O C T O B E R 2 0 1 4 • V O L U M E 7 3 • N U M B E R 3

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The summer has just blown by and we are approaching another winter. One in which predictions indicate will be a tough one. It is hard to believe that it is time for us die-hard grillers to put away the shorts and grill in winter coats!!

We are deeply saddened by the passing of one of our long time members, Don Krueger. Don served the chapter in numerous capacities and volunteered for many years. His determination, achievements and many smiles will be missed. We wish his family all the best.

I would like to take this opportunity to thank all of the volunteers, the Board of Governors and chapter officers for their hard work and diligence to the chapter so far this year. We have made some progress, but there is plenty more to do.

One initiative that has been set in motion is the NextGen Advisory Group. The committee was created to provide young internal audit professionals with experience, skills, and a professional network to successfully advance and serve in leadership positions within the Chapter. The NextGen Advisory Group will serve the mission of the IIA and Chapter to enable young professionals to support the profession while making an investment in their future. Through their efforts they will assist chapter officers in creating awareness regarding the purpose of the IIA, provide ideas on Chapter programs/events, and work on other initiatives as determined by the officers and BOG’s.

We are creating a Governmental Advisory Committee as well. This committee will perform much like the NextGen Advisory Group, but will focus on how the Chapter can better serve our governmental members through social events, training events and other networking possibilities. We will be looking for volunteers for this committee in the very near future.

I am pleased to announce that we will be holding a New Chapter Member Social event in November and will hold an “Chicago Chapter Happy Hour” on October 23 at South Branch, 100 South Wacker. We look forward to seeing you there.

Other upcoming Chapter events include a Fraud Awareness lunch and learn on October 22, Practical Six Sigma for Auditors half day training on October 24, Quality Assurance Review half day training on November 21, and a IT Hacking Defense two day training on December 4th and 5th.

We want to hear from you!! Please contact us with your ideas on how we can serve you in areas such as training topics, networking events or any other suggestion that comes to mind. We look forward to hearing from you.

Ken Clow, PresidentIIA Chicago Chapter

President’s Message I N T H I S I S S U E

• Audit Manager Roundtable Continues Strong

• IIA Chicago Chapter 55th Annual Seminar

• Welcome New Members

• Member Anniversaries

• New Certifications

• Chapter Social and Networking Event

• Audit Spotlight

• Creating a Speak Up Culture

• Career Assistance Program (CAP)

• Women’s Initative Forum

• Build Your Brand: Earning the CIA® Credential

• Social Media Update

• Education Committee Update

• 2014 All Star Conference

• What is Vision University?

• 2015 General Audit Management Conference

• In Memory - Debra A. Hopkins

• Connect with the IIA Chicago Chapter

O C T O B E R 2 0 1 4 • V O L U M E 7 3 • N U M B E R 3

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On Monday September 15th, 47 professionals came together at Plante Moran PLLC for another great roundtable. The featured topics and presenters were:

lNIST CyberSecurity Risk Assessments by David Lefever from The Mako Group

David covered the 5 areas of a NIST CyberSecurity Risk Assessment: Identify, Protect, Detect, Respond and Recovery. He and Peter Clarke provided many real-life examples, maintained some great dialogue with attendees and provided a great start towards attendees developing a CyberSecurity assessment plan.

lBenefits Auditing – Health Care Claims and Dependent Eligibility by Will Baker from BMI Audit Services LLC

Will offered a nice overview of the processes for auditing both claims and dependent’s eligibility. Audit outcomes and benefits of these types of audits were reviewed. Meaningful insurance plan savings were discussed in detail with good dialogue with attendees.

Chicago Chapter Audit Manager Roundtable Continues Strong

The quarterly Chicago IIA Audit Manager Roundtable is held in the downtown Chicago business community and serves to provide professional education, roundtable discussions and valuable networking to Internal Audit Managers/Supervisors professionals. Attendance at this CPE awarding roundtable is one of the free benefits provided by the IIA Chicago Chapter.

Our next meeting is tentatively planned for December 15th and will be hosted by The CME Group Plante (20 South Wacker Drive).

The topics will be focused on Forensic Investigations with co-presentations by Sierra Financial Group and Natoma Partners LLC.

For more information, presentation opportunities or hosting inquiries, feel free to reach out to the Roundtable administrator Jason Torres, IT Audit Manager at Rush University Medical Center by email jason_torres@rush.edu

IIA Chicago Chapter 55th Annual SeminarForward Thinking: The Path to the Future Monday, March 30, 2015 We are excited to continue our path to Internal Audit Excellence on March 30, 2015, with our 55th Annual Seminar. The day will provide attendees with new and evolving techniques, strategies, and best practices. Forward thinking is essential to being trusted business advisers helping organizations achieve success.

Connect with dynamic thought leaders. Obtain valuable foresights. Be empowered.

Stay tuned for new opportunities, upcoming information, and details related to this event.

Don’t miss our 55th Annual Seminar. Save the date!IIA Chicago Chapter 55Th Annual SeminarDate: Monday, March 30, 2015, 8:00 am to 6:00 pm Location: Donald E. Stephens Convention Center, Rosemont, IL

SAVE THE DATE

O C T O B E R 2 0 1 4 • V O L U M E 7 3 • N U M B E R 3

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Welcome!Members are what make a professional organization successful. The Chicago Chapter would like to extend a warm welcome to our new members who recently joined the Chapter:

Eric FisherStephanie WarnerMichael SchulteJake AppelbaumConstance KellerHelen PenningtonLauren BarneyNicole BaillieMatt BabiashQuin AkersDavid DybalaDerek BalestriSeth ConyersJulie KovinTrupti MadgeriWalter BordeauxNicholas GastonRahim AliDaihee ChoBeya LA OwonaKevin Wilson

Joseph Vanden BosKristine TranMy DuongMichael PfeiferDerly VincheryAndrew LynchJenna NervigShan RenTyler GrahamCourtney McMorrowLian ZhuMatthew DolezelAnthony RodriguezCourt Rejman

