2005-2006:

Date	Speaker and Topic	CPEs
June 30, 2006 8:00 am to 2:00 pm $40.00	PIP Your Internal Audit Function (IIA Sponsored Seminar) When: Friday, June 30, 2006 Topic: No, this is not a new MTV Series, but you will definitely feel like it when you attend this event! The theme for this seminar is PIP. Prevention, Investigation, and Prosecution of Fraud in your organization. How are we going to do this? 1. Fraud Prevention in the Treasury Function. Speakers: Jodi Leslie Vice President and Treasury Management Officer Doreen Langley Vice President and Treasury Management Officer Both from PNC will discuss fraud within the Treasury Function. This part of the program will last for approximately two hours. 2. Investigation of Fraud George Mullins, CFE will be presenting on Conflicts of Interest and Red Flags in Internal Audit. George is a new Louisvillian who is moving from Birmingham, Alabama. He has a vast amount of experience, which includes working with Health South, the Internal Revenue Service, and presenting at numerous presentations to National, and Regional Conferences. His presentations will last approximately 1 hour each. I really look forward to introducing George to Louisville and the IIA Chapter. 3. Prosecution of Fraud Okay, now that we have found out Fraud has occurred. (If at ALL !!) We are going to have Brett Johnson, Supervisory Special Agent from the FBI speak on what to do with these fraudsters. Brett is a graduate of Indiana University School of Law and has been with the FBI since 1989. Where: Jefferson Club, PNC Bank Building, Downtown Louisville. Cost: $40, includes 5 CPE’s, Continental Breakfast and a lunch Buffet. Registration: 8:00 to 8:30a.m. Lunch: approximately 11:30 a.m. RSVP to Carrie at Carrie.Ramsey@eon-us.com].on.com Please do so by June 26th. Questions: Dwayne K. Dowell (502) 931.2422	5
	Prior 2005-2006 Meetings:
September 13, 2005 $20.00	Topic: Sarbanes Oxley Speaker:  Dave Calzi from Ernst and Young About Dave . . . Dave is a partner in the assurance division of the Louisville office of Ernst & Young LLP. Dave has extensive experience consulting and providing assurance services to businesses varying in size including those that are public with international operations as well as companies that are private or closely held. Industries that Dave serves include manufacturing, real estate, wholesale distribution and other service industries. A graduate of the Universtity of Kentucky, Dave is also the Partner in charge of Recruiting for the Louisville office and for the past two years has been responsible for the Kentucky division of the Ernst & Young Southern Ohio/Kentucky Entrepreneur of the Year Award Program. He is also involved in the community and presently serves on the board of directors of Hospice of Louisville, the Muhammad Ali Center and the advisory board of the University of Kentucky School of Accounting. RSVP by THURSDAY, September 8, 2005 to: Carrie Ramsey Office: 627-4738 Fax: 217-2447 Carrie.ramsey@lgeenergy.com	1
October 11, 2005 $20.00	Topic: Legal Issues Involving Corporate Compliance Programs Speaker:  Kathie McDonald-McClure from Wyatt, Tarrent & Combs About Kathie . . . Kathie McDonald-McClure is a member of the Wyatt, Tarrant and Combs Health Care Practice Group. She concentrates her practice in health care with an emphasis on risk management and compliance, long term care in hospitals and nursing homes, and alternative dispute resolution. Ms. McDonald-McClure is a member of the Kentucky, Louisville and American Bar Associations, Kentucky and American Societies of Healthcare Risk Management, American Health Lawyers Association, and Association for Conflict Resolution. Before joining the Firm, she had been in private practice as a mediator, preceded by a legal career with Kindred Healthcare, one of the nation's largest healthcare providers with hospitals, nursing homes, ancillary therapy, and institutional pharmacy services across the country. Her last position at Kindred was Vice President and Counsel of Liability Claims, with responsibility for the department that administered the company's general and professional liability claims.	1
November 8, 2005 $20.00	Topic: Enterprise Risk Management (ERM) Speakers:  James Rose and Jennifer Cutsinger from Humana About James... James Rose’s background includes over fourteen years of audit and consulting work on operations, performance, compliance, risk management, and financial matters. James holds a Master of Arts in Diplomacy from the Patterson School of Diplomacy and International Commerce as well as a Bachelor of Science in Accounting from the University of Kentucky. He is a licensed Certified Public Accountant and in addition, holds CIA, CISA, and CISSP certifications. His post-graduate education includes classes in multivariate statistics, research methods, and database design. About Jennifer . . . Jennifer Cutsinger’s professional experience includes 10 years of tax, audit, and consulting work spanning various industries. Jennifer completed a Masters in Business Administration and a Bachelors of Science in Accounting from the University of Louisville. Jennifer is also a licensed Certified Public Accountant.	1
