March 2016

PROCUREMENT COMMUNICATIONS REPORT

OAG employees must document all written and oral communications they receive that impart or request material information or make a material argument regarding potential action concerning a procurement matter, including but not limited to an application, a contract, or a project.  This requirement does not apply to communications regarding the administration and implementation of an existing contract, except communications regarding change orders or the renewal or extension of a contract.

Name and Title OAG Employee	Date/time of contact	Name and title of  person making  contact and name of company they  represent	Registered Lobbyist?	Name and title of each additional participant to the communication	Method of contact (oral by phone, oral in person, or in writing).  If by phone, list each person's phone number.  If in person, list location of meeting.	Approximate duration of communication.	Provide a detailed summary of the points made by each person involved in the communication, including any action requested or recommendation made, and the substance of your response.
Jon Fox, Audit Manager	3-1-16 11:44am	Marites Sy, Partner, E.C. Ortiz & Co. LLP	No	None	Email: Marites Sy: musy-at-ecortiz.com Jon Fox: jfox-at-auditor.illinois.gov	10 minute	Tes conveyed to me some delays in the Department of Commerce and Economic Opportunity (DCEO) completing the preliminary survey within the requested timeframe.  I responded requesting that Tes keep me apprised of DCEO’s progress in completing the survey form in the coming week.
Jon Fox, Audit Manager	3-1-16 2:55pm	Joe Evans, Partner, RSM US LLP	No	None	Phone: Joe Evans: 847-413-6919 Jon Fox: 217-524-2149	10 minutes	Joe and I discussed the need for the Teacher’s Retirement System (TRS) to complete the updated survey form that I provided to him three weeks ago and for us to attend a survey meeting at TRS prior to contracting with an emphasis on questions #A.10-12.  We discussed the timing of the contract and scheduling the survey visit and that we may want to include this information in the unaudited Other Information section of the compliance report.  We also discussed contracting for the TRS engagement this fiscal year on a fixed fee basis.
Bruce Bullard Director	3-1-16 11:05am	Joe Evans Partner RSM US LLP	No	None	Phone: Joe Evans 847-413-6919 Bruce Bullard 217-782-0811	5 minutes	Mr. Evans called concerning an RFP question. I addressed the matter. The nature of the question does not require a posting to the OAG Procurement Bulletin.
Bruce Bullard Director	3-1-16 3:09pm	Heather Powell Managing Director BKD LLP	No	Terri Davis Fiscal Officer OAG Dean Devert Chief of Staff OAG	Phone: Heather Powell 217-429-2411 Bruce Bullard 217-782-0811 Terri Davis Dean Devert	19 minutes	Telephoned Ms. Powell regarding a proposal submitted to the OAG in response to RFP. Discussed various questions and requested additional information from BKD LLP. Ms. Powell indicated the additional information requested would be provided on or before 3pm on March 3^rd.
Bruce Bullard Director	3-1-16 3:44pm	Catherine Baumann Partner KPMG LLP	No	Terri Davis Fiscal Officer OAG Dean Devert Chief of Staff OAG	Phone: Catherine Baumann 312-665-8980 Bruce Bullard 217-782-0811 Terri Davis Dean Devert	12 minutes	Telephoned Ms. Baumann regarding a proposal submitted to the OAG in response to an RFP. Discussed various questions and requested additional information from KPMG LLP. Ms. Baumann indicated the additional information would be provided on or before 3pm on March 3^rd.
Bruce Bullard Director	3-1-16 5:10pm	Catherine Baumann Partner KPMG LLP	No	None	Phone: Catherine Baumann 312-665-8980 Bruce Bullard 217-782-0811	5 minutes	Ms. Baumann had some additional questions concerning the call earlier in the day. I responded to those questions. Ms. Baumann indicated she is working on the additional information that was requested in the prior phone call.
Daniel J. Nugent, Audit Manager	03-01-16 8:43 a.m.	Heather M. Powell, Managing Director, BKD, LLP	No	None	Phone Heather M. Powell: (217) 421-6869 Daniel J. Nugent: (312) 814-4014	3 Minutes	Ms. Powell and I discussed the date and time for conducting the preliminary survey visit for the forthcoming Fiscal Year 2016 engagement at the Illinois State University.
Daniel J. Nugent, Audit Manager	03-01-16 8:58 a.m.	Heather M. Powell, Managing Director, BKD, LLP	No	None	Phone Heather M. Powell: (217) 421-6869 Daniel J. Nugent: (312) 814-4014	2 Minutes	Ms. Powell and I discussed the date, time, and attendees to represent BKD, LLP at the preliminary survey visit for the forthcoming Fiscal Year 2016 engagement at the Illinois State University.
Daniel J. Nugent, Audit Manager	03-01-16 9:26 a.m. 03-01-16 9:29 a.m. 03-01-16 9:38 a.m.	Kyle Talleur, Senior Manager, BKD, LLP	No	JoEllen Bahnsen, Senior Associate Comptroller, Illinois State University Heather M. Powell, Managing Director, BKD, LLP	E-Mail: Daniel J. Nugent:  dnugent-at-auditor.illinois.gov Kyle Talleur:  ktalleur-at-bkd.com Heather Powell:  hpowell-at-bkd.com JoEllen Bahnsen:  jbahnse-at-ilstu.edu	Three Successive E-Mails	In the first e-mail, I sent a confirmation e-mail to Mr. Talleur, Ms. Powell, and Ms. Bahnsen confirming the date and time for the preliminary survey visit for the forthcoming Fiscal Year 2016 engagement at the Illinois State University.  In the second e-mail, Mr. Talleur confirmed his attendance.  In the third e-mail, Ms. Bahnsen confirmed the location of the meeting on campus.