Anita LikensJose NerisLourdes GuerreroChristine GagnonGerald WolmaransSarah SandersonSteven WhiteMichael SovranJames ChildsKatherine MarrKishan BalarFatos GojaniClarissa WattsKatherine MooreSamantha ChavezWarren DecuirGina RogersRyan TijerinaMohammad Alisherzai

Brian AmbersJames CernugelKathy GlynnHamath MuhamadJaime WilliamsCorri MattisonDa’Veed DildyScot ZoellickMing XuBo QiuWilliam WilsonVansh MongaEric ThompsonKate SullivanBernard PeralesJustin LinChristine HeraldPatrick Coffey

Carina RojasJohn KulaJessica PesantezNancy SchmidgallLeonard YungMing XuBo QiuWilliam WilsonVansh MongaEric ThompsonKate SullivanBernard PeralesJustin LinChristine HeraldPatrick CoffeyCarina RojasJohn KulaJessica PesantezNancy SchmidgallLeonard Yung

O C T O B E R 2 0 1 4 • V O L U M E 7 3 • N U M B E R 3

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The Chicago Chapter is lucky to have many seasoned and long-time members. The tenure of our membership distinguishes us from other professional organizations. Join us in congratulating the following individuals celebrating significant milestones as members of the Chicago Chapter:

Anniversaries

50 yearsCharles J. Ricard

35 yearsJon E. KurtzRobert R. Moeller

20 yearsPenny Yvonne CochranPhilip C. GordonVera MaloneLinda Scott

15 yearsSharon GrantRaymond K. IrvinSayeed I. PatelTrey O. LeGuerrierSteve RatkayPaul W. HooverPaul G. JordanLarry William Leslie

10 yearsChristopher YottDouglas OchabLorelie N. ValeraAlicia H. CampbellBrian TaylorTheresa J. GillesJames J. GusichDaniel CorbettDavid M. GalterJan HertzbergSuryanarayanan MusiriKeith A. DoyleDevon BrooksGina AkinTerri-Gayl HoshellJason DeppischMichael RaimondiLolita MoroneyAbraham DiazAnil R. HarjaniGregory D. GeislerJames R. DoyleClinton S. PetersElaine VullmahnHeather JohnsonJohn MurphyMichael McGuireBrian Markley

5 yearsSteve WeberSongSu KimElif KabileJoseph RaphaelMaria ZielinskiMichael DeceroMari ReidyKen FriesAllen FaucettAgnieszka RazJeanne JurasekSajjad HaideryJeff StuelandStacey HalbertCory BennettBenjamin DraneJanet MeuzelaarJames LangDonna BoelterJoseph WrobelLouis WilliamsGreg WatlandMarc WurzingerCourtney RiethThomas HowardRoberto Danesi

Please ensure your member profile is updated by visiting http://www.theiia.org in order to continue receiving Chicago Chapter announcements and communications.

New CertificationsThe Certified Internal Auditor (CIA) designation is the only globally accepted certification for internal auditors and remains the standard by which individuals demonstrate their competency and professionalism in the internal auditing field. Please join us in congratulating the following chapter members who recently obtained their CIA certification:

Jeffrey WrightDonald BodnarXiaoying HouMark Gross

Chapter Social and Networking EventCome join fellow IIA Chicago Chapter members and Chapter leaders for fun and networking at this Chapter Sponsored Happy Hour.

Thursday, October 235:30 – 7:30 pmSouth Branch100 S Wacker, Chicago

https://chapters.theiia.org/chicago/Events/Pages/Chicago-Chapter-Happy-Hour.aspx

O C T O B E R 2 0 1 4 • V O L U M E 7 3 • N U M B E R 3

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A U D I T S P O T L I G H T

In each issue the Innovator will profile a current Chapter member. The goal is to find out why they chose their profession and what has made them successful.

This issue’s spotlight is on Jason Torres. Jason has been with Rush for over 10 years and is responsible for the IT Audit program. He also serves on the advisory committees for Rush’s Mentoring Program and Emerging Healthcare Professionals Forum. Jason has been helping with the Audit Manager Roundtable for over two years. Jason earned a BS degree in Accounting from Valparaiso University. He and his wife reside in Valparaiso, IN and have a 5 year old daughter and 3 year old son. Jason is a CISA and CIA.

What made you want to become an IT auditor?We have a fairly small Internal Audit department at Rush (5 people). About 6 years ago, my CAE sat down with myself and the other senior auditor in our department and talked about career paths. He raised the idea of each of us working on specialty skills to compliment our financial and operational audit knowledge and experience.

I have always had a love of technology, all the way back to programming the VCR for my parents when I was 6 years old and building computers in high school and college. Rush was in need of someone to assess IT risks across our medical center campus (hospital, university/research and physician practices). I attended trainings/webinars, obtained my CISA and networked with other IT auditors to develop my knowledge base and skill set.

Any particular skills that an IT auditor should have?I have found that ‘soft’ skills have helped me the most as an IT auditor.

1. Knowing how to communicate with people of varying backgrounds and disciplines is important. Being able to talk to them on a professional level but also on a technical level.

2. Developing relationships to help IT realize you are there to help the organization as a whole improve from a control and risk perspective. This leads to offering honest advice that is valued, not just reviewed and discarded.

3. “Thinking on my feet” is also critical. You can have all the certifications and advanced degrees in the world but being able to analyze complex business and IT processes in a meeting shows your worth and value to your organization.

What do you consider top key IT risks to the organizations these days? lCyberSecurity is a big topic right now. We have recurring presentations on this topic at our Manager’s Roundtable. This area is affecting all industries and should be on everyone’s radar.lMobile Devices (laptops, smartphones, etc.) continue to be a major risk area for organizations, especially with organizations allowing employees to bring their own devices and connect to their internal networks.

Why did you get involved in the Manager Roundtable?I got involved because I offered advice and feedback after my first roundtable. Mike Davidson took me under his wing and helped me understand how to organize the roundtable from coordinating the venue to requesting speakers (always look for speakers). With Mike on the IIA Board, I can definitely use some help. Contact me if you are interested!

