Derby City

Welcome to the 2021-2022 IIA Louisville Fiscal year. I am excited to be serving you this year as your IIA President. This past year has been a challenge for all, with the public health emergency and the impacts to our organizations. As we look to this new year, we are faced with challenges that seem never-ending. In order to meet the needs of all of our members, the IIA Louisville Chapter will move to a Hybrid format for meetings this year. Dean Dorton has graciously offered to host our meetings in their training rooms at their offices on Shelby Campus. Note that lunch will be provided for those who attend the in-person meetings. We will also be utilizing Zoom to facilitate the option of on-line participation. As we negotiate the current Delta variant of COVID-19, we will re-evaluate the meeting methods as needed and dictated by Federal, State or Local mandates. We are looking forward to hopefully seeing many of you in person. For those new to our chapter, the Louisville Chapter of the IIA serves the Louisville Metro and Southern Indiana area. The Chapter has 250+ current members. This year, we will be offering nine monthly meetings which will be held on the second Tuesday of every month from 12-1pm and will provide one hour of CPE. We will also be offering three 2-hour CPE meetings throughout the year as well as seminars to meet all of your CPE needs. The team has already put together some great CPE opportunities for the fall. Our first monthly meeting is scheduled for Tuesday September 14th with Victoria Alexander-Carney, M.S.Ed., Vice President of Learning & Development and Spirituality at Signature Healthcare, LLC. Refer to event details and registration link on page 2. Lastly, we have several opportunities for chapter members to volunteer. Some of the committee positions open include the newsletter editor, membership co-chair and seminar chair. Volunteering for the IIA is easy and a great way to meet fellow members and promote our profession. If you are interested in volunteering or have question on what specific responsibilities include, please reach out to me, Shawn Stevison or the chapter email chapter17@iiachapters.org . We are looking forward to a great year! Shawn Stevison

The newsletter will be published monthly from September 2021 through May 2022. If you have a request for a submission please email the information to llopez49@humana.com and your submission will be included in the next month’s issue.

Twitter Page LinkedIn Group AuditChannel Facebook Page Chapter Homepage

Louisville IIA Chapter News Disclosures

The Louisville Chapter has achieved Gold/Platinum status for the 2020-2021 Chapter Year. We have achieved Gold status for 19 years and Platinum status for 9 years. Chapters reach Platinum status after achieving Gold for 10 years in a row. The next level is Ruby, and that will be reached once we achieve Gold for 20 years. CAP requirements have not changed for the 2021-2022 year. Our Chapter leadership will continue to provide all the usual services to our membership and the community such as hosting monthly meetings and seminars for CPE, Junior Achievement volunteer day, social events, promoting certifications, and offering student scholarships. Your continued support and participation in Chapter events is always appreciated.

Page 2 Derby City Disclosures

Date: Tuesday, September 14th, 2021

Meeting Time: 12:00 - 1:00 p.m. Presenter(s): Victoria Alexander-Carney, M.S.Ed., Vice President of Learning & Development and Spirituality at Signature Healthcare, LLC

CPE credits: 1 hour

Cost: Virtual Member Price: $10

Virtual Non-Member Price: $15

In-Person Member Price: $20

In-Person Non-Member Price: $25

Location: Virtual — Register below to receive call in details In-Person @ Dean Dorton (ShelbyHurst Campus) 435 N Whittington Pkwy Suite 400, Louisville, KY 40222 Registration: Here

Ways To Be More Inclusive in the Workplace The social unrest events that occurred last year along with others challenged us to rethink our actions and work to strengthen our culture of inclusion, diversity, and equity. As many of us are aware of a need to improve in this area, many companies and individuals are struggling to find ways to improve in this area. This presentation will focus on inclusion and discuss the actions we take that can lead to exclusion, many times without the realization of those involved. You will learn ways to be focused on being purposefully inclusive so you can implement it in the workplace and personal encounters. Please register for this session by Monday, September 13th.

Victoria Alexander-Carney, M.S.Ed

Victoria is an avid learning professional with nearly 20 years of talent management experience. From coaching executives and business owners to designing and facilitating learning journeys, Victoria has helped companies and individual leaders successfully navigate the talent cycle. Most recently, she’s led initiatives for implementing systematic coaching and embedding DEI into company culture. Victoria earned her B.A. in Political Science from the University of Louisville

and her M.S. in Education from the University of Wisconsin-Stout.

The in-person monthly meeting includes your choice of one Jimmy John’s lunch box selection, includ-ing cookie and chip option:

Pepe Made with hand-sliced smoked ham and provolo-ne cheese, topped with mayo and fresh-sliced lettuce and tomato.

Big John Made with hand-sliced roast beef and topped with mayo, fresh-sliced lettuce and tomato.

Totally Tuna Made with house-made tuna salad topped with fresh lettuce, cucumber and tomato.

Turkey Tom Made with hand-sliced turkey breast and topped with mayo, fresh-sliced lettuce and tomato.

