REPORT DIGEST ILLINOIS GUARDIANSHIP AND ADVOCACY COMMISSION Compliance Examination For the Two Years Ended June 30, 2015 Release Date: December 17, 2015 FINDINGS THIS AUDIT: 4 CATEGORY: NEW -- REPEAT -- TOTAL Category 1: 0 -- 0 -- 0 Category 2: 1 -- 2 -- 3 Category 3: 0 -- 1 -- 1 TOTAL: 1 -- 3 -- 4 FINDINGS LAST AUDIT: 3 Category 1: Findings that are material weaknesses in internal control and/or a qualification on compliance with State laws and regulations (material noncompliance). Category 2: Findings that are significant deficiencies in internal control and noncompliance with State laws and regulations. Category 3: Findings that have no internal control issues but are in noncompliance with State laws and regulations. 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 • (15-2) The Commission was not in compliance with the Guardianship and Advocacy Act. • (15-3) The Commission failed to conduct employee performance evaluations timely. FINDINGS, CONCLUSIONS, AND RECOMMENDATIONS NONCOMPLIANCE WITH THE GUARDIANSHIP AND ADVOCACY ACT The Illinois Guardianship and Advocacy Commission (Commission) did not comply with provisions of the Guardianship and Advocacy Act (Act). We noted the following: • The Commission operated with only 10 of the 11 required members throughout the examination period. • The Commission did not meet with a quorum present during Fiscal Year 2015 and only met twice during Fiscal Year 2014. (Finding 2, page 9) This finding was first reported in 2009. We recommended the Commission continue to work with the Governor’s Office to fill the vacancies and hold meetings at least once every three months as required. The Commission agreed with the facts of the finding and stated quarterly meetings were scheduled but were cancelled when a quorum was not met and the Commission staff are working with the Governor’s Office to try and ensure a full complement of Commissioners. (For the previous Commission response, see Digest Footnote #1.) EMPLOYEE PERFORMANCE EVALUATIONS NOT COMPLETED TIMELY The Commission did not conduct employee performance evaluations timely. The Commission did not timely complete performance evaluations for 7 of 11 (64%) employee personnel files tested. The employee performance evaluations were completed 48 to 82 days late. In addition, one of the employees tested did not receive evaluations during Fiscal Years 2014 and 2015 and one of the employees tested did not receive an evaluation during Fiscal Year 2015. (Finding 3, page 10) We recommended the Commission comply with the Illinois Administrative Code and take appropriate measures to ensure performance evaluations are conducted annually and in a timely manner. The Commission agreed with the finding and stated they will strive to complete evaluations in a more timely manner. ACCOUNTANT’S OPINION We conducted a compliance examination of the Commission, for the two years ended June 30, 2015, as required by the Illinois State Auditing Act. The accountants stated the Commission complied, in all material respects, with the requirements described in the report. WILLIAM G. HOLLAND Auditor General WGH:skm AUDITORS ASSIGNED This examination was performed by the Office of the Auditor General’s staff. DIGEST FOOTNOTES #1 – NONCOMPLIANCE WITH THE GUARDIANSHIP AND ADVOCACY ACT – Previous Commission Response 2013: Commission agrees with the finding and strives to obtain a fully staffed Commission. Two new Commissioners were appointed during the audit period. Several additional candidates have been submitted to the Governor's Office of Executive Appointments. The Commission will continue to find, vet and submit qualified candidates to the Governor's Office as it is a priority for the continued operation of the agency to have a fully staffed Commission.