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Springfield Chapter (Established in 1978)
SPRINGFIELD AUDIT TRAILSPlatinum & First Gold Chapter
President’s Message Tracy Allen, CPA, CISA
Chapter Training program update
As you know, the State is now in its tenth
month without a budget. This has required some
adjustments to our training program, since the State is our
biggest customer and is significantly behind in paying us.
Therefore, we regret to report that our
originally planned May full-day seminar on
“Human Auditing, Social Engineering, and
Advanced Ethics” has been postponed
indefinitely. Fortunately, we have a backup
plan. Mr. Jim Dahlquist of the Office of the
Auditor General has graciously agreed to
present a half-day seminar titled “The Auditor's
Highlight Reel: Preparing for Your Next
Assignment.” This seminar will take place on
May 26, 2016, and more details will come in our
May newsletter.
Thank you for your support and understanding
during this challenging time.
Tracy Allen, Springfield IIA President
Jay Wagner, Springfield IIA First Vice-President
The American Center for Government Auditing
– Government Auditor SmartBrief
The ACGA offers government auditors a monthly snapshot of
market news and issues affecting government auditors. The
eNewsletter will help you stay on top of emerging public
sector issues. If you are coded as a government auditor as
part of your IIA membership you should be receiving this
monthly newsletter. If you are not receiving it, but wo
to, please let me know.
Chapter Officer Election
It is that time of year where we elect leadership for the new
chapter year. Next year promises to be even more
challenging than this year has been. With no budget on the
horizon for the chapter’s largest customer and very limited
operating capital remaining in the chapter accounts, there
will be hard decisions to make finding low cost speakers and
venues and perhaps requiring payment in advance for
training and member fees to name a few. Even if a budget is
approved and payments begin to flow again there could be a
Continued on back page
SPRINGFIELD AUDIT TRAILS https://
Chapter Training program update
now in its tenth
This has required some
adjustments to our training program, since the State is our
nificantly behind in paying us.
titled “The Auditor's
ill come in our
President
The American Center for Government Auditing
The ACGA offers government auditors a monthly snapshot of
government auditors. The
eNewsletter will help you stay on top of emerging public
sector issues. If you are coded as a government auditor as
part of your IIA membership you should be receiving this
monthly newsletter. If you are not receiving it, but would like
It is that time of year where we elect leadership for the new
chapter year. Next year promises to be even more
challenging than this year has been. With no budget on the
chapter’s largest customer and very limited
operating capital remaining in the chapter accounts, there
will be hard decisions to make finding low cost speakers and
venues and perhaps requiring payment in advance for
Even if a budget is
approved and payments begin to flow again there could be a
Continued on back page ����
TRAINING
Auditing Social MediaH. Jay Wagner, CIA
This month’s seminar will be our annual joint meeting with Central Illinois IIA. This will be a halftitled: “Auditing Social Media: Is the Company Controlling the Conversation?”
Social media has transformed how organizations interact with clients, governments, tradother. Your organization must navigate through the maze of risks and governances surrounding social media. Media explains how to ensure your organization has the adequate measures in place to capitalize on social mprotecting itself from excessive risk.Our instructor will be Mr. Mike Jacka, CIA, CPA, CPCU, CLU. audit for nearly 30 years at Farmers Insurance Group. He is currently coand chief creative pilot for Flying Pig Consulting, and Training Services (FPACTS). In “From the Mind of Jacka” (https://iaonline.theiia.org/mikeMike offers his wit and wisdom on the internal audit profession. The seminar will take place onApril 26, 2016, from 12:30p to 4:30p at the
Northfield Center in Springfield, with a luncheon preceding the seminar at 11:30a. You may register at:http://www.etouches.com/apr2016seminar
TRAINING SEMINAR
Auditing Social Media: Is the Company Controlling the Conversation?
April 26, 2016 @ 11:30 a.m. (lunch)
4 Hours CPE
Members: $60
Students: $20
Register by April 21, 2016
Northfield Center
Congratulations to Chapter member Satu Allen who
accepted an Internal Audit position at the Department of
Corrections. Satu has a Bachelor’s Degree in
Mathematics and Physics as well as a Masters in
Computer Science and experience in information
technology and accounting. She lives in Petersburg with her husband Tracy and has
three children Anna, Hannaliisa and Johannes.
Congratulations to Chapter Secretary Emily Durbin on her new position as Senior
Internal Auditor for the Illinois State Board of Education.
