Region 3 Operational Audit Committee Audit Procedures 2020

Region 3 Operational Audit Committee Audit Procedures, 2020 Audit Plans, 2019 Audit Results 7 December 2019 Bill Harrison, Chair – Operational Audit Committee 1 2/22/2021

Topics What is the Operational Audit Committee? What is Involved in an Operational Audit? What is the Future Audit Schedule? What Audits are Planned for 2020? – Awards and Recognition Committee – Finance Committee Results of 2019 OAC Audits – Student Activities Committee – Region 3 Areas & Area Structure 2 2/22/2021

II. POLICIES and PROCEDURES Review of Region Standing Committees – The Operational Audit Committee shall review Region Standing Committees as deemed appropriate by the Committee in consultation with the Region 3 Director. – See the Section V’s description of the Operational Audit Committee for additional information. – REFER TO PAGE 2 -2 OF REGION 3 OPERATIONS MANUAL, Revised 18 June 2018 3 2/22/2021

Region 3 Standing Committees 1. Awards and Recognition 2. Member Activities 3. Conference 4. Finance 5. Section Support 6. Nominations and Appointments 7. Operational Audit 8. Professional Activities 9. Strategic Operations and Support 10. Student Activities 4 2/22/2021

V. 7 OPERATIONAL AUDIT The Operational Audit Committee (OAC) shall determine administrative and management effectiveness by performing operational reviews of other Region 3 Committees. 5 2/22/2021

Members 1. The OAC Chair shall be a member. 2. Four other individuals shall be members. It is suggested that these individuals have experience as Section Chairs, Region 3 Committee Chairs, or Region 3 Officers. 3. No member of the OAC shall be a member of the committee(s) being reviewed. 6 2/22/2021 Operational Audit

2019 Members Bill Harrison, Chair Jacquelyn Cunningham Steve Kemp Bill Marshall Bill Ratcliff 7 2/22/2021 Operational Audit

Responsibilities The Operational Audit Committee shall: 1. Conduct an operational audit of one or two standing committees each year as designated by the Delegate/Director as described in Section II, Policies and Procedures: Periodic Review of Region Standing Committees. – 1. 1. The period of time to be considered in the review is the past four to six years. 8 2/22/2021

Responsibilities The Operational Audit Committee shall: – 1. 2. The OAC shall delve into the effectiveness, contributions, policies, procedures, actions, composition, budget considerations, and other related aspects of the committee being reviewed. – 1. 3. The OAC shall provide a written report to the Delegate/Director giving the results of the operational audit of each committee. 2. Conduct an operational audit of another Region 3 entity as designated by the Delegate/Director on an “as required” basis. 9 2/22/2021

Operational Audit of Region 3 Standing Committees The Operational Audit Committee will provide – a written final report with recommendations to the Region 3 Delegate/Director – with copy to the chair of the audited committee, – ten (10) days prior to the fall Executive Committee Meeting. The Committee Chair will – prepare a response to the audit, addressing each recommendation and – indicating acceptance, suggested modification, rejection, or need for guidance from the Region 3 Delegate/Director. 10 2/22/2021

Schedule • January: Delegate/Director informs OAC Chair of the committee(s) to be audited. • February: OAC Chair requests information from chair of committee(s) being audited. • May: Chair of committee being audited delivers information to OAC Chair. • August: OAC Chair delivers the preliminary audit report to the chair of the committee(s) being audited. • September: OAC Chair delivers the final audit report to the Delegate/Director. • September: The chair of the committee(s) being audited may deliver a report to the Delegate/Director in response to the audit report. 11 2/22/2021

Review Criteria Sufficient review criteria flexibility is allowed during the review process to permit focusing on the Charter of the Standing Committee being reviewed. The major sources of information for this review are the Committee minutes and reports that are archived on Region 3 website ( http: //ewh. ieee. org/reg/3/excom/meetings/ ). Therefore, it is very important that the Committee Meetings Minutes and Annual Reports list accomplishments against the Committee’s Year’s Goals & Responsibilities and other important actions. 12 2/22/2021

Review Criteria At a minimum, the following information shall be made available to the Region 3 Operational Audit Committee: – 1. Committee responsibilities per the Region 3 Operations Manual. – 2. Committee goals as developed on a yearly basis. – 3. Committee structure/organizational chart. – 4. Committee members and terms of office (with contact information). – 5. Sponsorship of Region 3 members for Institute awards and recognition. – 6. Special Projects and initiatives. – 7. Committee budget with income and expense versus actuals. 13 2/22/2021