Daniel J. Nugent, Audit Manager	03-01-16 1:55 p.m. 03-01-16 1:57 pm.	Heather M. Powell, Managing Director, BKD, LLP	No	None	E-Mail: Daniel J. Nugent:  dnugent-at-auditor.illinois.gov Heather Powell:  hpowell-at-bkd.com	Two Successive E-Mails	In the first e-mail, Ms. Powell inquired about the timetable for obtaining the contracting materials she needs to put together an informal proposal for the Fiscal Year 2016 Illinois State University engagement.  In response, I indicated she would have all of the materials before I left the office.
Daniel J. Nugent, Audit Manager	03-01-16 6:43 p.m. 03-01-16 6:44 pm. 03-01-16 6:46 pm.	Heather M. Powell, Managing Director, BKD, LLP	No	None	E-Mail: Daniel J. Nugent:  dnugent-at-auditor.illinois.gov Heather Powell:  hpowell-at-bkd.com	Three Successive E-Mails	I sent the Welcome Letter to Ms. Powell for the Fiscal Year 2016 engagement at the Illinois State University.  Due to the size of the materials being sent to Ms. Powell, I split the attachments into three e-mails.
Bruce Bullard Director	3-2-16 8:25am	Joe Evans Partner RSM US LLP	No	Terri Davis Fiscal Officer OAG Dean Devert Chief of Staff OAG	Phone: Joe Evans 847-413-6919 Bruce Bullard 217-782-0811 Terri Davis Dean Devert	11 minutes	Telephoned Mr. Evans regarding a proposal submitted to the OAG in response to an RFP. Discussed certain questions and requested additional information from RSM US LLP. Mr. Evans indicated the additional information would be provided on or before 3pm on March 3^rd.
Daniel J. Nugent, Audit Manager	03-02-16 9:56 a.m.	Heather M. Powell, Managing Director, BKD, LLP	No	None	Phone Heather M. Powell: (217) 421-6869 Daniel J. Nugent: (312) 814-4014	8 Minutes	Ms. Powell and I discussed the Welcome Letter and preliminary survey visit for the forthcoming Fiscal Year 2016 engagement at the Illinois State University.  In addition, we discussed a security breach impacting the Illinois State University’s payroll on February 29, 2016.
Adam Ausmus, Contract Audit Manager	3-2-16 10:36am	Tami Knight, Partner Kemper CPA Group	No	None	E-mail: Adam Ausmus: aausmus-at-auditor.illinois.gov Tami Knight: tknight-at-kcpag.com	N/A	I sent the Welcome Letter to Ms. Knight for the FY16 engagement of the Illinois Conservation Foundation.
Ryan Goerres, Contract Audit Manager	3-2-16 1:44 pm	Stella Santos, Managing Director Adelfia LLC	No	None	E-mail: Ryan Goerres: rgoerres-at-auditor.illinois.gov Stella Santos: sbsantos-at-adelfiacpas.com	N/A	I sent the Welcome Letter to Ms. Santos for the FY16 engagement of the Illinois Workers' Compensation Commission Self-Insurers' Security Fund.  I informed Ms. Santos that there are new preliminary survey questions on the questionnaire and we need to schedule a meeting with the Agency to discuss.  I also attached a proposed timetable for the engagement.
Daniel J. Nugent, Audit Manager	03-02-16 3:21 p.m.	JoEllen Bahnsen, Senior Associate Comptroller, Illinois State University	No	Kyle Talleur, Senior Manager, BKD, LLP Heather M. Powell, Managing Director, BKD, LLP	E-Mail: Daniel J. Nugent:  dnugent-at-auditor.illinois.gov Kyle Talleur:  ktalleur-at-bkd.com Heather Powell:  hpowell-at-bkd.com JoEllen Bahnsen:  jbahnse-at-ilstu.edu	E-Mail	Ms. Bahnsen sent an e-mail concerning the location of the preliminary survey visit for the forthcoming Fiscal Year 2016 engagement at the Illinois State University.
Bruce Bullard Director	3-3-16 8:36am	Catherine Baumann Partner KPMG LLP	No	Terri Davis Fiscal Officer OAG Dean Devert Chief of Staff OAG	Phone: Catherine Baumann 312-665-8980 Bruce Bullard 217-782-0811 Terri Davis Dean Devert	12 minutes	Telephoned Ms. Baumann regarding the additional information KPMG LLP submitted to the OAG on March 2^nd pursuant to our request on March 1^st. In addition, we asked some additional questions about the KPMG LLP proposal submitted in response to one of the OAG RFPs. Lastly, we requested some additional information wherein Ms. Baumann indicated that it would be provided on or before 3pm on March 4^th.
Bruce Bullard Director	3-3-16 11:01am	Matt Clarkson Manager Doehring, Winders & Co., LLP	No	None	Phone: Matt Clarkson 217-235-0377 Bruce Bullard 217-782-0811	9 minutes	Returned Mr. Clarkson’s telephone call from earlier in the day. Mr. Clarkson has some general questions about one of the RFPs the OAG has issued. I addressed the questions. The nature of the questions asked and the responses provided do not require a posting to the OAG Procurement Bulletin.