December 2, 2005 IIA , ISAC, CFA Members: $125.00 Others: $150.00	Topic: Mr. Excel Seminar! Speaker:  MR. EXCEL If you don't already, wouldn't it be fun to wow your friends and family members with your knowledge of Excel at all of the upcoming holiday parties and office parties? Well, this is your chance to get an immediate boost of your current Excel Knowledge. Check out www.mrexcel.com for more information. MR. EXCEL IS COMING TO TOWN…. Oh! You better watch out, You better not cry, You better not pout, I'm telling you why: Mr. Excel is coming to town! Sorry, I am just getting into the Holiday Spirit early. : Date: Friday, December 2, 2005 Place: Courtyard by Marriott - Louisville Airport 819 Phillips Lane Louisville KY 40209 Telephone: (502)368-5678 Time: 8:30 am to 3:30 p.m. 1 Hour Lunch Price: IIA, ISACA, CFA Members- $125.00, Others- $150.00 includes 6 hours of CPE, Lunch, and two books- VBA and Macros for Excel and a bookstore return* of Mr. Excel on Excel book. (Combined an $80 value) Course Outline Morning- Advanced Excel Techniques Afternoon- Pivot Tables, VBA *- A bookstore return is a one out of print version. They are very clean, with minimal marks. You can purchase the most recent version, Learn Excel for $25 (a discount of $15). Please note: Because of Hotel requirements and limited space, please Reserve Early!!! We request that you send in a reservation by November 21, 2005. RSVP to Carrie.Ramsey@lgeenergy.com or call 502-627-4738.	6
December 13, 2005	Topic: Effective QARs Speaker:  Jennifer Burke from Crowe Chizek About Jennifer . . . Jennifer Burke is the Executive in Charge of the Internal Audit Services Group at Crowe Chizek. She works exclusively with financial institutions, specializing in risk management outsourcing and consulting. She also instructs and speaks nationally on internal audit topics. Prior to joining Crowe Chizek, Ms. Burke was the Senior Vice President and Corporate General Auditor at Community Trust. Ms. Burke received her Bachelor's degree in Business Administration from Morehead State University. She is also a graduate of the Kentucky Bankers School. Ms. Burke is a Certified Public Accountant, a Certified Risk Professional. She is also a member of the American Institute of Certified Public Accountants, the Institute of Internal Auditors, and the Association of Certified Fraud Examiners.	1
January 10, 2006 Half Day Morning Seminar and Lunch Session $65.00 Entire Seminar inlcuding Luncheon Key Note $20.00 Luncheon Key Note Only	Topic: "The Evolving Role of Internal Audit" Half Day Morning Session Click here for Roundtable Presentation Moderator: Dave Barker from University of Louisville Location (NOT the Bristol): Kentucky International Convention Center 221 Fourth Street Louisville, KY 40202 Please use the 3rd and Jefferson entrance for access to Room 105. Please reserve by January 5th and please send payment to the above referenced address. We request that reservations be made by e-mailing Carrie Ramsey at Carrie.Ramsey@eon-us.com. For additional questions or media inquires, please contact Dwayne K. Dowell, CIA, Louisville Chapter President at (502) 657-6428 or e-mail to dkdowell@dkdcpa.com. The Louisville Chapter of the Institute of Internal Auditors is pleased to announce that it will host on January 10, 2006 a half-day roundtable discussion entitled- "The Evolving Role of Internal Audit". The discussion will consist of the following hour long topic concentrations: - Sarbanes Oxley - Enterprise Risk Management - Quality Assessment Reviews - Open session for other topics. The Keynote Luncheon Speaker will be Dawn Felice, who is the Chapters and Affiliate Relations Manager of the Institute of Internal Auditors. Dawn is from the IIA's World Headquarters located in Altamonte Springs, FL. Her Keynote speech is scheduled to begin at 12:30 p.m. and be -"What is New at the Institute of Internal Auditors?" The roundtable panel will consist of experts of leading practitioners and consultants in the ever-changing field of internal auditing. To date, the panel will include the following members: - David Barker, Moderator, University of Louisville - Kay Combs, Yum Brands - Jennifer Cutsinger, Humana - Brian Day, Jefferson Wells - Dawn Felice, Institute of Internal Auditors - Brian Kruk, Titus - Debbie Shelton, E.On.Us - Teresa Snedigar, Finish Line - James Youngblood, Yum Brands
February 2, 2006 Full Day Seminar (includes breakfast and lunch)	Topic: Fraud 2006 Speaker: Courtenay Thompson from Courtenay Thompson and Associates The Louisville Chapter of the Institute of Internal Auditors is pleased to announce this seminar. Time: 8:30 am till 4:30 p.m. Location: Eon, LLC (Formerly Louisville Gas and Electric) 220 West Main Street Louisville KY 40202 Cost: $125 includes Breakfast, Lunch To Reserve: e:mail Carrie Ramsey - Carrie.Ramsey@eon-us.com Send Check to Carrie at the above address or pay via Paypal using the button in the left column. About the Course... Fraud is alive and well in 2006. Auditors and managers are being challenged as never before to provide the leadership, techniques and technology to keep fraud to a minimum. This course explores the current fraud-related challenges facing auditors and their organizations and provides practical proven solutions to real problems. The program will be highly participative. Attendees will have the opportunity to share their questions and greatest fraud-related concerns, and share their own proven techniques and ideas. Fraud - What all auditors must know! Get executive commitment. Changing executive belief, defining management responsibility for detection, implementing a major fraud initiative. Fraud implications of the changing business and regulatory environment. Explore globalization, restructuring, reengineering, downsizing, markets and distribution methods, technology, the current computerized business environment, the Internet, cost pressures, relying on outsourcing, marketing fraud, and diversity of experience and values. Lessons from recent major cases. Examine the lessons for auditors and management, and learn how to protect your organization. What is new in fraud! Explore technology and Internet fraud, sales-related fraud, fraudulent financial reporting, investments, and fraud by vendors and contractors. What new exposures