May 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. |
Bruce Bullard Director |
5/2/16 1:12pm |
Mr. Joe Evans Partner RSM US LLP |
No |
None |
Phone: Joe Evans 312-485-1776 Bruce Bullard 217-782-0811 |
5 minutes |
I telephoned Mr. Evans regarding a proposal submitted to the Illinois Office of the Auditor General in response to an RFP. I requested additional information to be submitted to the Illinois Office of the Auditor General by the close of business on May 5, 2016. Mr. Evans agreed to provide the information on or before the due date. |
Bruce Bullard Director |
5/3/16 8:00am |
Ms.Amy Sherwood Partner Sikich LLP |
No |
None |
Phone: Amy Sherwood 217-793-3363 Bruce Bullard 217-782-0811 |
20 minutes |
I spoke with Ms. Sherwood about a proposal submitted to the Illinois Office of the Auditor General in response to an RFP. I requested additional information to be submitted to the Illinois Office of the Auditor General by the close of business on May 6, 2016. Ms. Sherwood agreed to provide the information on or before the due date. |
Adam Ausmus, Contract Audit Manager |
5/2/16 8:12 am |
Tami Knight, Partner Kemper CPA Group, LLP |
No |
None |
E-Mail: Tami: tknight-at-kcpag.com Adam: aausmus-at-auditor.illinois.gov |
|
I let Ms. Knight know that I would try to get the contracts put together and turned around as quickly as I could. |
Adam Ausmus, Contract Audit Manager |
5/2/16 10:12 am |
Janice Romack, Partner West & Company, LLC |
No |
None |
E-Mail: Janice: jromack-at-westcpa.com Adam: aausmus-at-auditor.illinois.gov |
|
I let Ms. Romack know the proposal for the State Police Merit Board was accepted and I would be putting the contracts in the mail to be signed and returned. |
Adam Ausmus, Contract Audit Manager |
5/2/16 1:48 pm |
Tami Knight, Partner Kemper CPA Group, LLP |
No |
None |
E-Mail: Tami: tknight-at-kcpag.com Adam: aausmus-at-auditor.illinois.gov |
|
I e-mailed Ms. Knight that I did receive the contracting forms she sent for the FY16 Illinois Conservation Foundation audit. I let her know that I did not see a cost proposal included in the documents and asked that she provide a copy of the cost proposal. |
Adam Ausmus, Contract Audit Manager |
5/2/16 3:21 pm |
Tami Knight, Partner Kemper CPA Group, LLP |
No |
None |
E-Mail: Tami: tknight-at-kcpag.com Adam: aausmus-at-auditor.illinois.gov |
|
I e-mailed Ms. Knight about possibly updating a date on the Phase II Engagement Timetable. |
Adam Ausmus, Contract Audit Manger |
5/2/16 4:32 pm |
Tami Knight, Partner Kemper CPA Group, LLP |
No |
None |
E-Mail: Tami: tknight-at-kcpag.com Adam: aausmus-at-auditor.illinois.gov |
|
I e-mailed Ms. Knight about updating a second date on the Phase II Engagement Timetable. |
Daniel J. Nugent, Audit Manager |
05/02/16 8:05 a.m. |
Joseph J. Evans, Partner RSM US LLP |
No |
None |
Joseph J. Evans: joseph.evans-at-rsmus.com Daniel J. Nugent: dnugent-at-auditor.illinois.gov |
|
I opened Mr. Evan’s informal proposal for the Fiscal Year 2016 Department of Employment Security engagement. |
Jon Fox, Audit Manager |
5/3/16 11:30 am |
Joe Evans, Partner RSM US LLP |
No |
None |
Phone: Joe Evans: (847) 413-6919 Jon Fox: (217) 524-2149 |
2 minutes |
Joe Evans called to request an increase in their Phase I budget for the Teachers Retirement System to get an early start on school district census testing. |
Jon Fox, Audit Manager |
5/3/16 11:46 am |
Joe Evans, Partner RSM US LLP |
No |
None |
Phone: Joe Evans: (847) 413-6919 Jon Fox: (217) 524-2149 |