Bruce Bullard Director	3-3-16 3:00pm	Paul Pelletier Partner Borschnack, Pelletier  & Co.	No	None	e-mail Paul Pelletier ppelletiec-at-bpc-cpa.com Bruce Bullard bbullard-at-auditor.illinois.gov	email	I responded to an e-mail Mr. Pelletier sent earlier in the day concerning a question that was asked concerning an OAG RFP. The nature of the question and the response provided do not require a posting to the OAG Procurement Bulletin.
Gordon French IS IV	03/3/16 3:02PM	Brandon Engel GWAVA Technologies	No	None	Brandon Engel: brandoneATgwava.com	Email	Price quote on WASP for servers
Elvin Lay, Audit Manager	03/4/2016 8:30 am	Rich Winkel Partner Winkel, Parker & Foster	No	None	Phone: Rich Winkel  563-244-8140 Elvin Lay:  217-782-5205	10 minutes	Inquired of Mr Winkel’s as to the firm’s interest in performing the 2016 compliance audit of the Department on Aging. Also asked if he was aware of any independence concerns and also discussed performance of on-site preliminary survey and assessment of Agency operations prior to contract negotiations.  Mr Winkel expressed that the firm is interested in the engagement and is not aware of any independence issues with the Department.
Bruce Bullard Director	3/7/16 3:40am	Heather Powell Managing Director BKD LLP	No	None	Phone: Heather Powell 217-429-2411 Bruce Bullard 217-782-0811	11 minutes	Telephoned Ms. Powell regarding a question concerning the technical proposal submitted in response to an RFP submitted to OAG. Response to the question was provided. The nature of the question and response do not require a posting to the OAG Procurement Bulletin.
Bruce Bullard Director	3/8/16 3:25pm	Jeff Bonick Partner CliftonLasenAllen	No	None	Phone: Jeff Bonick 309-495-8731 Bruce Bullard 217-782-0811	12 minutes	Mr. Bonick called with some questions regarding one of the RFPs the OAG has issued. I addressed the questions. The nature of the questions and the responses provided do not require a posting to the OAG Procurement Bulletin.
Bruce Bullard Director	3-9-16 8:10am	Catherine Baumann Partner KPMG LLP	No	None	Phone: Catherine Baumann 312-665-8980 Bruce Bullard 217-782-0811	3 minutes	I called Ms. Baumann regarding a proposal submitted in response to an OAG RFP. The matter was addressed. The subject matter discussed does not require a posting to the OAG Procurement Bulletin.
Bruce Bullard Director	3-9-16	Paul Pelletier Partner Borschncak, Pelletier & Co.	No	None	Phone: Paul Pelletier 815-933-1771 Bruce Bullard 217-782-0811	4 minutes	Telephone call with Mr. Pelletier regarding an OAG RFP. The nature of the discussion and the matters addressed do not require a posting to the OAG Procurement Bulletin today.
Bruce Bullard Director	3-9-16	Paul Pelletier Partner Borschncak, Pelletier & Co.	No	None	Phone: Paul Pelletier 815-933-1771 Bruce Bullard 217-782-0811	5 minutes	Telephone call with Mr. Pelletier regarding an OAG RFP. The nature of the discussion and the matters addressed do not require a posting to the OAG Procurement Bulletin today.
Bruce Bullard Director	3-11-16 8:58am	Catherine Baumann Partner KPMG LLP	No	None	Phone: Catherine Baumann 312-665-8980 Bruce Bullard 217-782-0811	3 minutes	Telephone call to Ms. Baumann to let her know the OAG had selected KPMG LLP’s proposal submitted in response to the competitive RFP procurement (RFP 16-3) to perform the upcoming audit engagement of the Illinois State Board of Investment. Further, Mr. Kizziah  from the OAG would be contacting her in the near future to begin the contracting process.
Bruce Bullard Director	3-11-16 9:02 am	Kraig Ritter Partner BKD LLP	No	None	Phone: Kraig Ritter 217429-2411 Bruce Bullard 217-782-0811	3 minutes	Telephone call to Ms. Powell, however, she was out of the Office. Thus, I ended up speaking with Mr. Ritter to let him know the OAG had selected BKD LLP’s proposal submitted in response to the competitive RFP procurement (RFP 16-1) to perform the upcoming audit engagement of the Illinois State Universities Retirement System. Further, Mr. Kizziah from the OAG would be contacting Ms. Powell in the near future to begin the contracting process.
Bruce Bullard Director	3-11-16 9:05 am	Joseph Evans Partner RSM US LLP	No	None	Phone: Joseph Evans 847-413-6919 Bruce Bullard 217-782-0811	3 minutes	Telephone call to Mr. Evans to let him know the OAG had selected RSM US LLP’s proposal submitted in response to the competitive RFP procurement (RFP 16-2) to perform the upcoming audit engagements of: 1) State Employees Retirement System, 2) Judges Retirement System, and 3) General Assembly Retirement System. Further, Mr. Fox from the OAG would be contacting him in the near future to begin the contracting process.
Bruce Bullard Director	3-11-16 2:15pm	Heather Powell Managing Director BKD LLP	No	None	e-mail Heather Powell hpowell-at-bkd.com Bruce Bullard bbullard-at-auditor.illinois.gov	e-mail	I responded to an e-mail from Ms. Powell sent earlier in the afternoon. She had a general question about the OAG RFP and Proposal process. The nature of the question and the response provided do not require a posting to the OAG Procurement Bulletin.