do you have? Fraud-related best practices. Learn what other organizations are doing, and share your own effective practices. Mistakes to be avoided. Examine the mistakes and practices that have cost auditors and their organizations dearly. Practical approaches to fraud-related controls. Discover how some departments have been able to encourage management responsiveness and accountability. Learn sixteen reasons controls breakdown and what auditors can do to promote control conscious management. More effective detection. Learn specific techniques for building detection into routine audits, monitoring for fraud, and using data mining for detection. Bring your current concerns and questions. About Courtenay Thompson... Mr. Thompson is a recognized authority on training managers, auditors and investigators in fraud-related matters. Since 1981 he has designed and presented courses on fraud prevention, detection and investigation for business and government organizations worldwide. His courses are known for providing practical, proven approaches to real problems. These practical approaches have yielded dramatic results for class attendees. In addition to providing training on fraud-related matters, Mr. Thompson provides training on behavior and communication skills and internal auditing and developed Auditing Contracts: Auditing That Pays offered through the IIA. He is the co-developer with R. L. Townsend, of a series of courses on audit and control of construction costs. He is also co-developer with Richard Stohl of a series of courses on audit and control of health benefits administration. For 13 years, Mr. Thompson was editor of "Fraud Findings" in The Internal Auditor magazine. Mr. Thompson's experience prior to entering the consulting field includes public accounting, audit supervisor for consumer financial services for a large retailer, and director of auditing for a life insurance company. His career in public accounting and internal auditing provided exposure to a number of types of impropriety including embezzlement, insurance fraud, loan fraud, stock fraud, kickbacks and bribery, misappropriation of funds and mail fraud. In addition to personally detecting and investigating suspected fraud cases; he established corporate policies for fraud and trained other auditors in fraud detection and investigation. Responsibilities included working with top management and reporting to the audit committee on the status of open cases. He has worked closely with legal counsel, law enforcement and prosecutors. Courtenay Thompson received his BBA and MBA degrees from Southern Methodist University and is a Certified Public Accountant. He is a member of the Institute of Internal Auditors, Inc., the American Institute of Certified Public Accountants, and the Texas Society of Certified Public Accountants.	8
February 14, 2006	Topic: The Role of Alternative Dispute Resolution in Business, Managing Conflict and Controlling Costs Speaker: Tony Belak from Sullivan International Dispute Resolution Center Core values that promote trust, diversity, personal and professional growth, mutual respect, and productive communications are absolute necessities in modern, innovative, and successful businesses and organizations. Unfortunately, even the most well intentioned corporate policies are undermined by unmanaged conflict within the organization. Unresolved conflict is a distraction from otherwise productive use of time, energy, and resources, as it diminishes internal and external relationships and eventually impacts the bottom line. Business is experiencing a major shift to ADR techniques for initial attempts at conflict resolution with clients, employees, other organizations, and almost any area where litigation is used. The value of ADR lies in its ability to address and resolve conflicts in a way that saves time, money, and, in some cases, relationships; something that litigation is not designed to do. "It is the policy of this Commonwealth to encourage the peaceable resolution of disputes and the early, voluntary settlement of litigation through negotiation and mediation. To the extent it is consistent with other laws, the courts and state governmental agencies are authorized and encouraged to refer disputing parties to mediation before trial or hearing." -  KRS 454.011 (1998)	1
March 14, 2006	Topic: Quantitative Risk Assessment in Action Speaker: Bruce Edwards from the University of Louisville About the Topic... “Enterprise risk assessment,” “risk management,” “risk analysis.” These are some of the interrelated terms currently at the buzzword level in many organizations. Instead of spending a session on the textbook definitions of these terms, you will learn: the pros and cons of qualitative vs. quantitative risk assessment and how quantitiative risk assessment was actually applied in one organization 13 years ago and is still being used with great success to this day! In addition to the knowledge gained from this real life example, you will take away the mathematical framework used in the real life quantitative model and recommended current day tools for developing your own models using a quantitative approach. Finally, you will see how a proven quantitative approach is but one big step away from continuous risk assessment. About Bruce... Bruce has 17 years audit & security experience in the Life Insurance, Utilities, Education & Health Insurance industries. He designed the Agency Field Audit risk assessment model at Capital Holding Agency Group (aka Commonwealth Life, Providian, AEGON, currently Monumental Life). He  also trained office administrators throughout the eastern and southern U.S. for Capital Holding for three years prior to his audit work. After Capital Holding, Bruce