1 | P a g e
April 2016
SPRINGFIELD AUDIT TRAILS https://chapters.theiia.org/springfield
TRAINING
Auditing Social Media CIA, CFE, CISA
be our annual joint meeting with Central Illinois IIA. This will be a half-day seminar
“Auditing Social Media: Is the Company Controlling the Conversation?”
Social media has transformed how organizations interact with clients, governments, traditional media, and each
Your organization must navigate through the maze of risks and governances surrounding social media. Auditing Social Media explains how to ensure your organization has the adequate measures in place to capitalize on social media while protecting itself from excessive risk. Our instructor will be Mr. Mike Jacka, CIA, CPA, CPCU, CLU. Mike worked in internal audit for nearly 30 years at Farmers Insurance Group. He is currently co-founder and chief creative pilot for Flying Pig Audit, Consulting, and Training Services (FPACTS). In “From the Mind of Jacka” https://iaonline.theiia.org/mike-jacka),
Mike offers his wit and wisdom on the internal audit profession.
The seminar will take place on Tuesday, April 26, 2016, from 12:30p to 4:30p at the
Northfield Center in Springfield, with a luncheon preceding the seminar at 11:30a. You may register at: http://www.etouches.com/apr2016seminar.
TRAINING SEMINAR
Auditing Social Media: Is the Company Controlling the Conversation?
April 26, 2016 @ 11:30 a.m. (lunch)
Non-Members: $75
Register by April 21, 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
April 2011 Coleen Jordan, CIA, CPA, served as Chapter President.
• Training. The chapter met ISACA and the Central Illinois Chapter at the Northfield Center for a full-day seminar on “Ethics/Linguistic Lie Detection.”
• Presenter. Nejolla Korris, an international expert in the field of Linguistic Lie Detection.
• Exam. Jeffery Cougill passed the CGAP exam.
• New Position. Second Vice President Staci Crane accepted a position as Chief Internal Auditor for IEMA. Former Chapter President Rusti Cummings accepted the position of Chief Internal Auditor at IEPA.
• Member News. Former Chapter President Deanna Marvin received Horace Mann’s 2010 Community Spirit Award.
April 2006 Tina Neely, CIA, CISA, CGAP, served as Chapter President.
• Training. The chapter met at the Northfield Center for a half-day seminar on “Audit Evidence.”
• Presenter. Teresa Snedigar, IIA District Representative and Director of Internal Audit for The Finish Line, Inc. based in Indianapolis.
• Gold. The chapter obtained the “Gold” status, continuing the tradition of excellence.
• Officers. Tina Neely accepted the nomination for a second year as President, and joined Jim Donkin as the only members who had served as President more than once. Ray Piiparinen, CPA, CIA, CISA, resigned his position as the Chapter’s Treasurer after serving for 12 years in the position. Kelly Guerrero returned to auditing. She was the chapter’s VP in 2004-2005 and an internal auditor before going to the CMS Bureau of Benefits (insurance) for a year.
April 2001 Deanna Marvin, CIA, CISA, served as Chapter President.
• Training. The chapter met with ISACA at the Northfield Center for an afternoon seminar on “Encryption.”
• Presenter. Roger Aukerman of State Farm, who had 19 years experience in various information system roles, and Dough Hahn, who had worked for CMS since 1974 (since 1998 has been working on the PKI project).
• Dinner. Larry Stone, CISA, CCP, spoke on “Virus Exposures and Controls.” Larry was a senior auditor at the Department of Public Health, an IS auditor for over 14 years, a speaker for CanAudit, MIS, and a part-time instructor at UIS.
• Officer. Gary Styzens was elected to fill the Board position vacated by Stu Gresham.
• Member Profile. The member profile in the newsletter was Susan J. Pappas, Enterprise-wide Auditor, University of Illinois, and an IIA member since 1994.
April 1996 Mark Krell, CIA, served as Chapter President.
• Training. The chapter met with ISACA at the Best Western for a pre-dinner seminar on “Network Security and the Internet.”
• Presenters. Greg Regan, Assistant Vice-President for Corporate Information Security/MIS Contingency Training for Boatmen’s Bancshares.
• Dinner. The after-dinner presentation was “Dial-Up Networking Using Windows 95” by Todd Cooper with Levi, Ray and Shoup.
• Prize. Barbara Minton, ISC, who won a business card holder with the IIA logo on it.
April 1991 David W. Oehmke, CIA, CPA, served as Chapter President.