Daniel J. Nugent, Audit Manager	03-10-16 2:00 p.m.	Kyle Talleur, Senior Manager, BKD, LLP Heather M. Powell, Managing Director, BKD, LLP	No	Greg Alt, Vice President for Finance and Planning, Illinois State University JoEllen Bahnsen, Senior Associate Comptroller, Illinois State University Doug Schnittker, Associate Comptroller, Illinois State University Rob Blemler, Chief Internal Auditor, Illinois State University Eric Hodges, Chief Technology Officer, Illinois State University Kevin Crouse, Information Security Officer, Illinois State University	In-Person Conference (all attendees other than Ms. Powell) Illinois State University 302 Hovey Hall Normal, Illinois 61790 Phone 302 Hovey Hall: (309) 438-5038 Heather Powell: (217) 421-6869	55 minutes	We conducted the preliminary survey visit for the forthcoming Fiscal Year 2016 engagement at the Illinois State University.  We discussed the following topics: 1) major information systems modifications and changes; 2) impact experienced by the University from the State’s ongoing budget impasse on the University’s operations and contracts; 3) enrollment and student housing; 4) current cash position and any potential impact on the University and this engagement on a go-forward basis into Fiscal Year 2017; 5) MAP grants; 6) Federal Student Financial Aid programs; 7) the University’s March 2016 Bond Issuance and bond rating; 8) the University’s April 2016 Bond Call; 9) the security breach on February 29, 2016; 10) Fiscal Year 2016 engagement timetable; and, 11) State laws and regulations.
Jon Fox, Audit Manager	3-14-16 11:35am	Joe Evans, Partner RSM US LLP	No	None	Phone: Joe Evans: 847-413-6919 Jon Fox: 217-691-7412	5 minutes	I congratulated Joe on winning the bid for the fiscal year 2016 engagements.  We discussed early work money and a possible start date.  I informed Joe there was no need for a survey visit on RFP engagements.
Bruce Bullard Director	3-14-16 1:10 pm	Shelley Bussen Manager Kyle McGinnis CPA firm	No	Lisa Warden Audit Manager Office of the Auditor General	Phone: Shelley Bussen 217-753-3394 Bruce Bullard 217-782-0811 Lisa Warden	9 minutes	Ms. Warden and I telephoned Ms. Bussen to follow-up on matters that were discussed at the Vendors Conference this morning related to RFP 16-14 concerning the Illinois Historic Preservation Agency. We addressed the matters. The nature of the matters discussed do not require a posting to the OAG Procurement Bulletin. All firms who attended the mandatory Vendors conference are being called so each firm receives the same follow-up information.
Bruce Bullard Director	3-14-16 1:25pm	Jennifer Roan Partner Adelfia LLC	No	Lisa Warden Audit Manager Office of the Auditor General	Phone: Jennifer Roan 312-804-9263 Bruce Bullard 217-782-0811 Lisa Warden	6 minutes	Ms. Warden and I telephoned Ms. Roan to follow-up on matter that were discussed at the Vendors Conference this morning related to RFP 16-14 concerning the Illinois Historic Preservation Agency. We addressed the matters. The nature of the matters discussed do not require a posting to the OAG Procurement Bulletin. All firms who attended the mandatory Vendors conference are being called so each firm receives the same follow-up information.
Bruce Bullard Director	3-14-16 1:38pm	Janice Romack Partner West & Company	No	Lisa Warden Audit Manager Office of the Auditor General	Phone: Janice Romack 618-664-4848 Bruce Bullard 217-782-0811 Lisa Warden	5 minutes	Ms. Warden and I telephoned Ms. Roamack to follow-up on matters that were discussed at the Vendors Conference this morning related to RFP 16-14 concerning the Illinois Historic Preservation Agency. We addressed the matters. The nature of the matters do not require a posting to the OAG Procurement Bulletin. All firms who attended the mandatory Vendors conference are being called so each firm receives the same follow-up information.
Bruce Bullard Director	3-14-16 1:45pm	Marties Sy Partner E C Ortiz & Co.	No	Lisa Warden Audit Manager Office of the Auditor General	Phone: Marties Sy 312-363-9187 Bruce Bullard 217-782-0811 Lisa Warden	4 minutes	Ms. Warden and I telephoned Ms. Sy to follow-up on matters that were discussed at the Vendors Conference this morning related to RFP 16-14 concerning the Illinois Historic Preservation Agency. We addressed the matters. The nature of the matters do not require a posting to the OAG Procurement Bulletin. All firms who attended the mandatory Vendors conference are being called so each firm receives the same follow-up information.
Bruce Bullard Director	3-14-16 1:51pm	Paul Pelletier Partner Borschnack, Pelletier & Co.	No	Lisa Warden Audit Manager Office of the Auditor General	Phone: Paul Pelletier 815-933-1771 Bruce Bullard 217-782-0811 Lisa Warden	3 minutes	Ms. Warden and I telephoned Mr. Pelletier to follow-up on matters that were discussed at the Vendors Conference this morning related to RFP 16-14 concerning the Illinois Historic Preservation Agency. We addressed the matters. The nature of the matters do not require a posting to the OAG Procurement Bulletin. All firms who attended the mandatory Vendors conference are being called so each firm receives the same follow-up information.
Bruce Bullard Director	3-14-16 2:14pm	Brandon Reed Manager Crowe Horwath	No	None	Phone: Brandon Reed 217-862-2706 Bruce Bullard 217-782-0811	5 minutes	I telephoned Mr. Reed to follow-up on matters Ms. Warden discussed at the Vendors Conference this morning related to RFP 16-14 concerning the Illinois Historic Preservation Agency. I addressed the matters. The nature of the matters do not require a posting to the OAG Procurement Bulletin. All firms who attended the mandatory Vendors conference are being called so each firm receives the same follow-up information.