O C T O B E R 2 0 1 4 • V O L U M E 7 3 • N U M B E R 3

(Continued on page 7)

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Research and case studies have proven that a majority of employees do not speak up when they see fraud or misconduct in the workplace. This is true across a spectrum of businesses, even when employees have great IT security, sound internal audit procedures, and other corporate resources to report misconduct. Modern businesses face a major ethical challenge in creating a culture that encourages employees to report wrongdoing and in combating retaliation. Despite its challenging implementation, a speak up culture is crucial to legitimate company compliance and training efforts.

Cultural Change Starts With ManagementIn 2011, more than one-third of all workplace discrimination claims filed with the Equal Employment Opportunity Commission (EEOC) were for retaliation against employees who expressed their workplace concerns. What can companies do to ensure that employees are safe from retaliation? A speak up culture can allow businesses to maintain their edge, while overcoming biases against whistleblowing.

According to researchers at the University of Michigan, one of the most important factors in creating a speak up culture is ensuring that supervisors model appropriate behavior for employees. Employees will be more willing to report fraud or misconduct to supervisors if they have seen these supervisors express similar ethical behavior, especially following through on matters of misconduct. Employees who saw supervisors report ethical violations, conduct internal audits appropriately, or respond positively to complaints were far more likely to speak up.

Speaking Up: The General Motors Case StudyGeneral Motors is a great example of a company that has struggled due to a lack of misconduct reports, but ultimately succeeded in reversing this trend by implementing a speak up culture. Harvard Business Review blogger Amy C. Edmondson points out several key problems that hampered GM’s employees from expressing concern and that ultimately led to compromised consumer safety. Specific issues involved broken communication channels, defective products that were approved only to be recalled, and lacking accountability among safety personnel. The resulting investigation highlights the importance of these crucial speak up practices:

Direct Exposure to Ethical Behavior

Employees are unlikely to risk bringing attention to potentially painful subjects such as fraud or internal audits if they believe these discussions will hurt their chances of success in the company. As the GM example shows, this individual mindset eventually causes problems for the company as a whole. Ethical leadership not only encourages employees to act on misconduct; it’s also good business.

Clear Channels of Communication — the More Direct, the Better

When important messages about serious company problems don’t get delivered, fatal flaws can easily erupt. Make certain that even the lowest ranking employee can communicate directly with

Creating a Speak Up Culture

Submitted by Steve Randall, Partner at Vonya Global

O C T O B E R 2 0 1 4 • V O L U M E 7 3 • N U M B E R 3

(Continued on page 6)

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The Career Assistance Program Committee of the Chicago Chapter of the IIA has taken the lead in assisting members during career transitions by communicating job postings, providing information on volunteering opportunities, direct access to Chicago Board members, updates on important news items and interesting discussions through the IIA Chicago Chapter’s LinkedIn Network.

Educational and Networking Scholarship Program for Unemployed Members:As a part of its mission, the Career Assist Program Committee is offering scholarships for select educational and networking sessions from the IIA Chicago

Career Assistance Program (CAP)

The IIA Chicago Chapter Women’s Initiative Forum was formed to provide a platform for our women members to exchange information, ideas and to serve as a tool in creating lasting connections. We hope that these connections will empower women in the

Women’s Initiative Forum

Chapter to unemployed professionals in internal audit. If you are interested in potentially being awarded a scholarship for the next sponsored events, “Quality Assurance Review (QAR) Training” on November 21st or “Forensic Investigations and Audit Approach” on December 15th, follow the link for information on how to apply for consideration.

https://chapters.theiia.org/chicago/Pages/Career-Assistance-Program-(CAP).aspx

profession to achieve success and personal fulfillment.

The Women’s Initiative Forum has an exciting year planned of networking and educational events that will build on the talents of our members and will continue to inspire.

For more information on upcoming events, how to get involved or general information, visit: https://chapters.theiia.org/chicago/Pages/Womens-Initiative.aspx

higher-ranking management as needed to report ethical problems. Also, ensure that if an employee does come forward, he or she receives a timely, appropriate response. As with ethical behavior, when company leaders value good communication, so will employees.

Accountability

Edmondson points out that GM’s public apology was an effective, powerful step towards rebuilding trust with the public. GM also took responsibility for safety issues by recalling products. These efforts showed the public that there was no attempt to conceal mistakes and that the company was working to correct problems.

Training

To ensure that management is prepared to respond to ethical complaints, businesses must train leaders appropriately. Training should include education on how to handle failure personally and as a team. Formal training in speak up cultures is available from various sources. Best practice resources for creating a speak up culture are also available to businesses; here is one such resource from the Institute of Business Ethics.

Take Aways

Creating a speak up culture is essential for business success. There is no simple fix. This real problem requires real time and culture investment. Yet, solutions are within reach for any business willing to make the effort. Payoffs include legal, ethically-sound business practices, greater reputation, and happy employees. How can you afford not to invest in a speak up culture?

O C T O B E R 2 0 1 4 • V O L U M E 7 3 • N U M B E R 3

BUILD YOUR BRANDAdd Value to Your Resumé with the CIA® Credential Behind Your Name!

Questions?Contact Donna Mann at

dmann@niu.edu or 815.732.6249

REGISTER EARLY AND SAVE $100!Register online at www.cia.niu.edu or by phone at (800) 345-9472

Package and Group enrollment pricing available!

In Partnership with

The Institute of Internal Auditors

One of an elite group of University partnersSELECTED BY IIA® to offer an online program

SIGN UP NOW!

NIU Continuing Professional Education www.cia.niu.edu

Build your brand when you earn the prestigious Certified Internal Auditor® (CIA®) credential. The CIA® designation is the only globally accepted certification for internal auditors.

Earning the CIA® credential can open new doors of opportunity and earn you

increased credibility and respect within the profession and your organization.

Ultimately the CIA designation will:

• Enhance your knowledge and application of best practices in the industry

• Demonstrate your proficiency and professionalism with internal staff

and external clients

• Distinguish you from your peers

• Establish a foundation for continued improvement and advancement

Holding the CIA® designation is a professional advantage for auditors at any stage of their careers, including chief audit executives, audit managers, audit staff, risk man-agement staff, and students enrolled in an accounting or other business or financial degree program.

