Draft Policy

NASBA Compliance Checklist for Promotional Material

NASBA Compliance Checklist for Promotional Material

Strict compliance with NASBA requirements is crucial to maintaining the Chapter’s registry and ability to offer CPE credit. For any event where the Chapter offers CPE, this checklist will assist you in making sure the promotional material about your event will be in conformity with NASBA requirements. The checklist will also assist the VP of Communications, the Webmaster, the Reservations Coordinator, and the Treasurer in getting all the correct information about your event onto the website and the CPE completion certificates. According to NASBAguidelines,promotional materialis defined as ANY TYPE of printed or electronic communication that provides course information to prospective course participants. This includes brochures, pamphlets, websites, letters, course catalogs, direct mail, e-mails and memorandums.

Complete the checklist below [all headings in bold red] when preparing flyers or correspondence about your event. The text in italic print is intended as additional information or an example for use by the individual completing the form. Please attach a copy of the completed checklist when sending information about your event to the VP of Communications, the Membership Coordinator, the Treasurer, the Reservations Coordinator, and/or the Webmaster.

Title of program:

<Title>[i.e., “The Importance of Goat’s Milk in the IT Auditor’s Diet”]

Date of program:

<Date>[i.e., Thursday, July 05, 2007]

Location of program:

<Name of Facility>[i.e., SkidRow Tower 86]

<Street Address>[i.e., 123 Skid Row]

<City>, <State> <Zip Code>[i.e., Recession, TX 76099]

Field of Study:

[Under NASBA sponsor registration, the ISACA – North Texas Chapter is only approved for the fields of study below.]

Options are:

  • Auditing
  • Business Law
  • Business Management & Organization
  • Management Advisory Services
  • Behavioral Ethics
  • Communications
  • Personal Development
  • Computer Science
  • Specialized Knowledge and Applications

Instructor(s), Presenter(s), Discussion Leader(s):

For each instructor/presenter/discussion leader provide:

  • Name
  • Credentials [CPA, CISA, etc.,]
  • Description of instructor/presenter/discussion leader expertise related to the program content or learning objectives
  • Topic presented [if applicable]

Learning Objectives:

What is the program intending to teach attendees?

What specific knowledge or skill is the attendee expected to attain from of the program?

Prerequisites:

Options are:

  • None[typically for Overview and Basic program level]
  • Seminars, courses, or experience required for Update, Intermediate and Advanced program levels

Program Level:

Options are:

  • Overview
  • Basic
  • Update[Probably requires a prerequisite of experience in the subject]
  • Intermediate [Probably requires listing prerequisites and advance preparation]
  • Advanced [Requires listing prerequisites and advance preparation]

Program Content:

What are the key elements of the program?

For example:

  • Overview of SOX compliance challenges for small entities
  • Panel discussion of regulatory hot-buttons
  • Best practices in evaluating SAS70 reports

Advance Preparation:

Options are:

  • None
  • Reading materials, projects, etc.,which an attendee would be expected to complete prior to the event

Presentation format: Group – Live

Under NASBA sponsor registration, the ISACA – North Texas Chapter is approved for only the Group – Live presentation format. The text “Presentation format: Group – Live” must be on your promotional material.

Recommended CPE Credits:

Calculate the number of CPE credits based on 1 CPE credit per 50 minutes hour. After the first CPE credit has been awarded, ½ CPE credit may be awarded for 25 minutes of the presentation.

Program registration requirements:

  • Registration Caps [i.e., Maximum number of attendees]:
  • Registration start date and time:
  • Registration end date and time:
  • Alternative methods of registration [if not using the ISACA website]

Include fees for all fee types:

  • Member:
  • Non-member:
  • Student:
  • Early Registration [if applicable]:
  • Late Registration [if applicable]:
  • Walk-in:

Please complete if you (the submitter of this checklist) are NOT the contact person.