Jose G. Roa, Audit Manager	3-1-16 10am	Lisa Kregor Director CliftonLarsonAllen Joe Evans, Partner RSM US LLP Gilda Priebe Partner VillaLyn Baluga, Manager EC Ortiz & Co, LLP Greg Manning Manager Crowe Horwath LLP Paul Pelletier Partner Borschnack Pelletier & Co. Annabelle Abueg Director Erika Comoro, Senior Adelfia LLC Linda Jous, Chief Accountant Andrea Middleton, Asst. Controller John Perry, FA Director Melinda Gieseke, Assoc. VP for Finance Jennifer Farmer OSPR Director Jeff Slovak Interim VP Admin. & Finance Governor State University	No	None	In person conference Governors State University Building C, Room C1317 1 University Parkway, University Park, IL 60484	20 minutes	A conference was held to discuss RFP 16-6 for the Governor State University engagement.  Overview of RFP was provided to prospective bidders.  University personnel provided overview of changes and current status of University.  Prospective bidders asked questions to OAG, current special assistant auditors, and the University.
Jose G. Roa, Audit Manager	3-8-16 4:10pm	Linda Abernethy, Partner RSM US LLP	No	None	Phone: Linda Abernethy: (847) 413-6248 Jose G. Roa: (312) 814-4008	5 minutes	Contacted Linda Abernethy, partner with RSM USA LLP (RSM) regarding the financial audit and compliance examination for the year ending June 30, 2016 of the Illinois Student Assistance Commission (ISAC).  Linda said they are interested in contracting for the FY16 engagement.  I confirmed that RSM had no independence or conflict of interest issues pertaining to the engagement.  We discussed the need to complete the updated preliminary survey form this year before making a proposal.  I informed her that a welcome letter with be sent in the near future and that a notification letter will be sent to ISAC.
Donna Humphries IS V	March 11, 2016 1:15 PM	Craig Carmichael Unitrends	No	None	Craig Carmichael called us from 781.418.0455	3 Minutes	Craig called me and discussed maintenance renewals for 2016
Donna Humphries IS V	March 11, 2016 2:00 PM	Craig Carmichael Unitrends	No	None	Email: ccarmichaelATunitrends.com	Email	Craig sent a quote on  maintenance renewals for 2016
Peggy Hartson, Audit Manager	3-15-16 10:00am	Amy Sherwood, Partner Sikich LLP	No	Lori Beeler, Audit Liaison, IDOT Stephen Kirk, Chief Internal Auditor IDOT Peggy Smith, IDOT Audit Liaison	In person conference: Illinois Department of Transportation 2300 S. Dirksen Parkway Springfield, IL 62764	30 minutes	We conducted the preliminary survey visit for the forthcoming Fiscal Year 2016 engagement at the Department.  We discussed the following topics: 1) Preliminary survey questionnaire and the Department’s response 2) impact of the State’s ongoing budget impasse on the Department 3) staff levels 4) changes in programs, systems, organization structure 5) audit timelines
Janis Van Durme, Audit Manager	3-16-16 2 pm	Amy Sherwood, Partner Sikich LLP	No	Barb Ringler, Chief Internal Auditor IDOR Angela Bartlett, Internal Auditor IDOR Jacob Flori, IDOR Financial Statement Preparer – Head of Shared Services Cory Stanley, CFO IDOR	In person conference: Illinois Department of Revenue Willard Ice Building 101 W. Jefferson Springfield, IL	60 minutes	We conducted the preliminary survey visit for the forthcoming Fiscal Year 2016 engagement at the Department.  We discussed the following topics: 1.  Preliminary survey questionnaire and the Department’s response               2.  impact of the State’s ongoing budget impasse on the Department 3.  staff levels 4.  changes in programs, systems, organization structure 5.  audit timelines
Peggy Hartson, Audit Manager	3-17-16 11:20am	Amy Sherwood, Partner Sikich LLP	No	None	Phone: Amy Sherwood (217) 793-3363 Peggy Hartson (217) 524-8748	5 minutes	Amy contacted the office to discuss the informal proposal and inquire about early work.   She discussed several items she felt may impact the engagement.
Jose G. Roa, Audit Manager	3-15-16 10:41am	Linda Abernethy, Partner RSM US LLP	No	None	E-Mail: Jose G. Roa:  jroa-at-auditor.illinois.gov Linda Abernethy:  Linda.Abernethy-at-rsmus.com	Email	Emailed Linda Abernethy, partner with RSM USA LLP (RSM) the welcome letter with attachments for the financial audit and compliance examination for the year ending June 30, 2016 of the Illinois Student Assistance Commission (ISAC).