worked as Senior I.S. Auditor at Louisville Gas & Electric and the University of Louisville (UofL) before accepting a postion as an IT Security Consultant at Humana Inc, where he was Project Manager for the HIPAA Risk Assessment, Management and Evaluation effort among other duties before returning to UofL as Information Security Officer where he coordinates the University's HIPAA and other Information Security efforts. Bruce has also been involved in various system roll-outs over the years, including Providian's Field Collection System and UofL's PeopleSoft Financials Implementation where he provided security consultant, system auditor, QA testing and other services. Bruce holds a BS in Industrial Management from Georgia Tech, the CISA and CIA certifications, is a Fellow in the Life Management Institute (FLMI) and resides with his family in Louisville, KY.	1
April 12, 2006 $20.00	Topic: An Overview of Audit Processes Relating to SOX Section 404 Internal Control Reporting and Associated Costs. Speakers: Dr. Ben Foster and Dr. Trim Shastri About Dr. Foster... Ben Foster is a Professor of Accountancy at the University of Louisville, a CPA and a CMA. He obtained a B.A. with a major in accounting from Kentucky Wesleyan College, an MBA from Murray State University, and a Ph.D. in accounting from the University of Tennessee. Ben worked for two local CPA firms for two years and for a rapidly-growing small privately held construction supply company for three years. He has taught at the University level for over 15 years and has been at the University of Louisville for over 11 years. He has authored or co-authored numerous articles published in journals including: The CPA Journal, The Review of Business Information Systems, the Journal of Accounting, Auditing, and Finance, Accounting and Business Research, Accounting, Organizations & Society, Advances in Taxation, Tax Notes, and the Journal of Cost Management. About Dr. Shastri... Trim Shastri, an Assistant Professor at UofL, is a CIA, CA (Canadian Chartered Accountant), CMA. He has a PhD in Accounting from the University of Oklahoma. He has taught in universities in Canada and the US for several years. He has over 15 years of public accounting, management consulting and industry experience, which include as an Audit Partner of then-Ernst & Ernst, Chartered Accountants in Montreal (Quebec), as an auditing examiner of Certified General Accountants Association of Canada, and in accounting positions in manufacturing companies in the automobile, machine tools, aeronautics, and consumer electronics industries. He has co-authored several papers that have appeared in academic and practitioner oriented journals.	1
May 9, 2006 Cost: FREE Sponsored by: Resources Global Professionals	Joint meeting with the ISACA Topic: Find the right SOX technology for your organization. Too often, presentations on SOX software are just sales pitches, and it is difficult to tell fantasy from reality. In this session you will learn: - What to expect from a SOX application - How technology can positively impact the audit - How to buy SOX technology - Pitfalls to avoid - Tips for successful implementations - Current trends in the SOX market - Lessons learned from companies before you - Nine considerations in selecting an application Location: Jefferson Club Menu Selections: - Chicken Caesar Salad - Pasta with Garden Vegetables and Tomato Sauce - Petite Beef Tenderloin with Demi Glace Sauce - Sweet and Sour Chicken over Rice - Derby Pie - Iced Tea and Water RSVP: Carrie Ramsey by May 03, 2006. Office: (502) 627-4738 Carrie.Ramsey@eon-us.com Speaker:  Rocco Tarasi Managing Director – policyIQ Resources Global Professionals 1670 One PPG Place I Pittsburgh, PA 15222 Phone: 412.263.3330 About Rocco... Mr. Tarasi became a Managing Director of Resources Global Professionals in July 2003 when Resources acquired his previous company, Snap River Technologies. Since 2000, Mr. Tarasi had been the founder and President of Snap River, a software development and consulting firm providing innovative solutions for policy, procedure, and internal control management. As a Managing Director with Resources, he maintains responsibility for managing the company's policyIQ® product line, maintaining its customer relationships, and coordinating related consulting engagements. Mr. Tarasi spent the majority of his career at Arthur Andersen LLP in Pittsburgh, Pennsylvania, where he was previously a Manager in the Assurance practice responsible for both internal and external audit engagements. He managed companies in a broad range of industries and was responsible for the largest international clients in the office. He also managed a number of initial and secondary public offerings and M&A transactions. Mr. Tarasi recognized the difficulty companies faced in managing all of their policy and procedure documentation, not just in Accounting and Finance but in other departments like Human Resources, Operations, and Information Technology. When he founded Snap River, there was no recognized methodology or process for managing this documentation, and no software application designed specifically for this purpose. He developed the Policy Management Process, which established a methodology for companies to follow in managing their documentation, and then authored the Effective Policy Management Best Practice, a practical list of best practice steps that was published in the Journal of Accountancy in 2002. The Effective Policy Management Best Practice provided the basis for designing policyIQ®, a web-based software application for policy and procedure management that follows and automates many of the best practice steps. policyIQ® was released in 2002 and is now used by public companies