Springfield Chapter 1978 – 2010

Springfield Chapter of The Institute of Internal Auditors

www.TheIIA.org/Chapters/Springfield

Springfield Audit Trails Platinum Chapter & First Gold Chapter

May 2010 Training Seminar

President’s Message

Don’t Just Excel, Power Excel!

Larry L. Stone, CISA, CCP, CRPC

Coleen Jordan, CIA, CPA, Vice President for Seminars

Our final event this chapter year brings back Mr. Excel. Last year for student day we had over 100 attendees!! I can’t believe this is my final message as your president. I truly want to say thanks to all our volunteers who have made this another Platinum year for our chapter: • Colleen Jordan as first Vice-President did a great job with our programs and provided input on different options and in ways to accomplish some tough tasks. • Denise Behl as second Vice-President did a terrific job with registration and managing the Membership Recruitment and Retention Planning. • Staci Crane as Secretary has been such a big help at seminars including with CPE credit certificates and chapter directory. • Shayne Clennon and Amy Lyons did a wonderful job as co-Treasurers, a job which can be time consuming. The division of Treasurer’s duties this year worked extremely well. • Ameen Dada did a great job with the newsletter and kept me organized. Some things must be kept hidden from Ameen unless you want it in the newsletter. • Jay Wagner made time in his busy schedule with twins to be our Capologist and Webmaster, not to mention being a great resource for me. Thanks Jay!! • Denise Shireman-Caldwell stepped up as our Auditor and has agreed to another year also. Thanks Denise. Special thanks to Carol Kraus in her recruitment. • Others who we may not hear of but have made special impact include Steve Kirk, Nominations; Lesslie Morgan, Historian; Deanna Marvin, Membership & CIA; Leonard Branson, Academic Relations; and Cary Franks, Photographer. Special thanks to Cary who asked me to be the Secretary for the 2006-2007 year. It provided me with tremendous satisfaction in helping the chapter in whatever way I could. • Best wishes to everyone for the future!

What a great training year it’s been! And the finale is no exception. Capping off the 2009-2010 training year on May 12, 2010 is the dynamic, exciting, funny, entertaining, insightful, inimitable Excel Answer Man. Mr. Excel himself, Bill Jelen, will be at the Northfield Center on May 12, 2010 to present his Power Excel seminar. If you’d like to learn:
What cool secrets and tricks are lurking on the Data menu
The ins and outs of Pivot Tables (from the guy who wrote the book on pivot tables!)
How to create slick charts in a single button click
To add thousands of subtotals in seconds
Some of the changes made in Excel 2007 You’ll want to be at the IIA’s next training session to hear it directly from Mr. Excel. Don’t be tortured by bad data any longer. Learn how to take poorly formatted data and convert it to data suitable for pivot tables. Participants at the May 12 training session will receive a copy of Bill Jelen’s book, “Learn Excel 97-2007 from MrExcel” which is comprised of 377 questions and solutions posed to him during his seminars. Jelen loves new questions! So come prepared: bring your Excel questions and Bill will incorporate them into the seminar. Jelen promises “If you use Excel 40 hours per week, you will save 100 hours each year by attending this seminar!” Be sure to register by May 5, 2010 to receive your copy of “Learn Excel 97-2007 from MrExcel” at the seminar. Since books are being shipped to Springfield for the class, registrations after th Wednesday, May 5 can not be guaranteed a book available at the seminar. It will be shipped later. May 12, 2010 is also Student Day. Students may attend the session with Mr. Excel for a mere $25.00; Members at $50.00; and even Guests at $75.00 is a real bargain. Hope to see you all there.

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May 12, 2010 Wednesday, Northfield Center Seminar (8:30a): Excel Presenter: Mr. Excel Members: $50 Non-members: $75 Students: $25 Reservations: By May 7 – [email protected] – Staci Crane ................558-4255 – Denise Behl ...............558-6932

Committee Volunteers Make It A Successful Year! As we close the chapter year, it is important to recognize members who volunteered to make this year a success. Due to their efforts, the chapter achieved the coveted “Gold” award, and maintained its “Platinum” status, in The IIA’s Chapter Achievement Program, which are both marks of excellence. We are organizing committees right now for next year, so please let any officer know your interest. When you see these chapter members, please thank them for volunteering their time to make this year such a success. LARRY L. STONE, CISA, CCP, CRPC President •

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STACI CRANE, CISA Secretary

Administration – Jay Wagner, CPA, CISA, filed required reports with the national office for the Chapter Achievement Program. Audit – Denise Shireman-Caldwell, CPA, audited our records at the close of the chapter year and submitted the audit report to headquarters. Nominating – Steve Kirk, CIA, CGAP, Jay Wagner, CPA, CISA, and Larry Stone, CISA, CCP, CRPC, helped to nominate next year’s officers and board members.