Final Report: The final audit report that is delivered to the Delegate/Director will contain recommendations for the committee being audited. Each recommendation will be action oriented and restricted to one issue. The committee being audited will prepare a response to the review, addressing each recommendation and indicating acceptance, modification, rejection, or need for guidance from the Region 3 Delegate/Director. The report and response will be archived for at least ten years. 14 2/22/2021

Tentative Audit Schedule Awards and Recognition (2020) Member Activities (2023) Conference (2021) Finance (2020) Section Support (2023) Nominations and Appointments (2021) Operational Audit (N/A) Professional Activities (2022) Strategic Operations and Support (2022) Student Activities (2024) 15 2/22/2021

Audits Planned for 2020 1. Awards and Recognition Committee 2. Finance Committee 16

Audits Conducted in 2019 1. Student Activities Committee 2. Region 3 Areas & Area Structure 17 2/22/2021

1. 1 Audit of Student Activities Committee The R 3 Student Activities Committee has performed extremely well over the past four to six years. The OAC believes that the SAC’s Southeast. Con-based activities are significant, unparalleled, and without qualification successful. The OAC found that the SAC is successfully supporting student branches, both through Southeast. Con and external to it, especially in light of the general deficiency, as noted below, in support from other IEEE OUs. Our findings are based on answers to other questions and general impressions about SAC activities, and how the SAC responded to the audit. 18 2/22/2021

1. 2 Audit of Student Activities Committee There is more that could/should be done. Performance issues for SAC have been identified by SAC itself and appear to be caused primarily by external factors. Specifically, IEEE data management systems have been unable to provide accurate student membership data, much less any information regarding student branch health. 19 2/22/2021

1. 3 Audit of Student Activities Committee OPERATIONAL AUDIT COMMITTEE REPORT AUDIT OF REGION 3 STANDING COMMITTEE: STUDENT ACTIVITIES COMMITTEE DATE: 16 October 2019 -- Comments for Final SAC Audit Report A. REVIEW CRITERIA (FROM R 3 OPS MANUAL) 1. Committee responsibilities per the Region 3 Operations Manual. 2. Committee goals as developed on a yearly basis. 3. Committee structure/organizational chart. 4. Committee members and terms of office (with contact information). INFORMATION SUBMITTED? NO (Provided 14 October V. 10 STUDENT ACTIVITIES) NO (Provided 14 October) OAC COMMENTS PLEASE PROVIDE CURRENT YEAR IF AVAILABLE PLEASE PROVIDE 5. Sponsorship of Region 3 members for Institute awards and recognition. 6. Special Projects and initiatives. 7. Committee budget with income and expense versus actuals. B. ADDITIONAL AUDIT QUESTIONS (FROM OAC MEMBERS) 1. Operations Manual Questions: NO SECON TRAINING & STUDENT COMPETITIONS (Rcvd - 24 July 2019) NO (Provided 14 October) RESPONSES PROVIDE CURRENT YEAR IF AVAILABLE EXCELLENT PERFORMANCE AND REPORTS OAC COMMENTS a. Did you meet the requirements assigned to the SAC in the R 3 Ops Man? b. Do you think the requirements are reasonable? Yes ACCEPTED BY OAC c. Are there other requirements that should be added (i. e. , important activities that ought to be captured and that the SAC ought to receive some kind of credit for)? No 2. General Questions: ACCEPTED BY OAC a. Do the review criteria apply to the Student Activities Committee? The SAC committee budget is unlike that of a typical regional committee. The primary use of their budget is for Southeast. Con student travel subsidy and to host student branch training workshops b. Are we expecting too much of the committee chair? c. What additional information should I ask from the SAC? The role of SAC chair is time consuming, but with the appropriate number of committee vounteers, as is the case currently, the committee goals are being met. For future committee audits, it would be helpful for the Committee Chair to know what information is required for an audit, so that information can be collected during the normal operation of the committee. d. Can the R 3 SAC provide a list of the current student branches in R 3 and indicate the health/vitality of them? e. How many (and which) of those branches did the R 3 SAC interact with? The support from IEEE corporate in this regard has been abysmal in years past. IEEE staff has been unable to provide accruate student membership data, much less any information regarding student branch health. However, Region 3 has a reasonably accurate picture of student branch health based on Southeast. Con attendance and participation in leadership training and student competitions. See SAC Engagement with Branches ACCEPTED BY OAC CRAFT A STATEMENT FOR FINAL REPORT? Definition: Tangible - perceptible by touch. Based on this definition, we are not sure what this question means. Also, asking a committee to identify and f. How many (and which) of those branches can point to some tangible benefit quantify the perceptions of others, with no basis (as in a survey or poll) seems coming from interaction with the R 3 SAC? useless. 3. Additional areas to pursue: ACCEPTED BY OAC Since the focus of the Student Activities Committee is students, there is a limited amount of interaction between SAC and other R 3 Committees. SAC interacts with the Finance Committee on the SAC budget. SAC interaction with b. What are the operational relationships of the Student Activities Committee the Student Branches has been summarized above. SAC invites Section officers with the other R 3 Committees? With the Student Branches? The Sections? to participate in our Student Branch Leadership Training Workshops. ACCEPTED BY OAC c. How many are attending the SPAX events? d, What are the attendance statistics? C. OBSERVATIONS AND RECOMMENDATIONS 1. Administrative and management effectiveness of R 3 Student Activities Committee 2/22/2021 CRAFT A STATEMENT FOR FINAL REPORT? The primary need of the Student Branch Leaders is to understand how to run an effective Student Branch, which is the focus our leadership training sessions. Among the topics covered are branch administration, engagement of student members, Southeast. Con, SPAx, fundraising, other engagement opportunities within IEEE and IEEE as a whole. a. Is leadership training limited to the governance functions? If not, what is the scope? 20 Comments from OAC Members for Report to R 3 Director ACCEPTED BY OAC NO INPUT FROM SAC -- NEED OAC COMMENTS/RECOMMENDATIONS FOR FINAL REPORT ACCEPTED BY OAC I don't currently have accurate data on this. Normally, there are 2 -5 SPAx events in Region 3 every year, with an average attendance of ~20 students per event See answer above RESPONSES ACCEPTED BY OAC OAC COMMENTS OUTSTANDING PERFORMANCE OF SECON TRAINING, COMPETITION AND AWARDS ACTIVITIES