2 minutes |
I got back to Joe Evans and let him know our Office granted his request for an increase in their Phase I budget for the Teachers Retirement System to get an early start on school district census testing. |
Kelly Mittelstaedt Audit Manager |
5/3/16 3:45pm |
Dawn Carlson, Partner Sulaski & Webb CPAs |
No |
None |
Phone: Dawn Carlson: (309) 828-6071 Kelly Mittelstaedt (217) 785-1233 |
5 minutes |
I called Dawn to request additional information for one of the proposals she submitted for Group 5. |
Kelly Mittelstaedt Audit Manager Ameen Dada, Performance Audit Director |
5/3/16 1:15pm |
Diana Smith, Partner West & Company LLC |
No |
None |
Phone: Diana Smith : (217) 235-4747 Kelly Mittelstaedt and Ameen Dada : (217) 782-0812 |
5 minutes |
We called Diana to request to discuss proposals and workload capacity for Group 5 RFPs. |
Stacie Sherman, Audit Manager |
5/4/16 7:25 am |
Linda Abernethy, Partner RSM US LLP |
No |
None |
E-Mail: Linda: Linda.Abernethy-at-rsmus.com Stacie: samling-at-auditior.illinois.gov |
|
I e-mailed Ms. Abernethy to let her know the proposals for the Office of the Treasurer, Illinois Funds and College Savings Program, had been accepted and the contracts are in the mail to be signed and returned. |
Jon Fox, Audit Manager |
5/4/16 8:30am |
Linda Abernethy, Partner RSM US LLP |
No |
None |
Phone: Linda Abernethy: (847) 413-6919 Jon Fox: (217) 524-2149 |
25 minutes |
Linda and I discussed RSM US LLP’s proposal to perform the financial audit and State compliance examination of the Office of the Treasurer, Fiscal Officer Responsibilities for the year ended June 30, 2016. Linda and I discussed the scope, the survey visit, personnel changes and notation items sent with the Welcome letter. We discussed the impact of GASB 72 and the decision to audit the securities lending report under auditing standard AU-805. We discussed the staffing, some changes to the timetable and entrance conference date. We discussed an item in the disclosure form. We discussed some proposed changes to the Phase II audit hours. After coming to agreement I said I would submit the contract to the Directors for approval. |
Adam Ausmus, Contract Audit Manager |
5/3/16 1:01 pm |
Tami Knight, Partner Kemper CPA Group |
No |
Phillip Spencer, Auditor Kemper CPA Group |
E-Mail: Tami: tknight-at-kcpag.com Adam: aausmus-at-auditor.illinois.gov |
|
Ms. Knight sent me a copy of Kemper CPA Group’s informal cost proposal for the FY16 audit of the Illinois Conservation Foundation. |
Adam Ausmus, Contract Audit Manager |
5/4/16 9:32 am |
Tami Knight, Partner Kemper CPA Group |
No |
None |
E-Mail: Tami: tknight-at-kcpag.com Adam: aausmus-at-auditor.illinois.gov |
|
I let Ms. Knight know the proposal for the Illinois Conservation Foundation was accepted and I would be putting the contracts in the mail to be signed and returned. |
Jon Fox, Audit Manager |
5/4/16 2:40pm |
Linda Abernethy, Partner RSM US LLP |
No |
None |
Phone: Linda Abernethy: (847) 413-6919 Jon Fox: (217) 524-2149 |
6 minutes |
Linda and I discussed documentation, representation letters, final deliverables and the lockdown necessary for the separate AU-805 audit of the securities lending information done in conjunction with the Office of the Treasurer, Fiscal Officer Responsibilities engagement. |
Elvin Lay, Audit Manager |
05/05/16 7:55 am |
Linda Abernethy, Partner RSM US LLP |
No |
None |
E-Mail: Linda: linda.abernethy- at- rsmus.com Elvin: elay-at-auditor.illinois.gov |