Northern Illinois University is one of an elite group of University partners licensed by the Institute of Internal Auditors® (IIA®) to offer the Certified Internal Auditor® (CIA®) Review courses in an online format. Each course is designed for independent study and includes:

• The IIA’s CIA Review Learning System® course print and online study materials

• NIU customized audio-narrated slideshows for each topic of study

• A detailed study plan with course assignments

• Online practice exams

• Exam study tips and tools

• Email and phone access to our CIA® credentialed instructor to respond to individual questions

• A certificate of completion and award of CPE credits

Visit our website www.cia.niu.edu for additional details.

Fall 2014 and Winter/Spring 2015 Course Dates:

CIA Part 1: Internal Audit Basics 9/1 – 10/15/14 and 2/1 – 3/15/15

CIA Part 2: Internal Audit Practice 11/1 – 12/15/14 and 4/1 – 5/15/15

CIA Part 3: Internal Audit Knowledge Elements 1/15/15 – 3/31/15 and 6/1/15 – 8/15/15

BUILD YOUR BRANDAdd Value to Your Resumé with the CIA® Credential Behind Your Name!

Questions?Contact Donna Mann at

dmann@niu.edu or 815.732.6249

REGISTER EARLY AND SAVE $100!Register online at www.cia.niu.edu or by phone at (800) 345-9472

Package and Group enrollment pricing available!

In Partnership with

The Institute of Internal Auditors

One of an elite group of University partnersSELECTED BY IIA® to offer an online program

SIGN UP NOW!

NIU Continuing Professional Education www.cia.niu.edu

Build your brand when you earn the prestigious Certified Internal Auditor® (CIA®) credential. The CIA® designation is the only globally accepted certification for internal auditors.

Earning the CIA® credential can open new doors of opportunity and earn you

increased credibility and respect within the profession and your organization.

Ultimately the CIA designation will:

• Enhance your knowledge and application of best practices in the industry

• Demonstrate your proficiency and professionalism with internal staff

and external clients

• Distinguish you from your peers

• Establish a foundation for continued improvement and advancement

Holding the CIA® designation is a professional advantage for auditors at any stage of their careers, including chief audit executives, audit managers, audit staff, risk man-agement staff, and students enrolled in an accounting or other business or financial degree program.

Northern Illinois University is one of an elite group of University partners licensed by the Institute of Internal Auditors® (IIA®) to offer the Certified Internal Auditor® (CIA®) Review courses in an online format. Each course is designed for independent study and includes:

• The IIA’s CIA Review Learning System® course print and online study materials

• NIU customized audio-narrated slideshows for each topic of study

• A detailed study plan with course assignments

• Online practice exams

• Exam study tips and tools

• Email and phone access to our CIA® credentialed instructor to respond to individual questions

• A certificate of completion and award of CPE credits

Visit our website www.cia.niu.edu for additional details.

Fall 2014 and Winter/Spring 2015 Course Dates:

CIA Part 1: Internal Audit Basics 9/1 – 10/15/14 and 2/1 – 3/15/15

CIA Part 2: Internal Audit Practice 11/1 – 12/15/14 and 4/1 – 5/15/15

CIA Part 3: Internal Audit Knowledge Elements 1/15/15 – 3/31/15 and 6/1/15 – 8/15/15

Build your brand when you earn the prestigiousCertified Internal Auditor® (CIA®) credential.The CIA® designation is the only globally accepted certification for internal auditors.

Earning the CIA® credential can open new doors of opportunity and earn you increased credibility and respect within the profession and your organization. Ultimately the CIA designation will:• Enhance your knowledge and application of best practices in the industry• Demonstrate your proficiency and professionalism with internal staff and external clients• Distinguish you from your peers• Establish a foundation for continued improvement and advancement

Holding the CIA® designation is a professional advantage for auditors at any stage of their careers, including chief audit executives, audit managers, audit staff, risk management staff, and students enrolled in an accounting or other business or financial degree program.

Northern Illinois University is one of an elite group of University partners licensed by the Institute of Internal Auditors® (IIA®) to offer the Certified Internal Auditor® (CIA®) Review courses in an online format. Each course is designed for independent study and includes:• The IIA’s CIA Review Learning System® course print and online study materials• NIU customized audio-narrated slideshows for each topic of study• A detailed study plan with course assignments• Online practice exams• Exam study tips and tools• Email and phone access to our CIA® credentialed instructor to respond to individual questions• A certificate of completion and award of CPE credits

Visit our website www.cia.niu.edu for additional details.

BUILD YOUR BRANDAdd Value to Your Resumé with the CIA® Credential Behind Your Name!

Questions?Contact Donna Mann at

dmann@niu.edu or 815.732.6249

REGISTER EARLY AND SAVE $100!Register online at www.cia.niu.edu or by phone at (800) 345-9472

Package and Group enrollment pricing available!

In Partnership with

The Institute of Internal Auditors

One of an elite group of University partnersSELECTED BY IIA® to offer an online program

SIGN UP NOW!

NIU Continuing Professional Education www.cia.niu.edu

Build your brand when you earn the prestigious Certified Internal Auditor® (CIA®) credential. The CIA® designation is the only globally accepted certification for internal auditors.

Earning the CIA® credential can open new doors of opportunity and earn you

increased credibility and respect within the profession and your organization.

Ultimately the CIA designation will:

• Enhance your knowledge and application of best practices in the industry

• Demonstrate your proficiency and professionalism with internal staff

and external clients

• Distinguish you from your peers

• Establish a foundation for continued improvement and advancement

Holding the CIA® designation is a professional advantage for auditors at any stage of their careers, including chief audit executives, audit managers, audit staff, risk man-agement staff, and students enrolled in an accounting or other business or financial degree program.

Northern Illinois University is one of an elite group of University partners licensed by the Institute of Internal Auditors® (IIA®) to offer the Certified Internal Auditor® (CIA®) Review courses in an online format. Each course is designed for independent study and includes:

• The IIA’s CIA Review Learning System® course print and online study materials

• NIU customized audio-narrated slideshows for each topic of study

• A detailed study plan with course assignments

• Online practice exams

• Exam study tips and tools

• Email and phone access to our CIA® credentialed instructor to respond to individual questions

• A certificate of completion and award of CPE credits

Visit our website www.cia.niu.edu for additional details.