1. 4 Audit of Student Activities Committee Victor Basantes and Pat Donahoe, current chair and past chair of the Student Activities Committee, met with the OAC to discuss our questions and concerns. These OAC/SAC interactions, and information exchange, were extremely helpful in answering OAC questions and promoting understanding between the audit committee members and the committee being audited. We are grateful for their participation in the audit. Victor and Pat are to be commended for their performance as Region 3 volunteers, and for their leadership of the Student Activities Committee. 21 2/22/2021

2. Audit of Region 3 Area/Council Structure The Council Chair is popularly elected by the members of the respective Council (IEEE Bylaw 1 -402. 3) as defined in the MGA Operations Manual, Section 9. 3. E. 4. Council organization and operation is outlined in IEEE Bylaw 1 -402. 3. Areas function under the direction and management of the Delegate/Director as specified in IEEE Bylaw 1 -402. 2, and the MGA Operations Manual, Section 9. 2. A. 2. 22 2/22/2021

Region 3 Areas/Sections 23 AREA # SECTIONS 1 VA 4 AREA 6 AL/MS 4 2 NC 5 7 SC 4 3 GA 3 AREA 8 KY/IN 3 4 FL 12 AREA 9 JAM 1 5 TN 5 TOTAL SECTIONS 29 2/22/2021 12

Region 3 Areas/Councils/Sections AREA # SECTIONS AREA/COUNCIL # SECTIONS AREA 3 GA 3 1 VA COUNCIL 4 AREA 6 AL/MS 4 2 NC COUNCIL 5 AREA 8 KY/IN 3 4 FL COUNCIL 12 AREA 9 JAM 1 5 TN COUNCIL 5 7 SC COUNCIL 4 TOTAL SECTIONS 24 2/22/2021 11 30

OAC Plan for Conducting Region 3 Areas Audit What are the Issues? Why Conduct audit? What are Pros & Cons of Present Area Structure? How are Other US Regions Using Areas? Replace Area Structure with What? Findings -- What are the Options? Recommendations to Region 3 Director Submit Motion to Ex. Com for Approval 25 2/22/2021

Schedule to Conduct Operational Audit of Region 3 Areas Surveys and Input from Areas and Councils Input from Region 3 Officers, Committees, Sections, Other Regions Assess Data, Opinions, Suggestions Submit Findings & Recommendations to Region 3 Director Prepare Motion for Ex. Com Meeting Fall Ex. Com Meeting: Ex. Com Approve Motion Southeast Con: Submit Motion to R 3 Region Committee for Approval/Endorsement 26 2/22/2021

