PRESIDENT. Springfield Audit Trails. The Institute of Internal Auditors Springfield Chapter. from the. Inside This Month s Newsletter

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1 Springfield Audit Trails The Institute of Internal Auditors Springfield Chapter Inside This Month s Newsletter Holiday Gifts in the Workplace Page SIAAB Fall Government Conference Photos Page 3 Job Opening Page 4 Officer & Board Nominations Coming Soon Page 4 Chapter Officials Page 5 from the I hope everyone enjoyed the SIAAB Fall Conference! Thank you, Jay Wagner, SIAAB Conference Coordinator, for providing us with another quality training this year! Please be sure to reply to the survey he sent out and provide any suggestions you may have for future trainings. As I mentioned in my October article, Alex Deal organized a table at the UIS Accounting Career Fair held in September. Alex, Tad Huskey, and I attended the table that day, and we had quite a few accounting students come by and talk to us. That gave us a chance to promote the profession and introduce the students to the Institute of Internal Auditors (IIA). Fifteen students were interested in an IIA membership, and Alex randomly selected two of them to receive a complimentary membership. Another recent outreach activity by the Springfield Chapter Board was presenting at Dr. Nations Master s class, Accounting 512 Internal Auditing at UIS. Tracy Allen spoke on October 4 th about the topic Internal Controls, and I presented on October 26 th on IT Risks and Controls. I encourage our members to reach out to the local higher education institutions or their alma maters to see if they would like a guest speaker on topics related to internal auditing. I have reached out to Illinois College, and they might be interested in hearing from us, too. If you have any other suggestions on outreach activities, please let me know all suggestions are welcome. Our next issue of the Springfield Audit Trails will be in January. I hope everyone has a peaceful and joyful Holiday season! 1

2 HOLIDAY GIFTS IN THE WORKPLACE Alison Green Ask A Manager The following article was originally published on the Ask a Manager website by the blog s creator Alison Green. It has been reprinted with her permission. Wondering whether you need to get the boss a holiday gift this year? Or how to navigate your office s Secret Santa? We ve got answers to all your office holiday gift-giving dilemmas. First and foremost, though, know that holiday gifts at work are very much a case of know your office. Something that s the norm in one office might be out of sync with the culture in another. So before you take any advice, even from us, think about what you know about your office, your coworkers, and your boss. That caveat aside, here s our advice on some of the most common office gift-giving quandaries that come up at this time of year. Am I expected to get my boss a gift for the holidays? According to etiquette rules, no. Gifts in a workplace should flow downward, not upward; gifts from bosses to employees are fine, but employees shouldn t give gifts to those above them. Without this rule, people might feel obligated to purchase gifts when they don t want to or can t afford to, and managers should never benefit from the power dynamic in that way. That said, there are offices where everyone tends to gift upwards, and if you work in one of those, you ll need to decide whether you re willing to be the person who bucks the trend. In that case, a good compromise might be a card and some homemade treats. What if I m being pressured to contribute to a group gift and I can t afford it or don t want to? It s reasonable to say, Unfortunately my budget won t allow me to chip in. Sometimes, though, it s easier to just chip in $5 and be done with it. However, if your team is planning something extravagant, it s worth speaking up. I once heard from a reader whose whole office was being pressured to fund a ski vacation for the CEO and his whole family. Be the one to put the brakes on something like that and you ll likely earn the gratitude of lots of other coworkers. Do I have to participate in the office Secret Santa? And what s a good gift if I do? Again, know your office. In some offices, Secret Santa and other gift exchanges are opt-in, while in others you d be seen as the Grinch if you didn t participate. But it s okay to go simple. Food or gift cards, especially to a coffee shop or nearby restaurant that the recipient frequents, are good choices. Bottles of wine are often appreciated and are easily re-gifted if they re not the recipient s taste but be sure not to give it to a recovering alcoholic, a Muslim, or someone else known not to drink. As a general rule, stay away from gifts intended to be put on the recipient s body such as perfume, lotion, clothes, or jewelry which aren t appropriate for work because they re too personal. I m a manager. Should I get my employees gifts? In general, no, managers don t need to get their staff gifts. But if it s the norm in your office for managers to do something for their staff, you d want to factor that into your decision. However, this is another time when bringing in baked goods for people to share can be a good solution. What if a coworker gives me a gift and I didn t get them anything? It s fine to simply give a sincere and gracious thank you. Most offices have a mix of gift-givers and non-gift givers. But if you re going to feel awkward about not reciprocating, it s easy to follow up with something small like a gift card for the local coffee shop or cookies. 2

