REPORT DIGEST ILLINOIS CRIMINAL JUSTICE INFORMATION AUTHORITY COMPLIANCE EXAMINATION For the Two Years Ended: June 30, 2013 Release Date: February 20, 2014 Summary of Findings: Total this audit: 4 Total last audit: 1 Repeated from last audit: 1 State of Illinois, Office of the Auditor General WILLIAM G. HOLLAND, AUDITOR GENERAL To obtain a copy of the Report contact: Office of the Auditor General, Iles Park Plaza, 740 E. Ash Street, Springfield, IL 62703 (217) 782-6046 or TTY (888) 261-2887 This Report Digest and Full Report are also available on the worldwide web at www.auditor.illinois.gov SYNOPSIS • The Illinois Criminal Justice Information Authority failed to complete or timely complete performance evaluations for its employees. • The Illinois Criminal Justice Information Authority did not adequately maintain personnel and payroll files. FINDINGS, CONCLUSIONS, AND RECOMMENDATIONS PERFORMANCE EVALUATIONS NOT COMPLETED OR NOT COMPLETED TIMELY The Illinois Criminal Justice Information Authority (Authority) did not complete or timely complete performance evaluations for its employees. During our sample testing of employees, we noted the following: • Annual performance evaluations for 7 of 30 (23%) employees tested were completed later than 3 months after the due date; • Annual performance evaluations for 3 of 30 (10%) employees tested were not completed for fiscal year 2012; • Annual performance evaluations for 10 of 30 (30%) employees tested were not completed for fiscal year 2013; • Annual performance evaluations for 1 of 30 (3%) employees tested was completed for fiscal year 2012 but the signed copy could not be located. (Finding 1, Pages 9-10) We recommended the Authority evaluate its procedures for monitoring performance evaluations to ensure performance appraisals are completed timely. Authority officials agreed with the finding and recommendation and stated they will comply with applicable requirements in the future. INADEQUATE MAINTENANCE OF PERSONNEL AND PAYROLL FILES The Authority did not adequately maintain personnel and payroll files. During our testing, the Authority could not locate or provide to auditors the following: • Leave approvals for 6 of 30 (20%) employees tested; and • Supporting documents for the information presented in the Agency Workforce Report. We also noted the following inaccuracies in the payroll process: • 1 of 30 (3%) employees tested was paid for an extra day amounting to $256; and • 1 of 6 (17%) employees’ hours tested while on leave of absence were not reported. (Finding 2, Pages 11-12) We recommended the Authority adequately maintain personnel and payroll files. In addition, routine comparison of accrued leave balance and time records to payroll expenditures should be performed to ensure employees are not compensated for unearned time. Further, the Authority should collect the overpayment from former employee and deduct the used leave hours from the current employee. The Authority agreed with the finding and recommendation and stated the Authority will comply with applicable requirements in the future. OTHER FINDING The remaining findings pertaining to disaster recovery capabilities and computer security weaknesses are reportedly being given attention by the Authority. We will review the Authority’s progress towards the implementation of our recommendations in the next engagement. AUDITORS’ OPINION Auditors conducted a compliance examination of the Authority for the two years ended June 30, 2013 as required by the Illinois State Auditing Act. The Authority has no funds that require an audit leading to an opinion on financial statements. WILLIAM G. HOLLAND Auditor General WGH:JGR: AUDITORS ASSIGNED Our special assistant auditors for this engagement were Adelfia LLC.