for compliance with sections 302 and 404 of the Sarbanes-Oxley Act, and by both public and private companies as an authoring tool and central repository for all of their policies and procedures. Mr. Tarasi was also previously the Chief Financial Officer of a start-up technology company and an Investment Banker. He is a Certified Public Accountant and has been a speaker at dozens of seminars and training sessions on subjects including entrepreneurship, policy and procedure management, internal controls, risk assessments, and compliance with the Sarbanes-Oxley Act. He graduated Cum Laude from the Wharton School of Business, University of Pennsylvania. Mr. Tarasi can be contacted at rocco.tarasi@resources-us.com for any questions about internal controls, policies and procedures, or to schedule a one-hour online demo of policyIQ®. The Effective Policy Management White Paper and other related information can be found at www.policyiq.com or www.resourcesglobal.com.	1

2004-2005:

Date	Speaker and Topic	CPEs
September 14, 2004 $20.00	Topic: Financial Auditing Speaker:  Jennifer Burke from Crowe Chizek About Jennifer . . . Jennifer Burke is the Executive in Charge of the Internal Audit Services Group at Crowe Chizek. She works exclusively with financial institutions, specializing in risk management outsourcing and consulting. She also instructs and speaks nationally on internal audit topics. Prior to joining Crowe Chizek, Ms. Burke was the Senior Vice President and Corporate General Auditor at Community Trust. Ms. Burke received her Bachelor's degree in Business Administration from Morehead State University. She is also a graduate of the Kentucky Bankers School. Ms. Burke is a Certified Public Accountant, a Certified Risk Professional. She is also a member of the American Institute of Certified Public Accountants, the Institute of Internal Auditors, and the Association of Certified Fraud Examiners.	1
October 12, 2004 $20.00	Topic: Sarbanes-Oxley Act: 1 ½ Years Later Speaker:  Dave Calzi - Partner, Ernst & Young	1
November 9, 2004 $20.00	Topic: Systems Development Life Cycle Auditing Speaker:  Teresa Snedigar - IIA District Rep.	1
December 2, 2004 $40.00	Topic: "COSO Frameworks for Internal Controls and Risk Management" and "Fraud" Speaker:  Jennifer Burke from Crowe Chizek Time: 7:30am-12:00pm Location: The Jefferson Club Cost: Only $40, includes 4 CPE hours and a continental breakfast If you need CPE’s before the end of the year, join us for a ½ day seminar on “COSO Frameworks for Internal Controls and Risk Management” and a discussion on fraud. Presented by Jennifer Burke of Crowe Chizek, this seminar will provide attendees with an overview of both frameworks, how they fit together and how these frameworks can be utilized by your organization to help strengthen your control environment and risk management. Finally, the topic of fraud will be discussed. During this portion of the presentation, Jennifer will define fraud and will provide examples and best practices to help detect it.The seminar will be held from 8 am to noon on Thursday, December 2, 2004, at the Jefferson Club, 500 West Jefferson Street in downtown Louisville. The great rate of $40 includes a continental breakfast at 7:30 am, and 4 CPE hours! Please contact Carrie Ramsey, 627-4738 or Carrie.ramsey@lgeenergy.com to register. Payment options: Paypal, check payable to the Louisville Chapter IIA and mail to LG&E Energy LLC, Attn: Carrie Ramsey, 220 West Main St. Louisville, KY 40202, or cash/check at the door. COSO Frameworks for Internal Control and Enterprise Risk Management Presentation Summary/Outline The Committee of Sponsoring Organizations of the Treadway Commission (COSO) is a voluntary private sector organization formed in 1985 dedicated to improving the quality of financial reporting through business ethics, effective internal control, and corporate governance. In 1992, COSO issued a report, “Internal Control – Integrated Framework.” This report discusses control system structures and components. Although the Committee of Sponsoring Organizations (COSO) Framework for Internal Control has been around for a number of years, it is even more relevant today. The Sarbanes Oxley Act puts much more emphasis around the importance of understanding the control environment in organizations and the link between a strong control environment and sound financial performance and reporting. In addition to the Internal Control Framework, COSO issued a report on Enterprise Risk Management in 2003. The COSO Chairman wrote, “Although a lot of people are talking about risk, there is no commonly accepted definition of risk management and no comprehensive framework outlining how the process should work… …our goal is that the ERM Framework will offer boards and management a commonly accepted model for discussing and evaluating an organization’s risk management efforts.” This presentation will provide you with an overview of both frameworks, how they fit together and how these frameworks can be utilized by your organization to help strengthen your control environment and risk management. Specifically, the presentation will cover the following: Overview of the COSO Internal Control and Enterprise Risk Management Frameworks · Definition of Internal Control · Internal Control Roles and Responsibilities · COSO Internal Control Components · Benefits of Enterprise Risk Management · Enterprise Risk Management Components · How COSO IC and Enterprise Risk Management frameworks Fit Together · How COSO IC and Enterprise Risk Management Frameworks Apply to Internal Audit and Your Organization Fraud Discussion · Current Conditions · Fraud Definitions · Frequency and Cost of Internal Fraud · Characteristics of Fraud Culprits · Elements of Fraud · Examples of Fraud · Fraud Red Flags · Conditions Conducive to Fraud · New Fraud Guidance · Fraud Detection Best Practices	4