Fall 2014 and Winter/Spring 2015 Course Dates:

CIA Part 1: Internal Audit Basics 9/1 – 10/15/14 and 2/1 – 3/15/15

CIA Part 2: Internal Audit Practice 11/1 – 12/15/14 and 4/1 – 5/15/15

CIA Part 3: Internal Audit Knowledge Elements 1/15/15 – 3/31/15 and 6/1/15 – 8/15/15

BUILD YOUR BRANDAdd Value to Your Resumé with the CIA® Credential Behind Your Name!

Questions?Contact Donna Mann at

dmann@niu.edu or 815.732.6249

REGISTER EARLY AND SAVE $100!Register online at www.cia.niu.edu or by phone at (800) 345-9472

Package and Group enrollment pricing available!

In Partnership with

The Institute of Internal Auditors

One of an elite group of University partnersSELECTED BY IIA® to offer an online program

SIGN UP NOW!

NIU Continuing Professional Education www.cia.niu.edu

Build your brand when you earn the prestigious Certified Internal Auditor® (CIA®) credential. The CIA® designation is the only globally accepted certification for internal auditors.

Earning the CIA® credential can open new doors of opportunity and earn you

increased credibility and respect within the profession and your organization.

Ultimately the CIA designation will:

• Enhance your knowledge and application of best practices in the industry

• Demonstrate your proficiency and professionalism with internal staff

and external clients

• Distinguish you from your peers

• Establish a foundation for continued improvement and advancement

Holding the CIA® designation is a professional advantage for auditors at any stage of their careers, including chief audit executives, audit managers, audit staff, risk man-agement staff, and students enrolled in an accounting or other business or financial degree program.

Northern Illinois University is one of an elite group of University partners licensed by the Institute of Internal Auditors® (IIA®) to offer the Certified Internal Auditor® (CIA®) Review courses in an online format. Each course is designed for independent study and includes:

• The IIA’s CIA Review Learning System® course print and online study materials

• NIU customized audio-narrated slideshows for each topic of study

• A detailed study plan with course assignments

• Online practice exams

• Exam study tips and tools

• Email and phone access to our CIA® credentialed instructor to respond to individual questions

• A certificate of completion and award of CPE credits

Visit our website www.cia.niu.edu for additional details.

Fall 2014 and Winter/Spring 2015 Course Dates:

CIA Part 1: Internal Audit Basics 9/1 – 10/15/14 and 2/1 – 3/15/15

CIA Part 2: Internal Audit Practice 11/1 – 12/15/14 and 4/1 – 5/15/15

CIA Part 3: Internal Audit Knowledge Elements 1/15/15 – 3/31/15 and 6/1/15 – 8/15/15

CIA Part 1: Internal Audit Basics 9/1 – 10/15/14 and 2/1 – 3/15/15CIA Part 2: Internal Audit Practice 11/1 – 12/15/14 and 4/1 – 5/15/15CIA Part 3: Internal Audit Knowledge Elements 1/15/15 – 3/31/15 and 6/1/15 – 8/15/15

In Partnership with The Institute of Internal Auditors

One of an elite group of University partnersSELECTED BY IIA® to offer an online program

BUILD YOUR BRANDAdd Value to Your Resumé with the CIA® Credential Behind Your Name!

Questions?Contact Donna Mann at

dmann@niu.edu or 815.732.6249

REGISTER EARLY AND SAVE $100!Register online at www.cia.niu.edu or by phone at (800) 345-9472

Package and Group enrollment pricing available!

In Partnership with

The Institute of Internal Auditors

One of an elite group of University partnersSELECTED BY IIA® to offer an online program

SIGN UP NOW!

NIU Continuing Professional Education www.cia.niu.edu

Build your brand when you earn the prestigious Certified Internal Auditor® (CIA®) credential. The CIA® designation is the only globally accepted certification for internal auditors.

Earning the CIA® credential can open new doors of opportunity and earn you

increased credibility and respect within the profession and your organization.

Ultimately the CIA designation will:

• Enhance your knowledge and application of best practices in the industry

• Demonstrate your proficiency and professionalism with internal staff

and external clients

• Distinguish you from your peers

• Establish a foundation for continued improvement and advancement

Holding the CIA® designation is a professional advantage for auditors at any stage of their careers, including chief audit executives, audit managers, audit staff, risk man-agement staff, and students enrolled in an accounting or other business or financial degree program.

Northern Illinois University is one of an elite group of University partners licensed by the Institute of Internal Auditors® (IIA®) to offer the Certified Internal Auditor® (CIA®) Review courses in an online format. Each course is designed for independent study and includes:

• The IIA’s CIA Review Learning System® course print and online study materials

• NIU customized audio-narrated slideshows for each topic of study

• A detailed study plan with course assignments

• Online practice exams

• Exam study tips and tools

• Email and phone access to our CIA® credentialed instructor to respond to individual questions

• A certificate of completion and award of CPE credits

Visit our website www.cia.niu.edu for additional details.

Fall 2014 and Winter/Spring 2015 Course Dates:

CIA Part 1: Internal Audit Basics 9/1 – 10/15/14 and 2/1 – 3/15/15

CIA Part 2: Internal Audit Practice 11/1 – 12/15/14 and 4/1 – 5/15/15

CIA Part 3: Internal Audit Knowledge Elements 1/15/15 – 3/31/15 and 6/1/15 – 8/15/15

BUILD YOUR BRANDAdd Value to Your Resumé with the CIA® Credential Behind Your Name!

Questions?Contact Donna Mann at

dmann@niu.edu or 815.732.6249

REGISTER EARLY AND SAVE $100!Register online at www.cia.niu.edu or by phone at (800) 345-9472

Package and Group enrollment pricing available!

In Partnership with

The Institute of Internal Auditors

One of an elite group of University partnersSELECTED BY IIA® to offer an online program

SIGN UP NOW!

