • Training. The chapter met at the Hilton for a

pre-dinner seminar that consisted of two concurrent sessions:

− “Creating the future – Internal Audit Strategic Planning,” presented by Daniel Levenson, CPA, CISA, and Mark Hamill, with Deloitte & Touche in Chicago.

− “Evaluation of High Level Management Controls” presented by Sondra Brown, CPA, and Paul Kiel, CPA, of Deloitte.

• Dinner. Alfred Arkley, Ph.D., Professor of Management at UIS, spoke on “Negotiating Effective Agreements.”

• Exam. John M. Ostrander and Kay F. Summers of Horace Mann and Harry J. Thurau of DNR passed the CIA exam.

• Prizes. $20 to $100 prizes were awarded to Merlyn Hepperly, Jeff Anderson, Andrea Stallings, Larry Ragel, and Nick Marsters.

May 1991 David W. Oehmke, CIA, CPA, served as Chapter President. • Training. The chapter met for the Bosses’

Luncheon at the Ramada Renaissance Hotel for an after-lunch presentation on “Ethical Decision-Making in the Wake of Operation Greylord.”

• Presenter. Terrence Hake, Inspector General for the Regional Transportation Authority and former Agent of the FBI.

• Member News. Special thanks went to Judy Lazar and Jane Locascio for a terrific series of dinner meetings; Jim Kincaid, the year’s “Full-Day Seminars” Chairman; and Sharon Stapleton for being the Continuing Professional Development Committee’s first Chairperson.

May 1986 William B. Winberg, CPA, served as Chapter President. • Training. The chapter met at the Sheraton for

an after-dinner seminar on “Internal/External Audit Relationships.”

• Presenter. Edward Sheehan, CPA, partner-in-charge of the Clifton, Gunderson & Co Springfield office.

• Officers. The proposed slate of officers for 1987 were: President – Dan Bedell, CIA; Vice President – Brad Hammond; Secretary – Nita Wilson; Treasurer – Lillian Stevens; and Governors – Paul Armento, Ed Buckles, CPA, Judy Parker, and Bob Schwarz, CISA.

May 1981 Vincent G. Brackett served as Chapter President. • Training. The chapter met for an after-dinner

seminar on “White Collar Crime.”

• Presenter. James A. Bourke, Supervisor at the FBI.

This

Month

in

Chapter

History

1981 to

2011

4 | P a g e

Our 2016-2017 Chapter Officers Paula Sorensen, Emily

Durbin, Tracy Allen (current President) Jay Wagner, Satu Allen, and Amy DeWeese (not pictured Leighann

Manning). (Photo by Cary Franks)

March seminar trainer Joan Pastor, PhD and CEO of

JPA International, Inc. (Photo by Cary Franks)

Protecting Customer Data Michael Levy, The IIA

Protecting customer data is not just an IT responsibility. Business leaders need to understand the specific business risks and ensure that everyone in the organization is trained to take appropriate action to protect their customers’ data. • Data Encryption.

Implementing encryption protocols is fundamental to protecting customer data. Organizations need to define sensitive data and then encrypt it to ensure it is safeguarded. − Periodically,

organizations should reevaluate their encryption policies to identify necessary changes.

− Moreover, they should evaluate the type of encryption in place to ensure it still protects against the latest vulnerabilities.

• Data Loss Prevention (DLP). Organizations that

have large or sensitive customer data need to consider using DLP tools. − These tools allow the IT function to help prevent

data loss. − Moreover, the tools can evaluate data and

disallow accidental disclosures based on pre-established policies.

What Do Employers Want? www.americasjobexchange.com

Great employees share certain characteristics. Make sure you have these characteristics to be successful. 1. Positive attitude. Great employees maintain a

positive attitude, even during difficult situations. They tackle projects, both big and small, in a

straightforward manner. They promote a team spirit and good morale and are a pleasure to be around; a trait that is an essential job characteristic. 2. Rise to the occasion. A good employee gets the job done. A great employee gets the job done in spite of everything – including when priorities and schedules shift. They are self–motivated and can think on their feet. 3. Team players. No one can achieve “greatness” in an organization alone. These employees recognize that success is better achieved through team

work. They are the consummate team player who can praise others.

4. Self–motivated. While the role of every manager is to motivate their employees, managers seek employees who create their own motivation. It makes a huge difference to have an employee that has an inner drive to organize their work versus one who needs constant guidance to perform day to day activities. Employers look for employees that have a level of self–motivation that will not require a high level of “hand-holding,” as well as the ability to tackle the obstacles that arise each day.

5. Demonstrate dependability. Certain core expectations are required for all jobs, but dependability is probably at the top of the list. Employees show dependability by taking personal ownership of all aspects of their job, including being on time, dressing and working in a professional manner, and demonstrating a high level of commitment. They set the standard.

You’re paid to work eight hours a day but out of every day, you goof around with friends, or work at a slower pace than you could. Is this being honest with your employer? No. If you’re being paid to work, do your job. And if there is no work, ask your supervisor how you can help out. Doing less than your best every day is being dishonest – dishonest to your employer and dishonest to your co-workers who have to work extra hard to cover for you. Not fair. Not honest. Not one of the keys to respect or success.

5 | P a g e

[email protected]

The Comptroller General of the United States has established guidance for the management of government agencies. This guidance says the following: • Accountability is key to our nation’s

governing. • Management is responsible for

providing reliable, useful, and timely information.

• Oversight bodies need to know whether: (1) officials manage resources in compliance with laws; (2) programs are achieving their objectives; and (3) government services are provided effectively, efficiently, economically, ethically, and equitably.

• Audits provide an independent, objective, and nonpartisan assessment.

• Audits provide information used for oversight of programs.