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COLEEN JORDAN, CIA, CPA First Vice President •

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Programs, Seminars, Continuing Education – Larry Stone, CISA, CCP, CRPC, and Jay Wagner, CIA, CISA, set up the programs, coordinated with program presenters, processed reservations, kept attendance records for chapter meetings and seminars, and provided CPE certificates. Seminar Registration – Staci Crane, CISA, Denise Behl, CIA, registered all the individuals who wanted to attend our meetings and seminars.

SHAYNE CLENNON, CPA AMY LYONS Co-Treasurers •

DENISE BEHL, CIA Second Vice President •

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Directory, Distribution, Public Relations – Denise Behl, CIA, and Coleen Jordan, CIA, CPA, compiled, maintained, and updated the membership directory. This directory was online to keep it up to date with members changing jobs. Newsletter – Ameen Dada, CGFM, prepared the newsletter each month to inform members of chapter news and other items of interest. Photography – Cary Franks took pictures at chapter meetings seminars for the newsletter. Webmaster – Jay Wagner, CIA, CISA, maintained our Internet web page, which included posting the monthly newsletter and maintaining the Private Membership Directory.

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Academic Relations – Leonard Branson, PhD., served as our liaison with area colleges and universities to generate interest in internal auditing. Admissions/Membership – Deanna J. Marvin, CIA, CGAP, CISA, helped recruit and retain members. She also processed membership applications and reconciled admission records with IIA headquarters. Associate Trustee – Larry L. Stone, CISA, CCP, CRPC, maintained research materials for members. CIA Program – Deanna J. Marvin, CIA, CISA, CGAP, coordinated and monitored the fall and spring CIA exams, and provided review materials to potential exam registrants. She also helped candidates who wanted to take the CGAP exam.

Awards – Shayne Clennon, CPA, and Amy Lyons administered the program to recognize those who attended Chapter meetings by providing prizes to members attending meetings and preparing meeting decorations. Historian – Lesslie D. Morgan, CIA, CPA, CGFM, CISA, maintained our chapter’s historical records and wrote articles for the newsletter on events that had occurred during the chapter’s history.

John Bowman, Ted Tracy (with his CIA certificate), and Chapter President Larry Stone (Picture by Carry Franks)

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Springfield IIA Chapter 2009-2010 PROGRAM SCHEDULE

Date/Notes August 18, 2009 • Secret Recipes Training Center September 1617

October 20

November 17

Time (CPE) 8:30a-4:30p (7 hours)

8:30a-4:30p (14 hours)

IS Auditing: The First Step • Gordon Smith

11:30a-4:30p (4 hours)

From Good to Great (Government CPE) • Rick Owens, State Farm Insurance Governance, Risk & Compliance (Government CPE) • Leslie Bryce, CAE for RuleSphere International Inc. • No training scheduled

8:30a-4:30p (8 hours)

December 10 .

January 21

11:30 – 4:30, (4 hours)

February 11 • Joint Session with Central IIA & ISACA March 18

April 15

May 12 • Student Day

Seminars American Recovery and Reinvestment Act (Government CPE) • Carol Kraus • Joan Small

11:30a-4:30p (4 hours)

8:30a-4:30p (7 hours)

11:30a-4:30p (4 hours)

8:30a-noon (4 hours)

Using IIA Standards to Improve Internal Audit Activity • Steve Minder, YCN Group, LLC Psychology for Ethics training • Chris Bauer • Central IIA – Joe Kantor • ISACA – Jared Ross The Hunt for Fraud: Prevention and Detection Techniques • Al Marcella Social Engineering – Hacking the Human Trust: Assess, report, and mitigate risks in your company • Paul Rozek Power Excel Seminar: Cool Secrets & Tricks of Excel – 377 Excel Mysteries Solved • Mr. Excel

Cost of seminar includes lunch Members Non-Members

$35

$45

$250

$300

$35

$50

$75

$125

$50

$75

$35

$50

$75

$125

$50

$75

$50 Students: $25

$75

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

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g{|á `ÉÇà{ |Ç V{tÑàxÜ [|áàÉÜç Lesslie Morgan, CIA, CPA, CGFM, CISA






May 2005 – Five Years Ago: Stephen Kirk CIA, CGAP was the Chapter President. The May meeting was held at the Northfield Center and focused on the “Year in Review,” and the theme “No Auditor Left Behind.” The Chapter recognized members who helped make it possible to achieve the coveted “Gold Award” and thereby maintain the “Platinum” status, in The IIA’s Chapter Achievement Program. John Nosari announced he was retiring from UIS in May and planning to go fly-fishing in Montana during the summer. Brian Bond had been doing weekend Mystery Theater and Scott Wahlbrink had recently returned from Mexico and was planning another vacation.