• Training. The chapter met at the Sheraton for a full-day seminar on “Effective Leadership Skills.” The after-dinner presentation was “Auditing in a Microcomputer Environment.”
• Presenter. John R. Nelson of John R. Nelson & Associates.
• Member News. Special thanks to Ben Zemaitis and his staff for organizing the Staff Training Seminars the past four years; Larry Ragel and Guy Beggs for a great job with the pre-dinner seminars; and Randy Allen for the “Student Night” presentation.
April 1986 William B. Winberg, CPA, served as Chapter President.
• Training. The chapter met at the Sheraton in Springfield for a pre-meeting seminar on “A System Programmer’s Guide to Controlled Implementation of RACF and Other Security Packages.”
• Presenter. Tony Godar, Midwest Financial.
• Dinner. Dan White of Ernst & Whinney presented “How to Steal a Million Dollars – A Beginner’s Guide to Computer Fraud.”
• Exam. David Oehmke and Mark Ellis passed the CIA exam.
April 1981 Vincent G. Brackett served as Chapter President.
• Training. The training was “Decision Making.” • Presenter. Richard Mannweiler, Dean,
Business Administration, Millikin University.
This
Month
in
Chapter
History
1981 to
2011
Management ResponsibilitiesF. John Reh
There are four basic management skills that should be mastered to have success in a management job, namely: plan, organize, direct, and control Plan Planning is the first and most important step in any management task. It also is the most often overlooked step. While the amount of planning and the detail required will vary from task to task, skipping this task is inviting disaster. Organize A manager must be able to organize teams, tasks, and projects in order to get the team’s work done. As a beginning manager, you may be organizing a work team or a project team. Later, these same skills will be required in your career when you have to organize department or a new division. Clearly, there is a lot of overlap between planning the work and in organizing it. Where planning focuses on what needs to be done, organization is more operational and focuses on how to get the work done best. When you organize the work, you need to: • determine the roles needed, • assign tasks to the roles, • determine the best resource (people or equipment)
for the role, • obtain the resources and allocate, and • assign resources to the roles and delegate authority
and responsibility to them. You will also organize all the systems that will handle the data your team needs to collect or distribute. How you organize the systems so everyone who needs information has access to it? See the next step.
Direct Directing is the action step. You have planned and organized the work. Now you have to direct your team
Plan Organize
Direct Control
Mission
Management Responsibilities F. John Reh, www.management.about.com
There are four basic management skills that should be tered to have success in a management job,
control.
Planning is the first and most important step in any management task. It also is the most often overlooked step. While the amount of planning and the detail required will vary from task to task,
ger must be able to organize teams, tasks, and projects in order to get the team’s work done. As a beginning manager, you may be organizing a work team or a project team. Later, these same skills will be required in your career when you have to organize a
Clearly, there is a lot of overlap between planning the work and in organizing it. Where planning focuses on what needs to be done, organization is more operational and focuses on how to get the work done best. When
determine the best resource (people or equipment)
assign resources to the roles and delegate authority
You will also organize all the systems that will handle the data your team needs to collect or distribute. How will you organize the systems so everyone who needs
See the next step.
Directing is the action step. You have planned and organized the work. Now you have to direct your team
to get the work done. Start by making sure the goal is clear to everyone on the team. Do they all know what the goal is? Do they have everything t(resources, authority, time, etc.) to do their part?
You will be more effective at directing the team toward your goal if you pull (lead them) rather than push (give orders). You want to motivate the people on your team. Control
Some writers try to “soften” this skill by calling it “coordinate” or something similar. In the steps above, you have • planned the work, • organized the resources to make it happen most
efficiently, and • directed the team to start work. In the control step, you monitor the work being done, compare the actual progress to the plan, and verify that the organization is working as you designed it. If everything is going well, you do not need to do anything but monitor; however, that seldom happens. In the control step, you set standards for performance and quality and then you monitor to make sure they are met.
Next Year’s Chapter Officials
Congratulations to the following members who were elected to serve the Chapter as an officer or Governor in our 2016 – 2017
President Jay Wagner
1st Vice President Leighann
Manning
2nd
Vice President Satu Allen
Secretary Emily Durbin
Co – Treasurers Paula Sorensen
Amy DeWeese
Board of Governors Stephen Kirk
Barb Ringler
Lesslie Morgan
Debbie Abbott
Organize
Control
4 | P a g e
to get the work done. Start by making sure the goal is clear to everyone on the team. Do they all know what the goal is? Do they have everything they need (resources, authority, time, etc.) to do their part?