NIU Continuing Professional Education www.cia.niu.edu

Build your brand when you earn the prestigious Certified Internal Auditor® (CIA®) credential. The CIA® designation is the only globally accepted certification for internal auditors.

Earning the CIA® credential can open new doors of opportunity and earn you

increased credibility and respect within the profession and your organization.

Ultimately the CIA designation will:

• Enhance your knowledge and application of best practices in the industry

• Demonstrate your proficiency and professionalism with internal staff

and external clients

• Distinguish you from your peers

• Establish a foundation for continued improvement and advancement

Holding the CIA® designation is a professional advantage for auditors at any stage of their careers, including chief audit executives, audit managers, audit staff, risk man-agement staff, and students enrolled in an accounting or other business or financial degree program.

Northern Illinois University is one of an elite group of University partners licensed by the Institute of Internal Auditors® (IIA®) to offer the Certified Internal Auditor® (CIA®) Review courses in an online format. Each course is designed for independent study and includes:

• The IIA’s CIA Review Learning System® course print and online study materials

• NIU customized audio-narrated slideshows for each topic of study

• A detailed study plan with course assignments

• Online practice exams

• Exam study tips and tools

• Email and phone access to our CIA® credentialed instructor to respond to individual questions

• A certificate of completion and award of CPE credits

Visit our website www.cia.niu.edu for additional details.

Fall 2014 and Winter/Spring 2015 Course Dates:

CIA Part 1: Internal Audit Basics 9/1 – 10/15/14 and 2/1 – 3/15/15

CIA Part 2: Internal Audit Practice 11/1 – 12/15/14 and 4/1 – 5/15/15

CIA Part 3: Internal Audit Knowledge Elements 1/15/15 – 3/31/15 and 6/1/15 – 8/15/15

Contact Donna Mann at dmann@niu.edu

or 815.732.6249

BUILD YOUR BRANDAdd Value to Your Resumé with the CIA® Credential Behind Your Name!

Questions?Contact Donna Mann at

dmann@niu.edu or 815.732.6249

REGISTER EARLY AND SAVE $100!Register online at www.cia.niu.edu or by phone at (800) 345-9472

Package and Group enrollment pricing available!

In Partnership with

The Institute of Internal Auditors

One of an elite group of University partnersSELECTED BY IIA® to offer an online program

SIGN UP NOW!

NIU Continuing Professional Education www.cia.niu.edu

Build your brand when you earn the prestigious Certified Internal Auditor® (CIA®) credential. The CIA® designation is the only globally accepted certification for internal auditors.

Earning the CIA® credential can open new doors of opportunity and earn you

increased credibility and respect within the profession and your organization.

Ultimately the CIA designation will:

• Enhance your knowledge and application of best practices in the industry

• Demonstrate your proficiency and professionalism with internal staff

and external clients

• Distinguish you from your peers

• Establish a foundation for continued improvement and advancement

Holding the CIA® designation is a professional advantage for auditors at any stage of their careers, including chief audit executives, audit managers, audit staff, risk man-agement staff, and students enrolled in an accounting or other business or financial degree program.

Northern Illinois University is one of an elite group of University partners licensed by the Institute of Internal Auditors® (IIA®) to offer the Certified Internal Auditor® (CIA®) Review courses in an online format. Each course is designed for independent study and includes:

• The IIA’s CIA Review Learning System® course print and online study materials

• NIU customized audio-narrated slideshows for each topic of study

• A detailed study plan with course assignments

• Online practice exams

• Exam study tips and tools

• Email and phone access to our CIA® credentialed instructor to respond to individual questions

• A certificate of completion and award of CPE credits

Visit our website www.cia.niu.edu for additional details.

Fall 2014 and Winter/Spring 2015 Course Dates:

CIA Part 1: Internal Audit Basics 9/1 – 10/15/14 and 2/1 – 3/15/15

CIA Part 2: Internal Audit Practice 11/1 – 12/15/14 and 4/1 – 5/15/15

CIA Part 3: Internal Audit Knowledge Elements 1/15/15 – 3/31/15 and 6/1/15 – 8/15/15

BUILD YOUR BRANDAdd Value to Your Resumé with the CIA® Credential Behind Your Name!

Questions?Contact Donna Mann at

dmann@niu.edu or 815.732.6249

REGISTER EARLY AND SAVE $100!Register online at www.cia.niu.edu or by phone at (800) 345-9472

Package and Group enrollment pricing available!

In Partnership with

The Institute of Internal Auditors

One of an elite group of University partnersSELECTED BY IIA® to offer an online program

SIGN UP NOW!

NIU Continuing Professional Education www.cia.niu.edu

Build your brand when you earn the prestigious Certified Internal Auditor® (CIA®) credential. The CIA® designation is the only globally accepted certification for internal auditors.

Earning the CIA® credential can open new doors of opportunity and earn you

increased credibility and respect within the profession and your organization.

Ultimately the CIA designation will:

• Enhance your knowledge and application of best practices in the industry

• Demonstrate your proficiency and professionalism with internal staff

and external clients

• Distinguish you from your peers

• Establish a foundation for continued improvement and advancement

Holding the CIA® designation is a professional advantage for auditors at any stage of their careers, including chief audit executives, audit managers, audit staff, risk man-agement staff, and students enrolled in an accounting or other business or financial degree program.

Northern Illinois University is one of an elite group of University partners licensed by the Institute of Internal Auditors® (IIA®) to offer the Certified Internal Auditor® (CIA®) Review courses in an online format. Each course is designed for independent study and includes:

• The IIA’s CIA Review Learning System® course print and online study materials

• NIU customized audio-narrated slideshows for each topic of study

• A detailed study plan with course assignments

• Online practice exams

• Exam study tips and tools

• Email and phone access to our CIA® credentialed instructor to respond to individual questions

• A certificate of completion and award of CPE credits

Visit our website www.cia.niu.edu for additional details.