New Chapter members were:







Nick Marsters – Illinois Supreme Court Jeffrey Wilson – Student at Illinois College Rodney Wilson – Illinois Secretary of State

May 1990 – Twenty Years Ago: Nita K. Wilson was Chapter President. This month’s meeting was held at the Sheraton Inn. The pre-meeting seminar was a video called “Take Action Now,” a twopart video providing an understanding of the Treadway Commission’s recommendations. The after-dinner speaker was Dr. Curtis C. Verschoor, CPA, CIA, CFP, CMA, managing director of C.C. Verschoor & Associates, Inc., specializing in consulting to audit management and audit committees of boards of directors.

May 2000 – Ten Years Ago: Rusti Cummings, CPA was the Chapter President. This month’s meeting was held at the Northfield Center in Springfield. The afternoon seminar was presented by Dennis R. Schueler, CIA, CPA, CFE, President of Schueler Consultants, Inc., who spoke on “Effective Communication/Reporting of Audit Findings.” Mr. Schueler also presented the after-dinner presentation on “Measuring Internal Audit Performance.” The Chapter recognized two new CIA’s:


Alvin Ostendorf – 15 Years Bradley Hammond – 10 Years David Leggett – 10 Years Elaine Hyden – 10 Years Gerald Wright – 10 Years

New Chapter members were:



Wendell Sheely – Illinois Department of Transportation Philip Donaho – Illinois Department of Natural Resources






Joining the Chapter as a new member was Dan Kahle, Acting Chief Internal Auditor with the Department of Commerce and Community Affairs. The April meeting attendance award, a $15 dollar gift certificate to Best Buy, was won by Harry Thurau.


Paul Rozek presenting our April training seminar on Social Engineering (Picture by Cary Franks)

May 1985 – Twenty-Five Years Ago: Sandra K. King, CIA was the Chapter President. This month’s meeting at Sheraton Inn.. This month’s speaker was Dr. Richard Ziegler, CPA, Associate Professor of Accountancy, University of Illinois, who spoke on “Audit Risk/Materiality (SAS 47).” Joining the Chapter as a new member was Frederick Wu, CMA, Chairman of Southern Illinois University’s Department of Accountancy. The Chapter recognized the efforts of Dan Bedell who brought in at least 4 new members this year.

May 1995 – Fifteen Years Ago: Nancy Hilger, CPA was Chapter President. This month’s meeting was held at the Best Western Springfield East. The speaker was Chapter President Nancy Hilger, who spoke on “The IIA Springfield Chapter Recognition Program.” The following Chapter members were recognized for their years of service:







Sonya Bradley Stuart Gresham – Illinois Environmental Protection Agency Donald Jones – Office of the Illinois Auditor General Kathy Lacey – Franklin Life Insurance Company Joseph Ohm – Office of the Illinois Auditor General Larry Wilcox – Department of Military Affairs Patrick Zillen – Illinois Department of Revenue

Judith Lazar – 15 Years John Nosari – 15 Years William Henson – 15 Years 4

F rom th e E d itor [email protected] This has been a wonderful year for the chapter where we accomplished all the things that we wanted to achieve. Our chapter again earned the Gold and Platinum awards -- thanks to Larry Stone and the officers for all their hard work. Now Larry can enjoy more vacations (“Part-Timer”) on his bike (“Hog man”). Coleen Jordan will serve as the Chapter President for the next chapter year. She will continue the great tradition of this chapter to excel year after year. Coleen worked on our chapter’s training program and can motivate everyone to perform their best. Denise Behl will serve as the Chapter First Vice President and be responsible for training. This year she reviewed the draft newsletter carefully (thank you) and caught my errors before publication. She has volunteered to help the Chapter by serving on multiple committees whenever necessary. Staci Crane will serve as the Chapter Second Vice President responsible for administration. Staci made sure that everyone was registered properly for their seminars and meals this year. Amy Lyons will serve as Chapter Secretary and be responsible for registering seminar participants and keeping Chapter records. She served as a co-Treasurer and helped keep our chapter’s financial records. Shayne Clennon will continue to serve as our Chapter’s co-Treasurer. She is a CPA who kept a close watch on our Chapter’s finances all year long. LESSONS LEARNED  Honey is sweeter. Most people respond better to respect and recognition. Treating others with respect also has another surprising effect – it makes you look good too.