Elvin Lay, Audit Manager	3-17-16 10:00am	Stella Santos Director Adelfia LLC Jennifer Roan Director Adelfia LLC Mavie Valera Director Adelfia LLC	No	Ron Faith Chief Internal Auditor Dept. of Corrections Jared Brunk, Chief Fiscal Officer Dept. of Corrections Tara Kessler, DD Accounting and Compliance Dept. of Corrections Jennifer Lokaitis, Budget Services, Dept. of Corrections Joel Rapaport Accounting and Compliance, Dept. of Corrections	In person conference: Illinois Department of Corrections 1301 Concordia Court Springfield, IL 62794	45 minutes	We conducted the preliminary survey visit for the forthcoming Fiscal Year 2016 engagement at the Department.  We discussed the following topics: 1) Preliminary survey questionnaire and the Department’s response 2) Impact of the State’s ongoing budget impasse on the Department’s major programs and operations 3) staff levels 4) changes in programs, systems, organization structure 5) audit timelines 6) funding mechanisms being utilized for Department operations
Jose G. Roa, Audit Manager	3-17-16 3:00pm	Angela Allen, Principal Washington, Pittman & Mckeever, LLC	No	None	Phone: Angela Allen: (312) 786-0330 Jose G. Roa: (312) 814-4008	5 minutes	Contacted Angela Allen, principal with Washington, Pittman & Mckeever, LLC (WPM) regarding the financial audit and compliance examination for the year ending June 30, 2016 of the Illinois Mathematics & Science Academy (IMSA) and the financial audit for the year ending June 30, 2016 of the IMSA Fund for Advancement of Education (IMSA Fund).  Angela said they are interested in contracting for the FY16 engagement.  I confirmed that WPM had no independence or conflict of interest issues pertaining to the engagement.  We discussed the need to complete the updated preliminary survey form this year before making a proposal. I going to confirmation from IMSA on financial statement presentation for the current year.  I informed her that a welcome letter with be sent in the near future and that a notification letter will be sent to IMSA and IMSA Fund.
Ryan O. Goerres Audit Manager	3/18/2016 10:00am	Jennifer Roan Director Adelfia LLC Maria Balita Director Adelfia LLC Stella Santos Director Adelfia LLC	No	Kelly Hancock Fiscal Operations Officer Illinois Workers’ Compensation Commission Mark Kimmet Chief Internal Auditor Illinois Workers’ Compensation Commission Ronald Rascia General Counsel Illinois Workers’ Compensation Commission Darlene Senger Chief Financial Officer Illinois Workers’ Compensation Commission	In person conference Illinois Workers’ Compensation Commission 100 W. Randolph St.  Suite 8-200, Chicago, IL 60601	15 minutes	We conducted the preliminary survey visit for the forthcoming Fiscal Year 2016 engagement at the Commission.  We discussed the following topics: 1) Preliminary survey questionnaire questions #10, #11, #12 2) Impact of the State’s ongoing budget impasse at the Commission 3) If the Fund has had any large increases or decreases in funding 4)If there are any other ongoing audits or examinations 5) What individual(s) will be responsible for putting together the Financial Statements. 6)  I informed the Illinois Workers’ Compensation that I will be leaving employment with the Auditor General’s Office in the near future and Jose Roa will be taking over as Audit Manager.
Ryan O. Goerres Audit Manager	3/8/2016 9:01am 3/8/2016 3:54 pm 3/9/2016 12:37pm	Jennifer Roan Director Adelfia LLC	No	Maria Balita Director Adelfia LLC Stella Santos Director Adelfia LLC	Ryan Goerres: RGoerres-at-auditor.illinois.gov Jennifer Roan: jsroan-at-adelfiacpas.com Maria Balita: mfbalita-at-adelfiacpas.com Stella Santos: sbsantos-at-adelfiacpas.com	Three successive emails	In the first email, Ms. Roan asked about my availability for scheduling the preliminary survey meeting.  In the second email, Ms. Roan confirmed the Illinois Workers’ Compensation Commission’s availability and who will be participating from the Commission and Adelfia in the meeting.  In the third email, I confirmed my availability to attend the meeting.
Ryan O. Goerres Audit Manager	3/10/2016 10:35am 3/10/2016 10:37am	Jennifer Roan Director Adelfia LLC	No	Maria Balita Director Adelfia LLC Stella Santos Director Adelfia LLC	Ryan Goerres: RGoerres-at-auditor.illinois.gov Jennifer Roan: jsroan-at-adelfiacpas.com Maria Balita: mfbalita-at-adelfiacpas.com Stella Santos: sbsantos-at-adelfiacpas.com	2 successive emails	Ms. Roan inquired if it would be okay to submit the informal proposal after the preliminary survey meeting.  I responded that would be okay.
Ryan O. Goerres Audit Manager	3/18/2016 8:07am	Jennifer Roan Director Adelfia LLC	No	Maria Balita Director Adelfia LLC Stella Santos Director Adelfia LLC	Ryan Goerres: RGoerres-at-auditor.illinois.gov Jennifer Roan: jsroan-at-adelfiacpas.com Maria Balita: mfbalita-at-adelfiacpas.com Stella Santos: sbsantos-at-adelfiacpas.com	Email	Ms. Roan provided a copy of the completed preliminary survey questionnaire and the Illinois Workers’ Compensation Commission’s organization chart.
Ryan O. Goerres Audit Manager	3/18/2016 2:09 am	Jennifer Roan Director Adelfia LLC	No	None	Ryan Goerres: RGoerres-at-auditor.illinois.gov Jennifer Roan: jsroan-at-adelfiacpas.com	Email	Ms. Roan provided the informal proposal.
Peggy Hartson, Audit Manager	3/18/16 11:30am	Amy Sherwood Partner Sikich LLP	No	None	In writing	Mail	Ms. Sherwood provided the informal proposal
Janis Van Durme, Audit Manager	3/18/16 11:30am	Amy Sherwood Partner Sikich LLP	No	None	In writing	Mail	Ms. Sherwood provided the informal proposal for the IDOR engagement.