Fall 2014 and Winter/Spring 2015 Course Dates:

CIA Part 1: Internal Audit Basics 9/1 – 10/15/14 and 2/1 – 3/15/15

CIA Part 2: Internal Audit Practice 11/1 – 12/15/14 and 4/1 – 5/15/15

CIA Part 3: Internal Audit Knowledge Elements 1/15/15 – 3/31/15 and 6/1/15 – 8/15/15

8

BUILD YOUR BRANDAdd Value to Your Resumé with the CIA® Credential Behind Your Name!

Questions?Contact Donna Mann at

dmann@niu.edu or 815.732.6249

REGISTER EARLY AND SAVE $100!Register online at www.cia.niu.edu or by phone at (800) 345-9472

Package and Group enrollment pricing available!

In Partnership with

The Institute of Internal Auditors

One of an elite group of University partnersSELECTED BY IIA® to offer an online program

SIGN UP NOW!

NIU Continuing Professional Education www.cia.niu.edu

Build your brand when you earn the prestigious Certified Internal Auditor® (CIA®) credential. The CIA® designation is the only globally accepted certification for internal auditors.

Earning the CIA® credential can open new doors of opportunity and earn you

increased credibility and respect within the profession and your organization.

Ultimately the CIA designation will:

• Enhance your knowledge and application of best practices in the industry

• Demonstrate your proficiency and professionalism with internal staff

and external clients

• Distinguish you from your peers

• Establish a foundation for continued improvement and advancement

Holding the CIA® designation is a professional advantage for auditors at any stage of their careers, including chief audit executives, audit managers, audit staff, risk man-agement staff, and students enrolled in an accounting or other business or financial degree program.

Northern Illinois University is one of an elite group of University partners licensed by the Institute of Internal Auditors® (IIA®) to offer the Certified Internal Auditor® (CIA®) Review courses in an online format. Each course is designed for independent study and includes:

• The IIA’s CIA Review Learning System® course print and online study materials

• NIU customized audio-narrated slideshows for each topic of study

• A detailed study plan with course assignments

• Online practice exams

• Exam study tips and tools

• Email and phone access to our CIA® credentialed instructor to respond to individual questions

• A certificate of completion and award of CPE credits

Visit our website www.cia.niu.edu for additional details.

Fall 2014 and Winter/Spring 2015 Course Dates:

CIA Part 1: Internal Audit Basics 9/1 – 10/15/14 and 2/1 – 3/15/15

CIA Part 2: Internal Audit Practice 11/1 – 12/15/14 and 4/1 – 5/15/15

CIA Part 3: Internal Audit Knowledge Elements 1/15/15 – 3/31/15 and 6/1/15 – 8/15/15

SIG N UP NOW!

Register online at www.cia.niu.eduor by phone at (800) 345-9472

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Everyone should know by now that the most powerful online professional networking tool is LinkedIn. LinkedIn boasts over 300 million users and allows its users to:

Connect. Find. Be found.

Build your professional identity online and stay in touch with colleaguesand classmates.

Power your career.

Discover professional opportunities, business deals, and new ventures.

Learn and share.

Get the latest news, inspiration, and insights you need to be great at what you do.

(source: https://www.linkedin.com/static?key=what_is_linkedin)

So LinkedIn is there for you when you need it. The question for you is when do you need it?

S O C I A L M E D I A U P D A T E

LinkedIn, Professional Networking When You Need It

If you are like most LinkedIn users, you ignore the site and your profile until you unfortunately find yourself in a position where you have to find a new job. Career transition is the time when most people review and update the information in their profile, search job openings, and look to connect with other professionals. It is a sudden flurry of activity that was preceded by a long period of dormancy. Many experts would argue that this approach is ineffective.

The time for professional networking is all the time. It is never too early to start building your network. Consistent networking will allow you to reap many benefits, including:lCreating a peer group to talk about important issues and updates in your profession.lDeveloping long term business contacts that can help you throughout your careerlAccess to opportunities that you might otherwise miss.lAssisting others. The more people you can become a resource for, the more your network will expand, and the more powerful it will become.

So, when do you need LinkedIn? Now.

The IIA Chicago Chapter has a professional networking group within LinkedIn and we encourage you to join: https://www.linkedin.com/groups?home=&gid=1123977

By joining the IIA Chicago Chapter LinkedIn Group you will be presented with: opportunities to learn new skills, opportunities to become a thought leader on a subject, opportunities to present at conferences and workshops, opportunities to meet new and influential people, etc. If you have questions or want additional information about the Chapter’s Social Media initiatives, please contact Steve Randall srandall@vonyaglobal.com or http://www.linkedin.com/profile/view?id=393746

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The Education Committee is responsible for planning the Chicago Chapter’s monthly training events and Annual Seminar. Their role is to provide the chapter with events that provide our membership with quality training at an affordable price. The following events are brought to you by the Chicago Chapter’s Education Committee:

Education Committee Update

Lunch and Learn: Fraud Awareness - Financial Statement Fraud & Supply Chain Forensics

Date: Wednesday, October 22, 2014Time: 11:30 AMCPE: 2 hours

At this session, attendees can expect to:

• Understand the impact of fraud and characteristics of common perpetrators

• Discuss the common types of fraud schemes and red flags across various industries

• Understand how supply chain forensics can help companies to identify fraud, waste and abuse within their supply chain

Practical Six Sigma for Auditors

Date: Friday, October 24, 2014Time: 8:30 A.M. - 12:30 P.M.CPE: 4 hours

This hands-on workshop provides an opportunity for auditors to learn and apply Six Sigma tools to their existing audit work. Six Sigma tools enable quantitative approaches to scoping, planning, testing, and continuous monitoring of risk. Participants will gain a broad understanding of several essential Six Sigma tools, as well as an effective manner to present their quantitatively supported findings in the context of audit work. This session is highly practical, focused on tool application and interpretation.

Quality Assurance Review

(QAR) Training

Date: Friday, November 21, 2014Time: 8:30 A.M. - 12:30 P.M.CPE: 4 hours

This course is designed to provide an understanding of the Institute of Internal Auditors International Professional Practices Framework (IPPF), including the Standards, Practice Advisories, and other IIA resources. You will get an understanding of how the Standards are organized, including what it means to conform to each of the key components of the Attribute and Performance Standards as well as the Code of Ethics.