3 2018 SIAAB FALL GOVERNMENT AUDITING CONFERENCE GALLERY SIAAB Conference Coordinator Jay Wagner, center, poses with conference speakers Diane Saltoun, left, and Patricia McConnell, right. Saltoun and McConnell focused on ethical lapses in State government. Springfield IIA Chapter First Vice President Nikki Lanier introduces the last portion of the Conference, IT Audit Controls for Non-IT Auditors, as Senior Consultant Amy Diestler of Baker Tilly Virchow Krause waits in the background. Springfield IIA Chapter member Pat Reserva, left, asks a question of Chad Fornoff, right, during the first presentation of the Conference. Fornoff opened the Conference speaking on the Revolving Door Prohibition. Conference attendees were able to sit in on any of the three internal auditor roundtables held at the Northfield Inn on Thursday, October 25. Above, Tad Huskey and Sally Burton moderated the Staff Auditor roundtable. The other roundtables held were for Chief Internal Auditors, moderated by Leighann Manning, and IT Auditors, moderated by Doug Tinch. Executive Director Jane Stricklin of the Legislative Audit Commission (LAC) speaks to conference attendees on the LAC s relationships with State agencies. Dennis Dycus presented four separate sessions on Wednesday, October 24 at the Conference. Above, Dycus discusses his Big Monkey Theory during Evaluating Internal Controls. Conference attendees socialize before the beginning of the day s sessions. Special Thanks to Margie Weiffenbach for taking some of the pictures used above and posting them to the Chapter s Facebook Page. Join our Group to see more! 3

4 The Springfield IIA Chapter sends our deepest condolences to member Kelvin Coburn and his family in the recent passing of his mother. We hope you have all the support, care, and strength you need while coping with this loss. ISBE is currently seeking an Internal Auditor III. For more information, please visit /ISBECareers/CareerDispl ayform.aspx?id=273. Officer & Board nominations coming soon The Springfield Chapter needs your help and input. The Chapter is developing a new process for nominating people to be Chapter Officers and members of the Board of Governors. In coming weeks, the Chapter will be sending out a call for nominations for the current open seat on the Board of Governors and nominations for the Officer roles to be elected next April and begin serving in the next Chapter year. In accordance with Chapter Bylaws, a Nomination Committee has been formed, which consists of the Chapter President and 1 st Vice President and Catherine Madonia, who has never before served as a Board member, to develop a new process to nominate Officers and conduct the annual election. The Committee has discussed providing a description of each Officer role to members as well as skills and experience they believe would be valuable to the Office holder and providing a form for people to nominate someone else or themselves for an open Officer role. The Committee can then provide a profile of each candidate to Chapter members to consider when selecting their future Officer team. The role of Governor in the Springfield Chapter is one of oversite and mentoring of the existing and upcoming Chapter Officers. Chapter Governors, along with the Officers, physically meet at least twice each year in the summer months. At the meetings, the Board considers the proposed slate of speakers for the upcoming training year, annual chapter budget, any changes to the role and procedures for each chapter officer, proposed bylaw changes, and any other significant operational changes, such as billing agencies for training instead of charging attendees directly for training or adopting the use of training registration software, such as the Event Management Tool currently in use. Governors must be available to help Officers, provide advice or assist with training, help with planning training, propose changes to bylaws and policies - See Nominations on Pg. 5 for article continuation Springfield Chapter of the Institute of Internal Auditors Program Schedule You May Pay With a Credit Card Date Speaker Program Hours CPE Members Non- Members January 24, 2018 State Disaster 12:30 4:15 4 $70 $85 Farm Recovery/Malware February 28, 2019 Chris Fraud 12:30 4:15 4 $70 $85 Trifiletti March 28, 2019 Danny TBD 8:30 4:15 7 $105 $130 Goldberg April 30, 2018 Ceciliana Agile Auditing or TBD 8:30 4:15 7 $105 $130 May 23, 2019 Phil Bertram Operational Auditing 12:30 4:15 4 $70 $85 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. 4

5 Nominations Continued from Pg. 4 Chapter Officials OFFICERS Satu.Allen2@illinois.gov Administration Jay Wagner, CIA, CFE, CISA Audit Sharon Bohac, CPA Nominating Nikki Lanier, CPA FIRST VICE Nikki.Lanier@illinois.gov Nikki Lanier, CPA Programs & Seminars Nikki Lanier, CPA Seminar Registration Sally Burton SECOND VICE Alex Deal, CGAP Academic Relations Carol Jessup, PhD, CPA, CFE Membership Margie Weiffenbach Certifications Program Alex Deal, CGAP SECRETARY Directory, Distribution, & Public Relations Sally Burton ADeal@illinoistreasurer.gov SBurton@isbe.net Sally Burton Newsletter Lisa Kaigh Photographer Cary Franks, MS, CISA Webmaster TREASURERS Amy DeWeese, CPA Amy.DeWeese@illinois.gov Tad Huskey, CPA, CGFM, CGAP THuskey@atg.state.il.us Historian Seeking Volunteer GOVERNORS Term Expiring: 2018 Bill Sampias, CISA, CFSA Denise Behl, CIA Amy Lyons Stephen D. Kirk, CIA, CGAP Lesslie D. Morgan, CIA, CPA, CGFM, CISA Barbara Ringler, CPA Rusti Cummings, CPA M. Ameen Dada, CGFM Tracy Allen, CPA, CISA PAST S Vacant Leighann Manning, CGAP H. Jay Wagner, CIA, CFE, CISA The Board of Governors consists of all Officers, Governors, and the Past President. 5