  • Contact:
  • Phone Number:

Refund Policy / Complaint Resolution Policy:

The following text MUST be included on all promotional material:

“For information regarding refund, complaint, and program cancellation policies, please visit our website at:

TSBPA Statement

The following statement must appear on all promotional materials where prospective attendees our notified of our status as a CPE sponsor under TSBPA rules:

“We have registered with the Texas State Board of Public Accountancy as a CPE sponsor. This registration does not constitute an endorsement by the Board as to the quality of our CPE programs.”

NASBA Statement

The following “Official National Registry of CPE Sponsor statement” MUST appear on all promotional materials:

“ISACA – North Texas Chapter is registered with the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN37219-2417. Web site:

NASBA Logo:

Use of the logo is not required, but it is advised. The NASBA Statement MUST always appear next to the logo. The logo may be located centered above the NASBA Statement or to the left of the statement. The logo CANNOT appear without the NASBA Statement and must not be smaller than ¾ inch, nor larger than 1 ¾ inch, on its most extreme dimension

Example Word document footer containing Policy, TSBPA, and NASBA statements:

© 2007 North Texas Chapter ISACA, All rights reserved

ISACA – North Texas Chapter CPE Sponsor Roles of Responsibility:

President:

  • General oversight of compliance with NASBA and TSBPA rules
  • Serves as primary contact for NASBA and TSBPA
  • Resolves complaints about programs and refunds

Secretary:

  • Maintains records of correspondence with TSBPA and NASBA and assists the President
  • Maintains records of program applications and renewals

Treasurer:

  • Records physical attendance of customers at Luncheon meetings
  • Provides records of Luncheon meeting attendance to the VP of Membership

Vice President of Programs:

  • Designs promotional material for programs that conform to NASBA guidelines for promotional materials
  • Provides programs information to the VP of Membership and Membership Coordinator for design of program receipts and CPE forms
  • Provides completed promotional material to the Reservations Coordinator for review prior to publication
  • Reviews program material to ensure conformity to NASBA CPE Program Sponsor requirements
  • CPE Programs must:
  • Be based on relevant learning objectives and outcomes that clearly articulate the knowledge, skills and abilities that can be achieved by participants in the learning activities
  • Be consistent with the prerequisite education, experience and/or advance preparation of participant
  • Be current, technically accurate and effectively designed
  • Have been developed by individuals qualified in the subject matter and familiar with instructional design
  • Be reviewed by qualified persons other than those who developed them

Vice President of Education:

  • Designs promotional material for seminars that conform to NASBA guidelines for promotional materials
  • Provides seminar information to the VP of Membership and Membership Coordinator for design of seminar receipts and CPE forms
  • Provides completed promotional material to the Reservations Coordinator for review prior to publication
  • Reviews seminar material to ensure conformity to NASBA CPE Program Sponsor requirements
  • CPE Programs must:
  • Be based on relevant learning objectives and outcomes that clearly articulate the knowledge, skills and abilities that can be achieved by participants in the learning activities
  • Be consistent with the prerequisite education, experience and/or advance preparation of participant
  • Be current, technically accurate and effectively designed
  • Have been developed by individuals qualified in the subject matter and familiar with instructional design
  • Be reviewed by qualified persons other than those who developed them
  • Records physical attendance of customers at seminars and distributes receipts and/or CPE certificates
  • Provides records of seminar attendance to the VP of Membership

VP of Facilities:

  • Assist the Membership Coordinator and Hospitality in control and distribution of CPE forms

VP of Communications:

  • Ensure that all promotional material earning CPE under the ISACA –North Texas Chapter sponsorship contains the required elements described above
  • Review the website and e-mail material for compliance with promotional material requirements

VP of Membership:

  • Maintains records of attendance at seminars, programs, and CISA review courses [any events where CPE is awarded under the ISACA – North Texas Chapter sponsorship]
  • Assists customers with requests for information or support for attendance at events

Certifications Coordinator:

  • Designs promotional material for CISA or CISM review courses that conform to NASBA guidelines for promotional materials
  • Provides review course information to the VP of Membership and Membership Coordinator for design of review course receipts and CPE forms
  • Provides completed promotional material to the Reservations Coordinator for review prior to publication
  • Reviews review course material to ensure conformity to NASBA CPE Program Sponsor requirements
  • CPE Programs must:
  • Be based on relevant learning objectives and outcomes that clearly articulate the knowledge, skills and abilities that can be achieved by participants in the learning activities
  • Be consistent with the prerequisite education, experience and/or advance preparation of participant
  • Be current, technically accurate and effectively designed
  • Have been developed by individuals qualified in the subject matter and familiar with instructional design
  • Be reviewed by qualified persons other than those who developed them
  • Records physical attendance of customers at review courses and distributes receipts and/or CPE certificates
  • Provides records of review course attendance to the VP of Membership

Program Coordinators:

  • Assists the VP of Programs with CPE sponsor requirements as needed

Assistant Treasurer:

  • Assists the Treasurer with distribution of receipts and CPE forms as needed
  • Provides information to customers about CPE certificates as needed

Director of Academic Relations:

  • Ensures any promotional material designed for Academic Relations purposes conforms to NASBA requirements. Note: This is only necessary if CPE is awarded under ISACA – North Texas Chapter sponsorship

Reservations Coordinator:

  • Reviews and edits drafts of all promotional material for compliance with NASBA requirements
  • Publishes NASBA compliant promotional material for luncheon meetings, seminars and review courses on the chapter website
  • Notifies the President and/or Membership Coordinator of any observed errors or potential compliance issues with NASBA/STBPA rules as they apply to the website and other distributed material
  • Provides completed compliance checklist and related materials to the Membership Coordinator within 20 days of an event for filing and use in NASBA/TSBPA sponsorship renewal and/or audits

Membership Coordinator:

  • Assists the VP of Membership in maintaining attendance records at CPE events
  • Assists the President in maintaining and preparing documents, records, and other material for NASBA/TSBPA sponsorship renewal and/or audits
  • Prepares CPE certificate forms for seminars, meetings, and review courses
  • Maintains custody of records and materials for all of the Chapter’s CPE events for use with NASBA/TSBPA sponsorship renewal and/or audits

Job Coordinator:

  • Assists by forwarding questions or complaints regarding CPE and the Chapter’s programs to the President.
  • Notifies the President and/or Membership Coordinator of any observed errors or potential compliance issues with NASBA/STBPA rules as they apply to the website and other distributed material

Hospitality Coordinator:

  • Assists the Treasurer by directing customers during the registration process
  • Assist the Membership Coordinator in control and distribution of CPE forms

Marketing Coordinator:

  • Notifies the President and/or Membership Coordinator of any observed errors or potential compliance issues with NASBA/STBPA rules as they apply to the website and other distributed material
  • Reviews and clarifies the party responsible for granting CPE awards or CPE sponsorship for third party events endorsed or advertised, either in print or electronic form, by the North Texas Chapter ISACA

Webmaster:

  • Reviews the website and associated posted materials to ensure NASBA/TSBPA compliance.
  • Coordinates website design improvements to facilitate compliance with NASBA/TSBPA requirements on promotional material

1st Past President:

  • Notifies the President and/or Membership Coordinator of any observed errors or potential compliance issues with NASBA/STBPA rules as they apply to the website and other distributed material
  • Provides guidance and assists the President and Membership Coordinator in NASBA/TSBPA sponsorship renewals and/or audits

2nd Past President:

  • Notifies the President and/or Membership Coordinator of any observed errors or potential compliance issues with NASBA/STBPA rules as they apply to the website and other distributed material

3rd Past President:

  • Notifies the President and/or Membership Coordinator of any observed errors or potential compliance issues with NASBA/STBPA rules as they apply to the website and other distributed material

Chapter Photographer:

  • Notifies the President and/or Membership Coordinator of any observed errors or potential compliance issues with NASBA/STBPA rules as they apply to the website and other distributed material