December 14, 2004 $20.00	Topic: Fraud Hotline and Compliance Program Speaker:  Jodi Renn from KY Housing Corp.	1
January 11, 2005 $20.00	Topic: Detecting Fraud Speaker: Norm Williams from Williams Financial Investigations	1
January 13 and 14, 2005 IIA / ISACA members $150 each day ($300 both days) Member Payment Buttons: Day 1 only: $150.00 Day 2 only: $150.00 Both Days: $300.00 Non IIA / ISACA members $175 each day ($350 both days) Non Member Payment Buttons: Day 1 only: $175.00 Day 2 only: $175.00 Both days: $350.00	Topic: Access Unleashed - Using the powerful data analysis functions of Microsoft Access for value-added audit findings and Continuous Monitoring techniques Speaker: Mark Nigrini, Ph.D. Where: LG&E Energy LLC 220 West Main Street Louisville, KY 40202 Cost: $150 each day ($300 both days) IIA/ISACA members $175 each day ($350 both days) non-members Cost includes 7 hours CPE each day, study materials (including Dr. Nigrini's book "Using Microsoft® Access for Data Analysis and Interrogation", a $70 value!) breakfast, and lunch Click here for complete seminar brochure in Adobe PDF format Do you want: - To know how a mathematical finding can help you uncover fraud and other irregularities? - To learn about the architecture of Microsoft Access and to find out how this can be your data interrogation tool for large data sets? - State-of-the-art data analysis technologies in your audit reviews? - Value-added activities that management will rave about? - To learn about the three-D approaches to Continuous Monitoring? - Hands-on experience with real data and real results? Here is your opportunity to learn more about: - Benford's Law (It's a secret law of numbers) - Innovative data analysis techniques for both revenues and payments - How Microsoft Access can be used as a rigorous data analysis tool - The state of the art on Continuous Monitoring with a tie in to Sarbanes-Oxley 404 Do you need to buy software to do all of the above? - No! If you have Microsoft Access then your software is just a double-click away. - One of the three-D approaches to Continuous Monitoring (Discriminant Analysis) will require the purchase of statistical software. Seminar will reveal a low-cost solution for this specific application. Click here for complete seminar brochure in Adobe PDF format	7 or 14
February 8, 2005 $20.00	Topic: Privacy Act Speaker: Mike Cook from The Cook Group	1
March 7, 2005 Members, timely payment $175.00 Members, two or more from same company, each $150.00 Non-members $200.00 Students and faculty $100.00 Penalty if paid after March 1, add this fee in addition to above $25.00	Topic: Interview and Interrogation Techniques Speaker: Walter Palmer This course will give you tools to evaluate the level of cooperation and truthfulness of those individuals you interact with as you fulfill your duties. In today's environment of Sarbanes Oxley, this will be an important tool in your repertoire. Walter E. Palmer is a nationally known speaker in the security and loss prevention industry and a recognized expert on interview and interrogation. Walter is a Certified Forensic Interviewer, Certified Fraud Examiner, and Certified Protection Professional. He received his Bachelor of Science from Eastern Kentucky University, with a major in Security and Loss Prevention. Palmer is CEO/President of PCGsolutions, a consulting and education firm to the loss prevention industry. When: March 7, 2005 8:30-9:00: Continental Breakfast and Sign-in 9:00-4:00: Seminar Location: Best Western Inn 80 Chenault Road Frankfort, KY 40601 (502).695.6111 Cost: $175 Members ($150 Per Person for companies sending more than 2 people) $200 Non-Members $200 Late Registrants $100 Students and Faculty Cost includes 6 hours of CPE, continental breakfast, lunch, and snacks Registration: Register by March 1, 2005 to avoid late payment penalty Register through this web page or email Carrie.Ramsey@lgeenergy.com for other registration options. If you register after the registration deadline, there will be a $25 fee. Participants will be eligible to win some great doorprizes, including a Tempur-Pedic pillow, and a hardcover edition of Practical Aspects of Interview and Interrogation by David E. Zulawski, CFI, and Douglas E. Wicklander, CFI, and other items. Click here for seminar flyer in Adobe PDF format	6
March 8, 2005 $20.00	Topic: Forensic Accounting Speaker: Tim Snoddy from Snoddy Consulting	1
April 12, 2005 $20.00	Topic: Economics of Baseball Speaker: Anthony Ward - Comptroller, Cincinnati Reds Presentation from the Meeting	1
May 13, 2005 $20.00	Topic: Auditing the Gaming Industry Location: Churchill Downs Joint Meeting with ISACA Speaker:  Johnson, Senior Director of Internal Audit, Churchill Downs Incorporated	1

2003-2004:

Date	Speaker and Topic	CPEs
September 9, 2003 $20.00	Topic: How to evaluate risk under Sarbanes Oxley Speaker:  Steve Tisdell of Nashville Management Group, Inc.	1
October 14, 2003 $20.00	Topic: Human Resource Managment - Process and Risk Strategies Speaker:  Patrick Cole from Crowe Chizek	1
November 11, 2003 $20.00	Topic: Fraud - False Claims Act Speaker:  Phil Bezehertney, CPA, CFE, CIA from the U.S. Attorney's Office	1
December 9, 2003 $20.00	Topic: Wireless Security - A Hackers Perspective Speaker:  Netgain Technologies	1
January 30, 2004 Morning Session: $60.00 Afternoon Session: $60.00	Two 1/2 day Seminars Topics: Analytics: A thought process and an audit tool  (8 am to noon) Control Self Assessment Workshop (1 pm to 5 pm) Location: Jefferson Club, downtonw Louisville, KY.	4 per seminar 8 for the day