Elvin Lay, Audit Manager	03/21/2016 10:00 am	Rich Winkel Partner Winkel, Parker & Foster Claire Buyert, Principal Winkel, Parker & Foster Kristyl Mcdaniel, Manager Winkel, Parker & Foster	No	Jean Bohnhoff, Director Dept. on Aging Jennifer Reif, Deputy Director, Dept. on Aging Matt Ryan, Chief of Staff, Dept. on Aging Jennifer Boen, Chief Internal Auditor, Dept. on Aging Jodi Becker, CFO Dept. on Aging Theresa McKeon, Bureau Chief Finance and Admin, Dept. on Aging	In person: Department on Aging One Natural Resources Way Springfield, IL 62702-8966	65 minutes	We conducted the preliminary survey visit for the forthcoming Fiscal Year 2016 engagement at the Department.  We discussed the following topics: 1) Preliminary survey questionnaire and the Department’s response 2) Impact of the State’s ongoing budget impasse on the Department’s major programs and operations 3) staff levels 4) changes in programs, systems, organization structure 5) audit timelines funding mechanisms being utilized for Department operations
Meredith Dean, Audit Manager	03/21/2016 1:30 pm	Rich Winkel, Partner Winkel, Parker & Foster Claire Buyert, Principal Winkel, Parker & Foster Kristyl McDaniel, Manager Winkel, Parker & Foster	No	Marty Paul, Chief Internal Auditor, Office of the State Fire Marshal	In person: Office of the State Fire Marshal 1035 Stevenson Dr. Springfield, IL 62703	85 minutes	We conducted the preliminary survey visit for the forthcoming Fiscal Year 2016 engagement at the Office.  We discussed the following topics: 1) Preliminary survey questionnaire and the Office’s response 2) Impact of the State’s ongoing budget impasse on the Office’s major programs and operations 3) Staff levels 4) Changes in programs, systems, organization structure 5) Audit timelines
Stephanie Wildhaber, Audit Manager	3/22/16 2:41 pm	Debbie Ringer Partner Kerber, Eck & Braeckel	No	None	Phone: Stephanie Wildhaber (217) 558-4255 Debbie Ringer (217) 789-0960	3 minutes	Contacted Ms. Ringer to see if her firm was still interested in performing the FY16 financial audit of the Office of the Secretary of State. She stated they were interested. I asked if there were any conflicts and she stated there were none. I notified Ms. Ringer I would send her the welcome letter by next week.
Bruce Bullard Director	3/22/16 4:00pm	Kyle McGinnis Owner Kyle McGinnis CPA firm	No	None	Phone: Kyle McGinnis 217-753-3377 Bruce Bullard 217-782-0811	3 minutes	I returned the phone call from Mr. McGinnis from earlier in the day. In summary Mr. McGinnis had a question concerning one of the RFPs the Office has on the street. I addressed the question. The nature of the question and the response given do not require a posting to the OAG Procurement Bulletin.
Janis Van Durme, Audit Manager	3/22/16 9 am – 4:30 pm	Amy Sherwood Partner Sikich LLP	No	None	Email: Janis Van Durme: jvandurme-at-auditor.illinois.gov Amy Sherwood: asherwood-at-sikich.com	Email throughout the day	I reviewed the informal proposal Ms. Sherwood had provided for the FY16 IDOR engagements. I had follow-up questions throughout the day and then let her know her final office was accepted, the draft contract had been approved and it is ready for her signature. She stated she would drop by the office on Thursday 3/24/16 and sign them.
Jose G. Roa, Audit Manager	3-24-16 8:41am	Angela Allen, Principal Washington, Pittman & McKeever, LLC	No	None	E-Mail: Jose G. Roa:  jroa-at-auditor.illinois.gov Angela Allen:  aallen-at-wpmck.com	Email	Emailed Angela Allen, Principal, with Washington, Pittman & McKeever, LLC  (WPM) the welcome letter with attachments for the financial audit and compliance examination for the year ending June 30, 2016 of the Illinois Mathematics & Science Academy (IMSA).
Jose G. Roa, Audit Manager	3-24-16 8:42am	Angela Allen, Principal Washington, Pittman & McKeever, LLC	No	None	E-Mail: Jose G. Roa:  jroa-at-auditor.illinois.gov Angela Allen:  aallen-at-wpmck.com	Email	Emailed Angela Allen, Principal, with Washington, Pittman & McKeever, LLC  (WPM) the welcome letter with attachments for the financial audit for the year ending June 30, 2016 of the IMSA Fund for Advancement of Education (IMSA Fund).
Jose G. Roa, Audit Manager	3-18-16 11:28am	Dan Sethness Assurance Manager RSM US LLP	No	None	E-Mail: Jose G. Roa:  jroa-at-auditor.illinois.gov Dan Sethness:  Dan.Sethness-at-rsmus.com	Email	Responded to question from firm regarding hour breakdown on informal proposal for FY16 Illinois Student Assistance Commission Engagement.
Jose G. Roa, Audit Manager	3-22-16 9:38am	Dan Sethness Assurance Manager RSM US LLP	No	None	E-Mail: Jose G. Roa:  jroa-at-auditor.illinois.gov Dan Sethness:  Dan.Sethness-at-rsmus.com	Email	Responded to question from firm regarding background checks on firm staff for informal proposal for FY16 Illinois Student Assistance Commission Engagement.