Additional resources:

For NASBA CPE program requirements:


(includes full descriptions of field of studies and program review requirements)

For NASBA CPE Sponsor standards:

For TSBPA CPE sponsor rules:

Example Documents on Following Pages

Example Luncheon Flyer format:

February Luncheon Meeting

Information Governance Trends

DATE: Thursday, February 8, 200X

PLACE: CityPlaceConferenceCenter

2711 N. Haskell Avenue

Dallas, TX 75204

Luncheon Speaker:Auditing Your Records & Information Management Program

Angie Fares, RHIA, CRM, CISA; Director of Corporate Records & Information;
RadioShack Corporation

Content: Ms. Fares is the current Director of Corporate Records and Information for RadioShack Corporation. Ms. Fares will provide an overview of what to look for when auditing information management practices within the organization, including possible ways to measure the effectiveness of the electronic records management environment (email, web pages, structured and unstructured electronic applications, images). Ms. Fares will outline activities that auditors will want to consider when gathering information about the controls in their current organizations.

Objectives: Luncheon attendees will be able to:

  • Understand what information management controls need to be considered for audit purposes.
  • Understand what to ask for in order to measure the current effectiveness of the program.
  • Understand the basics of how to write an audit plan for a records and information management audit.

Presentation Method:Group-LiveProgram Level:Basic

Category: AuditPrerequisites/Advance Preparation:None

Recommended CPE Credits:1.0Time:12:40 p.m. – 1:30 p.m.

Lunch registration begins at 11:30 AM.
Lunch is served at Noon.
For more information or to register, visit
If you have any questions regarding registration, please contact .

Registration Fees:ISACA Member $ 25

Non-Member$ 30

Student$ 10

Walk-In $ 35

Don’t Miss the Pre and Post –Luncheon Sessions Described on the Back of This Flyer!

February Pre & Post-Luncheon Meetings

Pre-Luncheon Topic:Best Practices for Information Governance

Penny Quirk; Principal Consultant Manager/Records &
Information Optimization Practice Group; Robbins-Gioia

Content: Currently employed with Robbins-Gioia, Penny Quirk has over 20 years of experience in records and information management with considerable expertise in micrographics, physical and electronic records management, vital records programs, historical records management, litigation support, and records & information auditing. Effective information management has the power to organize people to achieve cooperation and results. While computers offer many options for creating distributing, retrieving and preserving information, the knowledge within the technology must be managed in order to create and maintain communication between individuals and workgroups to achieve successful relationships. This presentation provides best practices, principles and opens discussion around the rise of new opportunities for information technology professionals, auditors, and records managers who want to help their organization adapt and compete in the “information age.”

Objectives: Pre-Session attendees will be able to:

  • Understand the principles and components of a comprehensive records & information management program.
  • Describe the benefits of having a records & information management program.
  • Comprehend the opportunities for records managers, information technology, and audit professionals to be proactive within their respective organizations.

Presentation Method: Group-LiveProgram Level: Basic

Category: Management Advisory ServicesPrerequisites/Advance Preparation: None

Recommended CPE Credits: 1.0Time: 10:30 a.m. – 11:20 a.m.

Post-Luncheon Topic:Rules & Regulations Affecting Records Management and
Information Governance

Steve Woodall, CRM, CPHIT, CPEHR; Director, Records & Information Management;University of North Texas Health Science Center

Content: Health is one of the most highly automated industries in terms of records management and one of the most highly regulated in terms of information privacy. Steve Woodall, a health information manager, will discuss how the current regulatory environment impacts records management and information governance in organizations and the challenges that this could create in terms of compliance. Special emphasis will be placed on new legislation, including the new Federal Rules of Civil Procedure and how this affects electronic records discovery and the challenges of trying to manage the risks associated with discovery requests, particularly if the information requested is required to have additional protection (such as records associated with medical information, HIV status, mental illness, substance abuse, etc.).