February 10, 2004 $20.00	Topic: Effect of the New Tax Bill Speaker:  Margaret Kruse, Tax Attorney from Integrity Life Insurnace Co.	1
March 9, 2004 $20.00	Topic: "Security in the Workplace, Terrorism and You" Speaker:  FBI	1
April 13, 2004 $20.00	Topic: "Business Continuity - State and Local Government Response to Businesses following a Local or Regional Disaster" Speaker: Charles Bogart - KY Disaster Emergency Services	1
May 11, 2004 $20.00	Topic: Networking Location: Ohio River Lunch Time Cruise - Riverboat to be announced Speaker:  Leslie Goldhill from Ajilion	1

2002-2003:

Date	Speaker and Topic	CPEs
September 10, 2002 $20.00	Internal Auditors as Change Agents Speaker:  Don Whitehouse of Commonwealth Industries	1
October 8, 2002 $20.00	Peer Review Speaker:  Carl Balderson of Louisville Gas & Electric	1
October 25, 2002 $200.00 Includes: · Seminar · Continental Breakfast · Lunch · Afternoon Snack	IIA Seminar: Performance Managment Performance Measures Management Issues, Concerns and Functions Performance Measures Speaker:  Glenn P. Hoffman, CIA, CPA, CBA, CFSA (Click here for a pdf brochure with more seminar information)	8
November 12, 2002 $20.00	Auditing Health Care Benefits Speaker:  Will Baker	1
December 10, 2002 $20.00	Corporate Governance Speakers: Rick Julien and Lawrence Rieger (formerly of Arthur Anderson) of Crowe Chizek, LLC	1
January 14, 2003 $20.00	Identity Theft Speaker: Marvin Goetz of Stock Yards Bank	1
February 11, 2003 $20.00	Speaker:  IIA National President William "Bill" Bishop of the IIA Auditing in a Dynamically Changing Context President Bishop will discuss the most current information affecting the profession and The Institute of Internal Auditors. The talk will provide information on matters that effect change such as the SEC's final rules on auditor independence, e-business, transition economics, and the Professional Practices Framework. In addition, Bishop will give an update on IIA strategic initiatives.	1
March 3 - 4, 2002 Members $270.00 Non-Members $280.00	Seminar:  IS AUDITING FOR NON-TECHNICAL AUDITORS [Click here for a pdf format flyer] Sponsored by Louisville Chapter - Institute of Internal Auditors Location: Seelbach Hilton Cost: $270 IIA & ISACA Members, $280 Others Does Information Systems Auditing mystify or befuddle you? Are you being asked to take on the role of IS auditor with only limited guidance and support? If so, this comprehensive Two-day course is exactly what you need. We demystify Information Systems auditing, making it simple to understand and conduct. How? Well, the key is to first recognize that technology is a business tool to be managed and, as such, can be assessed from a management perspective. From that perspective, we bring together proven audit programs and explanations of the following IS auditing procedures: · Application Controls Reviews · Systems Development Audits · Logical, Physical and Environmental Security Evaluations · Business Continuity (Disaster/Recovery) Reviews · General Controls Reviews in a Mainframe Environment · General Controls Reviews in a LAN and Client/Server Environment · Debit Card and Procurement Card Audits · Software License/Copyright · Manual and Automated Testing Techniques We also fortify you with the following: · A review of popular audit software packages, including ACL generalized audit software, various automated flowcharting software, key security audit software and audit planning and risk assessment software products. · Discussions on how to audit these new accounting systems being installed and driving us crazy! · Internet-based (i.e. FREE!) audit tools. In addition to looking at each of these areas and examining the provided audit programs, this session also introduces the non-technical auditor to the following IS audit issues: · The information systems environment. · What REALLY are the controls in an IS environment. · IS audit testing techniques that non-technical auditors can apply NOW. Bring a big suitcase, because we provide LOTS of handouts. Also provided is Tom Salzman's IS Audit and Control SourceBook providing a list of: 350 audit software packages, 380 IS audit books, 70 IS audit and control magazines and periodicals, 30 professional associations, and 15 professional certifications. Speaker: Thomas Salzman, CISA IT Audit Manager Illinois State University Mr. Tom Salzman manages all computer audits conducted by Illinois State University. In this capacity, he works with educational and administrative departments throughout the University to streamline security procedures and improve operational processes and controls. Tom frequently involves student interns with his work to develop their interpersonal and business skills. In addition, Tom teaches and instructs on a variety of computer and audit topics. He has presented seminars internationally, including Kuwait, Hungary, Cyprus, Turkey, England, Indonesia, Singapore, Tokyo, Bali, Jamaica, Buenos Aires, and United Arab Emerates. Tom has presented numerous successful Certified Information Systems Auditor review courses. Tom also is an instructor for MIS Training Institute. He is the presenter of courses in application controls, general controls, mainframe and client/server operations, e-commerce, debit card and procurement card management and introductions of IS auditing to non-technical auditors. Tom previously served as Director of Professional Services for The Information Systems Audit and Control Association (ISACA), where he was responsible for establishing and supporting their worldwide network of educational programs, conferences and special events. This included the Professional Seminar Series and the Computer Audit, Control and Security Conference (CACS). While at ISACA, Tom was the Editor and co-author of The ISACA CISA Review Manual. Prior to ISACA, Tom was 9 years with Coopers & Lybrand, heading up their Chicago-based Technical Training and Information Security practices.	16