• Auditors are expected to be honest, candid, and constructive.

Auditors may encounter conflicting pressures from management of the audited entity. In resolving those pressures, auditors need to place priority on the public interest.

CONDOLENCES

The Chapter would like to extend its deepest

condolences to Cori Fuchs on the recent

passing of her husband Marc.

CHAPTER OFFICIALS

2015 – 2016

OFFICERS

PRESIDENT Tracy Allen, CPA, CISA [email protected]

782-1003

• Administration (CAP-ologist)

Amy Lyons 558-4347

• Audit Amy DeWeese, CPA 524-5192

• Nominating Tracy Allen, CPA, CISA Amy Lyons

782-1003 558-4347

FIRST VICE PRESIDENT H. Jay Wagner, CIA, CFE, CISA HWagner@atg. State.il.us

524-4094

• Programs & Seminars H. Jay Wagner, CIA, CFE, CISA 524-4094

• Continuing Education Tracy Allen, CPA, CISA 782-1003

• Seminar Registration

Emily Durbin, CIA, CGAP 558-2913

SECOND VICE PRESIDENT Leighann Manning [email protected]

558-0010

• Academic Relations Carol Jessup, Ph.D, CPA, CFE 206-7923

• Membership Debbie Abbott, CIA 782-2645

• Associate Trustee/Tech. Larry L. Stone, CISA, CCP, CRPC 544-5198

• Certifications Program

Leighann Manning 558-0010

SECRETARY Emily Durbin, CIA, CGAP [email protected]

558-2913

• Directory, Distribution &

Public Relations Emily Durbin, CIA, CGAP

558-2913

• Newsletter M. Ameen Dada, CGFM 785-0165

• Photographer Cary Franks, MS MIS 741-4410

• Webmaster

H. Jay Wagner, CIA, CFE, CISA 524-4094

TREASURERS

Paula Sorensen [email protected] Amy DeWeese, CPA [email protected]

782-4843

524-5192

• Awards Joelle Egger 524-5253

• Historian

Seeking Volunteer

GOVERNORS Term Expiring:

• 2016 Stephen D. Kirk, CIA, CGAP 557-1258

• 2016 Lesslie D. Morgan, CIA, CPA, CGFM, CISA 524-1503

• 2016 Barbara Ringler, CPA 785-6515

• 2017 Rusti Cummings, CPA 558-3386

• 2017 Ameen Dada, CGFM 785-0165

• 2017 Cary Franks, MS MIS 741-4410

• 2018 Bill Sampias, CISA, CFSA 785-5563

• 2018 Larry L. Stone, CISA, CCP, CRP 544-5198

• 2018 Denise Behl, CIA 558-2701

• 2018 Amy Lyons 558-4347

The Board of Governors consists of all Officers, Governors, and the past two Presidents.

F r o m t h e E d i t o rF r o m t h e E d i t o rF r o m t h e E d i t o rF r o m t h e E d i t o r

Our February seminar speaker Danny

Goldberg. (Photo by Cary Franks)

Identity Theft: What to do if you get hackedwww.identitytheft.com

1. Notify the credit agencies (e.g., Equifax, Experian,

TransUnion) and request a 90-day credit alert to tell businesses to contact you before opening any new account in your name. If your identity has been stolen, you are entitled to keep the alert open for 7 years. Or you can put a full freeze on your credit, but will have to notify the credit agency to lift the freeze if you apply for a loan, open a new account, or even sign-up for utility service.

2. Check your credit card bills closely; crooks are known to charge small amounts (e.g., $10) to see if you notice before charging a large amount.

3. If your identity is stolen, contact the credit issuer to close the bogus account and remove it from your record. Keep copies of all correspondence/notes of every phone call and use certified mail.

4. After a hack, scammers may try to use the stolen data to trick you on giving up more personal information. Don’t click on any links from emails as bad software may download your passwords. up if you get a phone call asking for account numbers. Scammers may also send texts so don’t click on any links from numbers you don’t know.

5. The FTC has a website www.identitytheft.govprovides step-by-step advice and information on what to do if you have been a victim.

Springfield Chapter The Institute of Internal Auditors

P.O. Box 205 Springfield, IL 62705-0205

get hacked

Equifax, Experian, day credit alert to tell

businesses to contact you before opening any new account in your name. If your identity has been

entitled to keep the alert open for 7 years. Or you can put a full freeze on your credit, but will have to notify the credit agency to lift the freeze if you apply for a loan, open a new account,

bills closely; crooks are known to charge small amounts (e.g., $10) to see if you notice before charging a large amount. If your identity is stolen, contact the credit issuer to close the bogus account and remove it from your

correspondence/notes of

After a hack, scammers may try to use the stolen data to trick you on giving up more personal information. Don’t click on any links from emails as bad software may download your passwords. Hang up if you get a phone call asking for account numbers. Scammers may also send texts so don’t click on any links from numbers you don’t know.

www.identitytheft.gov that step advice and information on

President’s Message . . . . . .

For example, you can customize your email signature

and social media accounts with the International

Internal Audit Awareness Month digital icon (depicted

at right). You can hold a lunch

workplace to dispel myths about internal auditing and

explain the value that a well-resourced, independent

internal audit function can provide. You can also

distribute sweet treats or tokens to coworkers with an

educational flier

about the profession.

Don’t let the

opportunity pass to

advocate the

importance of

internal auditing to

your coworkers and

other stakeholders.

Tracy

6 | P a g e

President’s Message . . . . . . continued

For example, you can customize your email signature

and social media accounts with the International

areness Month digital icon (depicted

-and-learn in your

workplace to dispel myths about internal auditing and

resourced, independent

internal audit function can provide. You can also

weet treats or tokens to coworkers with an