CHAPTER OFFICIALS 2009– 2010 OFFICERS Larry L. Stone, CISA, CCP, CRPC PRESIDENT [email protected] H. Jay Wagner, CIA, CISA • Administration Denise Shireman-Caldwell, CPA • Audit Larry L. Stone, CISA, CCP, CRPC • Nominating H. Jay Wagner, CIA, CISA Stephen D. Kirk, CIA, CGAP Coleen Jordan, CIA, CPA 1st VICE PRESIDENT [email protected] Larry L. Stone, CISA, CCP, CRPC • Programs, Seminars, & H. Jay Wagner, CIA, CISA Continuing Education Staci Crane, CISA • Seminar Registration Denise Behl, CIA 2nd VICE PRESIDENT [email protected] Leonard Branson, Ph.D • Academic Relations Deanna J. Marvin, CIA, CGAP, CISA • Admissions/Membership Larry L. Stone, CISA, CCP, CRPC • Associate Trustee/Tech. Deanna J. Marvin, CIA, CGAP, CISA • CIA Program Staci Crane, CISA SECRETARY [email protected] Denise Behl, CIA • Directory, Distribution, & Coleen Jordan, CIA, CPA Public Relations Mohammed Ameen Dada, CGFM • Newsletter Cary Franks, MS MIS • Photographer H. Jay Wagner, CIA, CISA • Webmaster Shayne Clennon, CPA [email protected] TREASURER Amy Lyons [email protected] Shayne Clennon, CPA • Awards Amy Lyons Lesslie D. Morgan, CIA, CPA, CGFM, • Historian

785-6972 557-0035 558-1341 785-6972 557-0035 782-4843 306-5849 785-6972 557-0035 558-4255 558-6932 206-6299 789-2500 785-6972 789-2500 558-4255 558-6932 306-5849 785-0165 496-2697 557-0035 558-6562 558-6958 558-6562 558-6958 524-4094

CISA

GOVERNORS Term Expiring: • 2010 • 2010

Stephen D. Kirk, CIA, CGAP Lesslie D. Morgan, CIA, CPA, CGFM, CISA

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2010 2011 2011 2011 2012 2012 2012 2012

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2007-2009

Barbara Ringler, CPA Rusti Cummings, CPA Mohammed Ameen Dada, CGFM Carol Kraus, CPA Cary Franks, MS MIS Deanna J. Marvin, CIA, CGAP, CISA Bill Sampias, CISA, CFSA Doug Tinch, CIA, CPA, CISA, CISSP PAST PRESIDENT H. Jay Wagner, CIA, CISA

782-4843 524-4094 524-7872 782-1003 785-0165 782-1925 496-2697 789-2500 785-5563 558-2074 557-0035

The Board of Governors consists of all Officers, Governors, and the President(s) in the past two years who are chapter members.

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Value Statements Christopher Bauer, www.BauerEthicsSeminars.com (Submitted by Cary Franks) You have probably heard about the enormous power of a well-written and appropriately implemented values statement. However, getting both the creation and implementation of your values statement right is a much more complicated and tough process than it usually sounds. Here is a 'starter set' of essentials for getting the creation part of your values statement right. •

Make it 'organization-wide universal'. You want to only include values that should be the guiding force behind everyone's decisions in your organization.

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Make it brief. Listing 4 to 6 values is probably ideal, 6 to 9 is arguably still 'do-able', and 10 or more will simply be too many to keep constantly in mind.

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Clarity is king. Work on each stated value so that it can be captured with as few words as possible while still being clear. Remember you're going to expect every employee to keep these values in mind so they better be easy to both retain and apply.

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Utility is 'co-king'. Forget philosophy, abstraction, and sloganeering in your values statement. You need to completely nail what are the most persistent and most important aspects.

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Get input from everyone. Before anything gets set, run it past folks at every level of your organization – maybe more than once – until it's really clear and relevant.

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Slower is better. A well-written values statement isn't something you can bang out at a staff meeting or a weekend retreat. You can certainly start planning or writing one in such a setting – just don't fool yourself into thinking you can do more than that. Not only is the process a whole lot tougher than it usually sounds but you need input and feedback. Four to six months is on the quick side; you may need a year.

Ultimately it will take more than these six factors to create a truly great values statement. However, if you use these as an initial guide, you'll be on your way!

Springfield Chapter The Institute of Internal Auditors P.O. Box 205 Springfield, IL 62705-0205

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