Vito Made with hand-sliced salami, capicola, & provo-lone cheese topped with fresh-sliced lettuce, toma-to, onion, oil & vinegar and oregano-basil.

Veggie Made with hand-sliced provolone cheese & tasty avocado spread, topped with mayo, fresh-sliced lettuce, tomato and cu-cumber.

JJ BLT

Made with applewood smoked bacon topped with mayo, fresh-sliced lettuce and tomato.

Chip Options: BBQ, Regular, or Salt and Vinegar

Cookie Options:

Oatmeal or Chocolate Chip

Please be sure to visit the IIA Louisville Chapter’s career section to see any current job opportunities including position details in the area. If you have a job to post, please contact the newsletter editor and/or Webmaster to have it included in newsletter and website.

Page 3 Derby City Disclosures

Due to COVID-19, in an effort to help keep the coronavirus cases down by social distancing we will be holding our 2021-2022 monthly meetings both in-person and vir-tually. You will still re-ceive the CPE hour if you attend either method. Register for this meeting and you will receive the call in details.

Additionally, if you have registered and attended the past monthly meetings and have not received your CPE cer-tificate, please reach out to Lee Taylor, Shawn Stevison, or Jodi Renn.

The IIA Louisville Chapter offers numerous benefits for members and we are always looking for new members to join our chapter. If you know someone who would like to join, please reach out to Lee Taylor for more information. Some benefits of joining the IIA Louisville Chapter are as follows:

Members-only rates on conferences, seminars, and executive development through Vision University can save you hundreds of dollars.

Exclusive monthly Members-only Webinars are part of your core membership benefits and provide you with CPE units without ever leaving your desk or paying additional fees.

Members-only rates for other specialty webinars and self-study courses provide easy access to advance your knowledge from the convenience of your own desktop.

And much more!

Welcome back! Hope everyone has had an enjoyable summer amidst the battle against COVID-19. We are excited to get the 2021-2022 IIA Chapter year started, chapter officers have been hard at work putting together a great lineup of programming for the year.

As all the monthly meetings will be held in a hybrid format (in-person and virtual option) this chapter year, there will not be any subscription memberships available to purchase. You can choose to attend the monthly sessions either in-person or virtually and pay only for the sessions you would like to attend. Currently, the members-only cost is $10 per session (virtually) or $20 (in-person). For non-members, the cost is $15 per session (virtually) or $25 (in-person). For each session you attend, you get one CPE hour (up to 9 CPE hours worth). There will be polling questions at each meeting to keep track of your attendance.

Lesley Burnette and Shawn Stevison have been reaching out to the local universities to arrange for the IIA to engage with students. Connections have been made with professors at Bellarmine, IUS, UofL, and Spencerian. The Universities are interested in having Internal Auditors from various industries speak with the students either during classes or at academic club meetings. This would be a time commitment of 45 minutes to 1.5 hours. We invite any IIA members to reach out to Lesley and Shawn if you are interested in volunteering to speak with college students about the field of Internal Audit or other related topics during the Fall 2021 or Spring 2022 semesters.

Page 4 Derby City Disclosures

NEW MEMBERS

Bradley Middleton

Zachary Greene

John Willis

Haley Reinhardt

Phillip Stuecker

MEMBER

ANNIVERSARY

5 years

Timothy Anderson

10 years Christal Lunz

Oksana Smallwood

15 years Ryan Pierce Aaron Fruit

20 years

Michelle Beumel

35 years Glenn Reed

40 years

Ann Bauer

London Lopez, CIA

Please join us in congratulating London Lopez on becoming a Certified Internal Auditor

(CIA)! She completed the requirements for the Certified Internal Auditor (CIA) and has

therefore earned the CIA designation as of May 19th, 2021.

The IIA Is Waiving CRMA Application Fee Through Dec. 31, 2021 As a core responsibility, The Institute of Internal Auditors (IIA) is focused on providing internal audit practitioners with opportunities to gain, strengthen, and showcase their risk management assurance capabilities with the newly updated Certification in Risk Management Assurance® (CRMA®).

You can apply into the new program and register for the exam now. Testing starts in October.

Learn more about the CRMA program and take advantage of free application through Dec. 31, 2021. IIA Offering Special CIA Challenge Exam to CPA Holders For a limited time, The IIA is offering a one-part challenge exam to become a Certified Internal Auditor® (CIA®). For more information about the CIA Challenge Exam and how to apply, please visit the CIA Challenge Exam page.

New! Register for Certification Q&A Session Prospective and current IIA certification candidates, join us for an informal 30-minute webinar! A

certification expert will be available to answer your questions about certification programs, the

Certification Candidate Management System (CCMS), and more. Register for the Certification Q&A

Webinar to hear from The IIA’s Global Certifications team and learn study methods to prepare for IIA

exams.***

Prepare for the CIA® Exam with Confidence & Convenience. Choose The IIA’s CIA Learning System®. Prepare to pass the Certified Internal Auditor® (CIA®) exam and arm yourself with critical tools and

knowledge to excel in your internal audit career. The IIA’s CIA Learning System combines comprehensive

reading materials, in printed and e-book formats, with interactive online study tools to teach and reinforce

the entire 3-part CIA exam syllabus in a flexible, on-demand program.