Other Upcoming Event and Training Dates (More details to be provided as the event nears)

nDecember 4 & 5, 2014: IT Hacking Defense Two Day Conference

nDecember 15, 2014: Forensic Investigations and Audit Approach

nSave the Date: March 30, 2015: IIA Chicago Chapter Annual Seminar Donald E. Stephens Convention Center

To register for these events, or for additional information, please visit the Chapter’s website: https://chapters.theiia.org/chicago

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2014 All Star Conference October 28–30, 2014Caesar’s Palace / Las Vegas, NV

Strategies for Achieving Internal Audit ExcellenceNow in its 10th year, the All Star Conference offers you more. By featuring The IIA’s highest rated presenters from the past year of conferences as ranked by attendees, All Star provides cutting-edge insights on issues impacting the internal audit environment and beyond.

The 2014 All Star Conference looks beyond processes and controls to explore the essential role internal audit can play within the organization by identifying enterprise wide business efficiencies, providing strategic insights that improve business performance, and provoking insights that focus on the risk that matters.

What You’ll Gain:

nEssential information on how to improve internal audit’s efficiency and effectiveness, and streamline processes to drive cost savings across all business units.

nInsights to offer broader risk coverage and the sense of urgency surrounding current and emerging risks.

nTools to create a competitive advantage by contributing to sustainable business improvements.

nStrategic insights toward aligning internal audit’s role with the organization’s key business objectives.

nUp to 18 CPE credits. Additional CPE are available by attending pre-conference sessions.

No other organization offers the breadth and depth of professional development you’ll experience at All Star. Audit professionals at every level of their career will benefit from networking and benchmarking with peers and will return to their organizations fresh and re-energized with strategies for achieving internal audit excellence.

For additional information: https://na.theiia.org/training/conferences/AllStar/Pages/2014-All-Star-Conference.aspx

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Vision University (VU) is The IIA’s premier chief audit executive (CAE) development program. This unique training brings together world-class CAEs and facilitators during four days of instruction and interactive work sessions. The innovative yet practical curriculum is designed by and for CAEs and is constantly updated to reflect current best practices. Gain the tools, techniques, and strategies to prepare yourself and your organization for the future.

The Vision University Candidate: Who Should Attend?VU attracts global participants from a cross-section of industries representing the full spectrum of audit department sizes. CAEs new to their role and those performing the functions of a CAE are encouraged to take this critical step toward augmenting their skills and abilities as an internal audit executive.

Vision University: The New CAE

lExplore a modern application of The IIA’s International Standards for the Professional Practice of Internal Auditing (Standards) imparting the critical need-to-know elements.

lDiscuss amongst peers current auditing trends, practices, and critical issues facing CAEs.

lLearn how to leverage The IIA’s CAE Strategic Framework, with special focus on client relationships, process excellence, and leadership, to help you exceed expectations in areas of risk management, control, and corporate governance.

2014 Vision University Offerings

November 10–13, 2014Hotel Palomar1047 5th AvenueSan Diego, CA 92101 USA

For additional information: https://na.theiia.org/training/Pages/Vision-University-Application.aspx

WHAT IS VISION UNIVERSITY?

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GAM has sold out the last several years, so register early!

2015 General Audit Management ConferenceMarch 9–11, 2015ARIA Resort & Casino / Las Vegas, NV

Improvement, Innovation, and Insight

Now in its 36th year, the General Audit Management (GAM) Conference continues bringing together CAEs and Audit Directors with Audit Committee and Board members, and other executives and stakeholders to glean exclusive insights, discuss challenges and strategies, and network with top auditing executives.

For additional information: https://na.theiia.org/training/conferences/GAM/Pages/2015-GAM-Conference.aspx

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Debra Rae Hopkins, 62, of DeKalb, Illinois, died Monday, September 1, 2014, at OSF St. Anthony Medical Center, Rockford.

Debra was an exemplary member of the IIA Northwest Metro Chicago Chapter, who contributed greatly to the internal audit profession as a great speaker and educator, as well as an admirable professional. As retired director of Northern Illinois University CPA Review and president of Hopkins CPA Knowledge L.L.C., Debra was a frequently requested speaker and professional consultant, known for her lively and animated teaching style. She presented technical issues using real-life examples.

For 27 years as director of the NIU CPA Review, Debra taught thousands of students. Since her retirement from NIU in 2012, she taught advanced auditing and international financial accounting at University of Illinois, Chicago, North Central College, and Northwestern University College of Continuing Studies. She won the NIU Presidential Excellence Award in 2007 and the NIU Presidential Commission “Amazing Woman” Award in 2006. Debra served on the AICPA Grass Roots Committee from 2007 to 2009 and won the AICPA/ICPA Society “Women to Watch” award for her notable contributions to the accounting

In Memory DEBRA R. HOPKINS

(November 19, 1951 - September 1, 2014)

profession, and to the development of women as leaders in 2005 and was the Illinois CPA Society’s Outstanding Accounting Educator in 1997.

Debra was a member of American Professional Accounting Certification Provider’s Association (an organization that works with the AICPA on CPA exam issues) from 1999, serving as president from 2004-2012. She worked with the College of DuPage Business Advisory Board from 2005-2012, and was awarded for her outstanding service. Debra served on the Board of Directors of the Illinois CPA Society from 2001-2007, was an officer from 2003-2006, audit committee chair 2004-2006, senior vice chair 2006-2007, and chairperson 2007-2008. She was an AICPA council representative 2000-2001 and 2007-2008. She also served on the Illinois CPA Society Audit and Assurances Services Committee as chairperson from 1999-2001 and on the Audit Committee from 2001-2006.

In lieu of flowers, memorials can be made to the Debra Hopkins Memorial Fund, sent to the Hopkins Family in care of Anderson Funeral Home, P.O. Box 605, 2011 South Fourth Street, DeKalb, IL 60115.

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Connect with the IIA Chicago Chapter

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Facebook:www.facebook.com/IIAChicago

LinkedIn:www.linkedin.com/groups/Institute-Internal-Auditors-IIA-Chicago-1123977

Twitter:@IIAChicago

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