Gordon French IS IV	03/24/16 10:14AM	Kamela Mellen ePlus Technologies	No	None	Email: Kamela Mellen: kmullenATeplus.com	Email	Price quote on annual CheckPoint Encryption maintenance
Gordon French IS IV	03/24/16 3:12AM	Crucial.com Jennifer Tiffany	No	None	Email: ordermanagementATmicron.com  and crucialgovedATmicron.com	Email	Price quote on memory sticks for laptops
Megan Green, Audit Manager	3/10/16 10:29am 3/10/16 5:19PM	Jennifer Roan Director Adelfia LLC	No	Mavie Valera Director Adelfia LLC Stella Santos Director Adelfia LLC	Megan Green : mgreen-at-auditor.illinois.gov Jennifer Roan: jsroan-at-adelfiacpas.com Mavie Valera: mbvalera-at-adelfiacpas.com Stella Santos: sbsantos-at-adelfiacpas.com	2 successive emails	Ms. Roan inquired if it would be okay to submit the informal proposal after the preliminary survey meeting.  I responded that would be okay.
Megan Green, Audit Manager	3/14/16 9:06am	Jennifer Roan Director Adelfia LLC	No	None	Megan Green : mgreen-at-auditor.illinois.gov Jennifer Roan: jsroan-at-adelfiacpas.com	Email	Ms. Roan provided a copy of the completed preliminary survey questionnaire and related attachments.
Megan Green, Audit Manager	3/15/16 10:00am	Jennifer Roan Director Adelfia LLC Mavie Valera Director Adelfia LLC Stella Santos Director Adelfia LLC	No	Gus Behnke Chief Fiscal Officer Capital Development Board Paula Sorensen Chief Internal Auditor Capital Development Board	In person conference Ms. Santos and Ms. Valera participated via conference call Capital Development Board William G. Stratton Building 401 S. Spring St.  Third Floor, Stratton Building Springfield, IL 62706	90 minutes	We conducted the preliminary survey visit for the forthcoming Fiscal Year 2016 engagement at the Capital Development Board.  We discussed the Board’s responses to the preliminary survey questionnaire and the Impact of the State’s ongoing budget impasse on the Board’s construction projects and operations.
Megan Green Audit Manager	3/18/2016 9:30am	Jennifer Roan Director Adelfia LLC	No	None	Megan Green: mgreen-at-auditor.illinois.gov Jennifer Roan: jsroan-at-adelfiacpas.com	Email	Ms. Roan provided the informal proposal for the Capital Development Board audit.
Megan Green, Audit Manager	3/22/16 11:07am 3/22/16 12:34pm	Jennifer Roan Director Adelfia LLC	No	None	Megan Green: mgreen-at-auditor.illinois.gov Jennifer Roan: jsroan-at-adelfiacpas.com	Email	I asked Ms. Roan the rate Adelfia was proposing per hour for the FY15/16 Capital Development Board engagement and stated the “Disclosures and Conflict of Interest” forms appeared to be missing pages.  Jennifer Roan responded with their proposed rate and provided complete “Disclosures and Conflict of Interest” forms.
Megan Green, Audit Manager	3/28/2016 9:45am	Jennifer Roan Director Adelfia LLC	No	None	Phone: Megan Green 217-558-4234 Jennifer Roan 312-240-9500	Phone call	I informed Ms. Roan that Adelfia’s informal proposal for the FY15/16 Capital Development Board engagement was accepted.
Daniel J. Nugent, Audit Manager	03-28-16 2:05 a.m.	Joseph J. Evans, Partner, RSM US LLP	No	None	Phone Joseph J. Evans: (847) 413-6919 Daniel J. Nugent: (312) 814-4014	3 Minutes	I inquired of Mr. Evans if RSM US LLP was still interested and independent in regards to the upcoming Fiscal Year 2016 engagement of the Department of Employment Security.  Mr. Evans responded RSM US LLP was interested and independent.  Finally, we briefly discussed the preliminary survey, preliminary survey visit, and the Welcome Letter.
Elvin Lay, Audit Manager	3-29-16 10:55am	Jennifer Roan Director Adelfia LLC	No	None	Phone: Elvin Lay (217)782-5205 Jennifer Roan (312)804-9263	1 minute	Discussed that Adlelfia could utilize additional monies for early work associated with the F/C audit for the 2 years ended 6/30/2016.
Joe Butcher, Audit Manager	3-29-16 1:01pm	Mike Noble, Consulting Actuary, Cheiron	No	Gene Kalwarski, Consulting Actuary Ken Kent, Consulting Actuary Jennie Hamburg, Actuarial Analyst	Email: mnoble-at-cheiron.us	Email	Mike provided Cheiron’s proposal for their FY17 work as the State Actuary.
Joe Butcher, Audit Manager	3-30-16 2:26pm	Mike Noble, Consulting Actuary, Cheiron	No	Gene Kalwarski, Consulting Actuary Ken Kent, Consulting Actuary Jennie Hamburg, Actuarial Analyst	Email: mnoble-at-cheiron.us	Email	Sent Mike an email request for a few minor changes to their proposal for the State Actuary FY17 work.
Jane Clark Statewide Single Audit Manager	3-29-16 9:10 am	Cathy Baumann, Partner KPMG	No	None	Email:  cbaumman at kpmg.com	Email	Emailed Cathy Baumann, Partner with KPMG the welcome letter with attachments for the statewide single audit for the year ended June 30, 2016.
Joe Butcher, Audit Manager	3-31-16 10:51am	Mike Noble, Consulting Actuary, Cheiron	No	Gene Kalwarski, Consulting Actuary Ken Kent, Consulting Actuary Jennie Hamburg, Actuarial Analyst	Email: mnoble-at-cheiron.us	Email	Mike provided Cheiron’s updated proposal for their FY17 work as the State Actuary.