March 11, 2003 $20.00	Sarbanes-Oxley Act  [Presentation Materials PowerPoint] Speaker:  Jim Moore of Price Waterhouse Coopers Jim Moore is the audit manager for several gas and electric utilities and other clients including Tennessee Valley Authority (TVA) and Louisville Gas & Electric Company (LG&E Energy Corp.). He has experience with project management of complex, multi-national SEC engagements. His experience within the utility industry includes power generation and transmission and project development; retail gas and electric utility services; and asset-based energy marketing. Jim serves as an instructor and advisor for PwC with respect to accounting and auditing matters related to utility and SEC accounting issues. In addition, Jim has assisted his clients in public debt and equity offerings. Jim's involvements in Louisville include the United Way; Fund for the Arts; University of Kentucky (UK) Alumni Association, where he serves on the Board; and as the leader of fundraising for UK PwC-wide. Jim attended the University of Kentucky, where he received a B.S. degree with honors in Accounting. Jim's clients have included: LG&E Energy Corp, Powergen, TVA, E.ON, Meag Power, Dalton Utilities, Lexmark, Humana, Alcan and others.a	1
April 8, 2003 $20.00	Center for Quality Management Speakers: Melissa Waflart, CQM & Elaine Gravatte, D.D. Williamson Co. Location:  Vincenzo's 105 S. 5th Street, Louisville, KY Date: Tuesday, April 8, 2003 12:00 noon, 11:30 registration Menu selections: Tortellini Buddeke Land & Sea Trio Salad RSVP by Friday, April 4, 2003: Carrie Ramsey Office: 627-4738 Fax: 627-2550 Carrie.ramsey@lgeenergy.com	1
May 13, 2003 $20.00	Interviewing Skills Speaker:  Stacy Robertson of K-Force Location:  Annual Star of Louisville Ohio River Cruise	1

2000-2002 Fiscal Years

Date	Speaker and Topic	CPEs
May 14 , 2002	Star of Louisville Cruise Networking	1
April 9, 2002	Dave Richards, CIA Audit Manager of Internal Audit First Energy and Chairman of the Board of the IIA The New Audit Consultant	1
March 12, 2002	Time: 12:00 noon, Registration at 11:30 Location: Kunz's restaurant, downtown Louisville Speaker: Nancy Wong Department of Commerce, Washington, D.C. Topic: Critical Infrastructure Assurance (Joint meeting with ISACA) Location: Kunz's Restaurant Cost: $20	1
February 19-20, 2002	Speaker: Mark Nigrini Topic: Data Analysis (Joint seminar with ISACA) Cost: $350/members and $400/non-members More information will be sent out concerning this seminar soon.	15
February 12, 2002	Kim H. Burse, CPA President & CEO of the Louisville Develoment Bancorp, Inc. Activity of the Bank and the auditing functions relative in the banking industry.	1
January 8, 2002	Rebecca Jackson Topic - to be announced	1
December 11, 2001	Ray Strothman Strothman & Company Leadership	1
November 13, 2001	Professor Paul Coomes University of Louisville The New Louisville Regional Economy: Things We Learned Over the Last Ten Years	1
November 7, 2001	The Tri-State Chapter of the IIA presents: Solving the Mystery of Internal Audit & Information Security November 7, 2001 At the St. Mary's Hospital Riverside Campus Auditorium Evansville, IN Click here for more information in a brochure in Word97 format	4 or 8
October 29 to 31, 2001	SAP R/3 BASICS COURSE by MIS: Brown and Williamson is hosting this course in downtown Louisville and they would like to invite individuals to participate in the training. Nine seats available. Details regarding the course are as follows: The 4 day training course would be condensed into 3 days (both for cost and time constraint reasons). MIS has confirmed October 29 - 31 as the class dates. The overall cost of the course will be split amongst the participants. Please click here to view the curriculum.  If interested, respond to Yvonne Stutesman by October 12th, via email. Thanks and if you have any questions, don't hesitate to call. Frank Sullivan at 502-568-7268 Yvonne Stutesman at 502-568-8276
October 22, 2001	Speaker: Courtenay Thompson, a leading expert on fraud and audit Topic: Fraud 2001 Time: 8:30 a.m. to 5:00 p.m Location: Sheraton Four Points Hotel in Lexington, Ky Event Coordinator: The Central Kentucky Chapter is hosting a one-day fraud seminar on Monday, October 22, 2001. Cost: $170 for members, $195 for non-members, which will include a continental breakfast, lunch and afternoon snack. Click here for more information	8
October 18-19, 2001	Speaker: MIS Location: Humana Tower, 500 W. Main, Louisville, KY 40202 Topic: From Auditor To Consultant: Developing Essential Competencies. Cost: $400 Reservations: Jeannie Riggs What You Will Learn 1. Consulting: Common Misconceptions and Pitfalls 2. Helping Clients Redefine Audit Work 3. How to Plan, Implement, and Contract for a Client Relationship That Eliminates Problems Before They Begin 4. Getting Clients to Call You Earlier 5. How to Develop a Results-Driven Approach 6. Identifying Your Communications Blind Spots 7. How to “Read” Your Clients 8. Giving Advice so Clients Understand and Follow It. 9. Refining and Using Listening Skills to Cain Client Buy-In 10. Handling “Problem” Clients Effectively 11. Handling Group Consulting Situations 12. Putting What You’ve Learned to Use Refer to the October 2001 newsletter for more information	15
October 9, 2001	Time: 12:00 noon, Registration at 11:30 Location: Kunz's restaurant, downtown Louisville Speaker: James Rose, (See Biography in this month's newsletter) Topic: COBIT Overview (Joint meeting with ISACA) Location: Kunz's Restaurant Cost: $20 Menu: Broiled Boston Scrod -or- Grilled Rueben Sandwich -or- Penne Pasta Carbonara	1