To learn more about the CIA designation and The IIA’s CIA Learning System, view a recording of the popular free webinar, Increase Your Chances of Passing the CIA Exam. You can also get a head start on your studies with 10 Free Practice Questions.

Members save up to $100! Order today and save!

In addition, if you are looking to start studying for the CIA exam, take a look at all the classes the IIA has to offer. Visit the IIA’s website here and the seminars listed on the National News section of this newsletter for further details. CIA Exam IIA Louisville Members Discount on Gleim Study Materials IIA Louisville members are eligible for up to a 20% discount on Gleim CIA study materials. Visit the Members Only page of the Louisville Chapter site for additional details. You will need to sign in with your IIA credentials to see the page.

Page 5 Derby City Disclosures

Date Location

Sept. 1-10, 2021 Online

Sept. 7-10, 2021 Online

Sept. 7-16, 2021 Online

Sept. 13-24, 2021 Online

Sept. 15-24, 2021 Online

Sept. 20-23, 2021 Online

Sept. 27-29, 2021 Online

Sept. 27-28, 2021 Online & Washington, DC

FSAC Webinar: Culture

and Conduct Risk: Internal Audit’s

Response September 8, 2021 1:00—2:00 p.m. ET

PSAC Webinar: Applying the Three Lines Model in

the Public Sector September 9, 2021 1:00—2:00 p.m. ET

Members-only Webinar: Auditing Cybersecurity

Operations September 21, 2021 3:30—4:30 p.m. ET

CPE credit is available for those attending live broadcasts of IIA members-only webinars and guidance briefings, and completing polling questions. Registration is required.

Challenges to Adopting Data Analytics Click Here for the full article. In this article, the Internal Auditor magazine staff collaborated and shared their knowledge and insights on how issues such as poor data governance and the wrong mindset can hinder internal audit’s ability to move forward. Here's an excerpt from the staff’s latest post: What are the biggest limitations internal auditors are facing in implementing data analytics?

Thomasson stated that there are four common blockers to implementation. First, getting access to complete data populations is difficult for many teams. It’s imperative that IT management understand why it’s necessary. IT’s main issues with granting data access include concerns around system performance impact, cyber and data security, and a lack of knowledge or comfort with what will be done with the data. The second block is getting management buy-in. Investing resources — both time and money — in a project or activity requires buy-in and approval. Many auditors have trouble getting IT and even their own management team to invest the necessary resources in their analytics projects. Next, starting a data analytics program requires specialized knowledge and skills that are often hard to come by — especially in the audit world. If a team doesn’t have the required skills, it needs to either invest in training or hire external help — both of which cost money and involve further internal approvals. The final blocker is budget. Internal audit has always been seen as a cost center, which constrains the amount of money the team can access. There’s also difficulty in providing specific ROI and value calculations when creating a business case. As a result, it can be almost impossible to get budget approval to build an analytics program.

Shawn Stevison

Jodi Renn Jefferson County Public Schools

Jenni Schelling Louisville Water Company

Marcie Smitha Park Community Credit Union

Lee Taylor Commonwealth Bank and Trust Company

OPEN

Lesley Burnette Republic Bank & Trust Company

London Lopez Humana, Inc. Myhanh Pham Farm Credit Mid-America

Lesley Burnette Republic Bank & Trust Company

Bob Aemmer LG&E and KU Energy

Shawn Stevison

May Porter Louisville Metro Government

Andrea Higgins Robert Half Management Resources Myhanh Pham Farm Credit Mid-America

OPEN

OPEN

Ann Bauer Republic Bank

Andrea Higgins Robert Half Management Resources

Sonja Heath Humana, Inc.

Aaron Fruit Humana, Inc.

Area employers are eligible for free recruitment postings on the Louisville IIA website and in the monthly newsletter, IF at least one employee is a member of the local chapter. Newsletter advertisement rates for employers without a local chapter member and executive search firms are: $50 – ½ page; $100 – full page. Paid advertisements also include posting of recruitment information on the chapter website for one month. Payments must be received prior to posting. For more information, please email the Louisville IIA Chapter President or Secretary.

Chris Elmore (Thru 12/31/2022) Churchill Downs London Lopez (Thru 12/31/2022) Humana, Inc. Oksana Smallwood (Thru 12/31/2021) GE Appliances, a Haier Company Robert Stutsman (Thru 12/31/2021) Park Community Credit Union

Erin Bukowski (Thru 5/31/2022) Citizens Union Bank Catie Knable (Thru 5/31/2023) Caesars Entertainment

Page 6 Derby City Disclosures

OFFICERS AND COMMITTEE CHAIRPERSONS

BOARD OF GOVERNORS

P.O. Box 70092 Louisville, KY 40270