OAC AUDIT REPORT CONTENTS q Keywords q Problem Situation q Audit Approach q OAC Findings q 1. CONCLUSIONS/RECOMMENDATIONS - Harrison, Marshall & Ratcliff q 2. CONCLUSIONS/RECOMMENDATIONS - Jacquelyn Cunningham q 3. CONCLUSIONS/RECOMMENDATIONS - Steve Kemp q Appendix A - Define the Region 3 Area/Council Structure Problem and issues - Jacquelyn Cunningham q Appendix B - REFLECTIONS on AREAS and the AREA Chair - Steve Kemp q Appendix C – Survey Approach and Results q REGION 3 SECTION CHAIR RESPONSES q REGION 3 AREA CHAIR RESPONSES q Appendix D – REGION 3 SOSC MEMBER REVIEW AND COMMENT RESPONSES 27

Audit Approach q. Define the Region 3 Area/Council Structure Problem and issues (Jacquelyn C) q. Develop audit procedure and schedule (Bill H and Bill R) q. Design surveys, questionnaires, forums, how to collect information needed for audit (Bill M – lead, Bill H and Bill R) q. Prepare list of contacts for data collection (Bill M – lead, Bill H and Bill R) q. Compile and analyze data (OAC) q. Discussions (OAC) q. Develop findings recommendations (OAC) q. Meet as often as determined by OAC 28

OAC Findings q Members of the OAC agree the current Region 3 Area Structure is not working to the best benefit of the Members or Sections. q The optimal operation of Region 3’s Areas is yet to be determined. q The Committee offers three perspectives for moving forward to this determination. 29

1. CONCLUSIONS/RECOMMENDATIONS Harrison, Marshall & Ratcliff • Eliminate the existing geographic Area Structure for Region 3, Areas 1 – 9 • Eliminate the Area Chair positions for Region 3, Areas 1 - 9 • This change eliminates nine voting positions from the Region 3 Executive Committee and eliminates nine votes from the Region 3 Committee • Eliminating Area Chairs leaves 41 sections relating directly to the Region 3 Ex. Com Standing Committees • Extend an invitation to the Councils to participate in the Region 3 Ex. Com / Region Committee to provide a needed perspective with no vote since they have no Governance Responsibility • Create an Ad Hoc team to engineer an Area Support function and implement in Region 3 which at a minimum includes the following: • • 30 Mission /Charter that aligns with the strategic direction of Region 3 Critical Success Factors that are required for Area Support to function Functions / Processes of the Area Support Structure of the Region 3 Ex. Com and Region 3 Committee to perform the Area Support Functions Roles and Responsibilities Expectations and Outcomes and associated metrics Education and Training requirement

2. CONCLUSIONS/RECOMMENDATIONS Jacquelyn Cunningham Based upon the findings, I would inform of the following: • Region activities, surveys, conferences, and conference calls, I believe the members are rejecting this “top knows best” approach to R 3. • R 3 should keep Areas but leverage Areas more effectively by reorganizing areas based upon a grouping defined by the Sections. We see non-politically organized Areas in all other US Regions and in IEEE’s history we can find Areas similarly (non-politically) organized in AIEE. and IRE. Benchmarking against organizations with exploding professional memberships, to whom we find IEEE is losing members, multi-state districts are the norm. These organizations include NASBE, PMI, organizations of corporate and government IT/IS. • Area Sections should elect their leadership not R 3 (appointment) and have more than a Chair position. R 3 executive committee should include these new Chairs. R 3 Standing Committees should pull from Area leadership, allowing true input from Sections. Area Chairs should be able to serve the Region in the absence of the Region Chair, in specific scenarios. 31

3. CONCLUSIONS/RECOMMENDATIONS • • Steve Kemp Keep the Area Structure; it is not flawed but neglected. Train Area Chairs or replace them as needed with more experienced individuals Assign Areas Responsibility to the Sections Support Committee (SSC) Initially, leave the Section assignments to Areas as they are. Changes can be made with experience. Area Chairs need to meet regularly with Region SSC Area Chairs need to meet regularly with their assigned Sections Any Section volunteers wishing to attend Region SSC meetings are welcome to do so. The internals of meetings, goals & objectives, reporting, etc. , can be worked out by the SSC. 32

Region 3 Areas & Area Structure Discussion and Plans for 2020 33 2/22/2021