You will be more effective at directing the team toward your goal if you pull (lead them) rather than push (give orders). You want to motivate the people on your team.
Some writers try to “soften” this skill by calling it “coordinate” or something similar.
organized the resources to make it happen most
directed the team to start work.
step, you monitor the work being done, compare the actual progress to the plan, and verify that the organization is working as you designed it.
If everything is going well, you do not need to do anything but monitor; however, that seldom happens. In
e control step, you set standards for performance and quality and then you monitor to make sure they are met.
Next Year’s Chapter Officials
Congratulations to the following members who were elected to serve the Chapter as an officer or
2017 elections:
Jay Wagner Leighann Manning
Satu Allen Emily Durbin Paula Sorensen
Amy DeWeese Stephen Kirk Term
expiring 2019
Barb Ringler Term expiring 2019
Lesslie Morgan
Term expiring 2019
Debbie Abbott Term expiring 2019
5 | P a g e
If you are ever looking to hire a new auditor, you know that it takes time to find the right person, one who will be a good fit for the organization and who will have the skills to eventually become a higher level auditor. It can take many hires to fill the shoes of a good supervisor or manager who leaves. Any upper level position often takes not just technical skills but also requires the personality, temperament, and finesse to work with the entity’s management. In my mind, it can take up to 10 hires to find a good manager. Managers who can train their staff are even more valuable. We all retire or move but the managers who are respected and remembered are the ones who can train other personnel. Thus if you want to be respected, become a good teacher for your subordinates. I have been fortunate to learn from several managers early in my career by paying close attention to them. They would work with staff and include staff input. That meant not only assisting staff but also meant giving them space to try things. I had a manager who focused on teaching the fundamentals of what any management is responsible for: planning, organizing, directing, and controlling. These responsibilities are also the basis for internal control (as shown in the article on the previous page):
Government Audit Standards Section 2.11(b) Internal control comprises the plans, policies, methods, and procedures used to meet the organization’s mission, goals, and objectives. Internal control includes the processes and procedures for planning, organizing, directing, and controlling program operations, and management’s system for measuring, reporting, and monitoring program performance.
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 782-0812
• 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 782-0812
• 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
6 | P a g e
Sixth Grade Research (Humor)
• Delegates from the original 13 states formed the
Contented Congress. Thomas Jefferson, a Virgin, and
Benjamin Franklin were two singers of the Declaration
of Independence. Franklin discovered electricity by
rubbing two cats backwards and declared, “A horse
divided against itself cannot stand.” Franklin died in
1790 and is still dead.
• Julius Caesar extinguished himself on the battlefields of
Gaul. The Ides of March murdered him because they
thought he was going to be made king. Dying, he
gasped out: “Tee hee, Brutus.”
• Beethoven wrote music even though he was deaf. He
was so deaf he wrote loud music. Beethoven expired in
1827 and later died for this.
• It was an age of great inventions and discoveries.
Gutenberg invented removable type and the Bible.
Another important invention was the circulation of
blood. Sir Walter Raleigh is a historical figure because
he invented cigarettes and started smoking. Sir Fransis
Drake circumcised the world with a 100-foot clipper.
• Joan of Arc was burnt to a steak and was cannonized
by Bernard Shaw.
• Solomom had three hundred wives and seven hundred
porcupines.
• Moses led the Hebrew slaves to the Red Sea where they
made unleavened bread which is bread made without
any ingredients. Moses went up on Mount Cyanide to
get the Ten Commandments. He died before he ever
reached Canada.
President’s Message . . . . . . . . . . continued
substantial decrease in the funds available to pay for training
and membership fees which could impact the number of
auditors in the chapter and the amount of training they can
attend. I can’t think of a time when the chapter faced a more
challenging future. However, with all the veteran board
members returning next year, and two superb new board
members joining the team, I am confident we will remain one
of the IIA’s strongest chapters.
We need your help
In the coming weeks the chapter will be conducting surveys
to get your feedback about what topics you would like to see
in next year’s chapter training curriculum. We will also be
sending out a survey to seek feedback for the fall government
conference which will be held October 25, 26 and 27. Please
give us your feedback so we can serve your needs in the best
way possible.
Tracy
Springfield Chapter The Institute of Internal Auditors
P.O. Box 205 Springfield, IL 62705-0205