Institute of Internal Auditors

Indianapolis Chapter

Full Day Seminar (Lunch Included)

Fraud Issues & Answers for Internal Auditors:
The Auditor’s Role in Fraud Prevention, Detection and Handling

9 hours CPE

Take advantage of this 9 hour CPE opportunity to increase your awareness about Fraud topics and our role as Internal Auditors. In addition, we will have a special guest, Tim Berry (Indiana State Auditor) who will provide a governmental update during lunch.

Speakers: John J. Hall, CPA

                Tim Berry, Indiana State Auditor (1 hour)

  Date: Wednesday, January 25, 2012

  Time: 8:00 AM to 5:00 PM

  Price: IIA/AGA/ACFE members: $140 and Non-members: $160 (includes lunch)

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Registration deadline is Tuesday, January 20 at 5:00pm

Cancellation deadline is Wednesday, January 18 at 5:00pm

Summary

Most managers and Board members expect that audit groups possess and can effectively deploy fraudhandling expertise. As a result, professional auditors are working harder than ever to keep up with changing management expectations, build on their fraud risk management skills, and be an effective part of the organization’s fight against fraud.

 But even very experienced auditors will acknowledge that handling wrongdoing, misconduct and fraud issues, while interesting, is an area of great uncertainty and risk. What is needed is a place for auditors at all levels to learn the skills necessary to respond appropriately and effectively to these challenges. This seminar provides that opportunity.

 Learning Objectives

This course for auditing professionals will teach participants how to:

• Assist management with fraud prevention and detection efforts
• Identify fraud exposures and risks
• Detect fraud and misconduct
• Handle fraud incidents

Program Content

• The auditor’s role in fraud risk management
• What the professional standards say (and what they don’t say)
• Fraud  Prevention: helping management create an anti--‐fraud environment
• Fraud risk assessment during audit planning
• Creating a fraud risk inventory for your organization
• Fraud discovery skills for internal auditors
• Fraud examples and the impact on audit planning, work programs and controls
• High payback audit steps
• Monitoring suggestions
• The internal auditor’s role in investigations 
• Helping management correct control weaknesses Instructional Method, Prog

Speaker Biographies 

John J. Hall, CPA

Mr. Hall is a business and motivational speaker, seminar instructor and consultant. He helps program participants and clients:

• Enhance personal, professional andorganizational performance
• Identify and improve areas of exposure to business risk, wrongdoing, and fraud
• Create a comprehensive anti-fraud environment
• Assess and enhance internal controls

Speaking, training, consulting and coaching areas include:

• Personal and work group effectiveness and motivation
• Fraud prevention, early detection and incident response
• Communication and interpersonal behavior skills enhancement, including:
• Establishing rapport
• Interviewing and listening
• Speaking and presenting
• Selling ideas
• Influencing others to take action
• Consulting skills for professional auditors
• Compliance reviews of construction and other third--‐party contracts

 Mr. Hall has over 30 years of experience as a professional speaker, consultant, and business owner. In addition to operating his own businesses since 1990, he has worked in leadership positions in large corporations and international public accounting firms. John is a member of the National Speakers Association, the American Institute of CPAs, and the Institute of Internal Auditors. John is a Trustee of the Keystone Center in Keystone Colorado and chairs the Audit Committee (www.keystone.org).

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Tim Berry, Indiana Auditor of State

Elected Indiana’s 54^th State Auditor in November of 2006, taking office January 1, 2007, Tim Berry serves as the Chief Financial Officer for the State of Indiana. Auditor Berry is a committed fiscal conservative who keeps taxpayers first in recognizing that they deserve a government that is equipped to do more with less. As Allen County treasurer, Berry cut budget expenditures to the lowest cost per capita of any Treasurer in Indiana.  During his tenure as State Treasurer, Tim returned 12% of his budget appropriation back to the state general fund. Since taking office as State Auditor, he has cut office expenditures 17% to levels consistent with year 2000 spending.

Under the leadership of Tim Berry, in late fall of 2009 Indiana successfully implemented a fully integrated financial system – the first of its kind for all of Indiana government, providing more efficient and transparent government. Additionally, Indiana’s annual financial reports have received the Certificate of Achievement for Excellence in Financial Reporting – the highest standard available - from the Government Finance Officers Association each year of Berry’s tenure as State Auditor.  Berry’s initiatives in financial education and literacy have earned him recognition from the National Association of Government Defined Contribution plans.  During his inauguration speech Berry said, “As Auditor we won’t often make headlines, but we will continue to listen – continue to lead – continue to make a difference for all Hoosiers”. This system transformed the ability of the public to see how their money is being spent through the Indiana Transparency Portal, which can be found at www.in.gov/itp. People can view items as diverse as employee salaries and local government financial records.

Prior to his election as State Auditor, Tim served two terms as Indiana’s Treasurer.  In that role, Berry earned a record $1.7 billion for Hoosier taxpayers through the prudent investment of state dollars.  Berry led the effort to obtain favorable legislation providing tax incentives for families saving for college through the CollegeChoice 529 plan.  Through this 20% tax credit on contributions, more families will be financially prepared to meet the cost of higher education.  Through his leadership as chair of the Wireless 911 Advisory Board, Indiana was recognized as a national leader for wireless 911 network technology. 

Tim Berry’s leadership has been recognized by many in Indiana and across the country.  Berry was awarded the 2005 Jesse Unruh award, given to the nation’s most outstanding state treasurer.  Additionally, he was presented the 2003 Presidential Award of Excellence by the Association of Public Safety Officials, and the recipient of the American Heart Association’s “Heartsaver Award”.  Berry served as President of the National Association of State Treasurers and Chair of the National College Savings Plans Network.  His efforts led to recognition by the State of Israel Bonds in 2003 and the Indianapolis Business Journal recognized Tim with their “40 under 40” designation in 2000.

As Auditor, Tim serves as the Chief Financial Officer for the State of Indiana. As CFO his most important obligations involve accounting for all of the State's funds, overseeing and distributing Local Governments tax distributions, paying the State's bills and paying the State's employees. Tim also serves as administrator to the Indiana Deferred Compensation Plan working to help secure a better retirement future for all State workers. Tim and his staff are committed to providing quality service to everyone who conducts business with this office.