|
Conveyed the number of hours needed for the IS work and the amount of early work to be used for Phase I. |
Jon Fox, Audit Manager |
5/6/16 9:00am |
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 RSM US LLP’s proposal to perform the financial audit, State compliance examination and special purpose financial audit of the pension allocation schedules of the Teachers’ Retirement System for the year ended June 30, 2016. Joe and I discussed the scope, the survey visit, personnel changes and notation items sent with the Welcome letter. We discussed the impact of GASB 72. We discussed the staffing and some changes to the timetable. After coming to agreement I said I would submit the contract to the Directors for approval. |
Elvin Lay, Audit Manager |
05/10/16 8:30 am |
Linda Abernethy, Partner RSM US LLP |
No |
None |
E-Mail: Linda: linda.abernethy- at- rsmus.com Elvin: elay-at-auditor.illinois.gov |
|
Email to Ms Abernethy to further discuss proposed hours. |
Jane Clark Statewide Single Audit manager |
5/6/16 7:22 am |
Cathy Baumann Partner KPMG LLP |
No |
None |
Cathy: cbaumann at kpmg.com Jane: jclark at auditor.illinois.gov |
|
Cathy provided proposal information for FY16 single audit engagement. |
Stephanie Wildhaber, Contract Manager |
5/10/16 9:17 am |
Deborah Ringer, Partner Kerber, Eck & Braeckel, LLP |
No |
None |
Phone: Deborah Ringer: (217) 789-0960 Stephanie Wildhaber: (217) 558-4255 |
2 minutes |
Spoke to Ms. Ringer regarding the rate and hours proposed for the FY16 Financial Audit of the Secretary of State |
Stephanie Wildhaber, Contract Manager |
5/10/16 2:36 pm |
Deborah Ringer, Partner Kerber, Eck & Braeckel, LLP |
No |
None |
Phone: Deborah Ringer: (217) 789-0960 Stephanie Wildhaber: (217) 558-4255 |
5 minutes |
Spoke to Ms. Ringer to let her know the proposal had been approved and arranged to have her sign the contract. |
Janis Van Durme, Audit Manager |
5/10/16 2:50 pm |
Tom Leach, Partner Sikich, LLP |
No |
None |
Phone: Tom Leach: (217) 423-6000 Janis Van Durme: (217) 782-8393 |
5 minutes |
Tom Leach called regarding a soft discussion on the amount of hours/rate needing to be budgeted for the FY16 Financial Audit of the Department of Healthcare and Family Services. After the initial discussion on hours and rates, I told him he could go ahead and submit the Informal Proposal Documents. |
Daniel J. Nugent, Audit Manager |
05/11/16 10:15 a.m. |
Joseph J. Evans, Partner RSM US LLP |
No |
None |
Joseph J. Evans: joseph.evans-at-rsmus.com Daniel J. Nugent: dnugent-at-auditor.illinois.gov |
|
I responded to Mr. Evan’s informal proposal for the Fiscal Year 2016 Department of Employment Security engagement. I provided an analysis of the firm’s hours over the past two cycles and presented a counteroffer for Mr. Evan’s consideration. I requested he contact me by phone after reviewing the spreadsheet to further discuss the engagement. |
Jane Clark Statewide Single Audit Manager |
5/11/16 2:14 p.m. |
Cathy Baumann, Partner KPMG LLP |
No |
None |
Phone Cathy Baumann: 312-665-8980 Jane Clark: 217-782-0816 |
3 minutes |
Let her know we had accepted her proposal hours and contract rate. I will be mailing the contracts for signature (via overnight deliver). Asked that she review, sign and overnight back to me. |
Kelly Mittelstaedt Audit Manager |
5/12/16 10:00 am |
Tami Knight, Partner West & Company LLC |
No |
None |
Phone: Tami Knight: (217) 234-8801 Kelly Mittelstaedt (217) 785-1233 |
5 minutes |
Tami returned my call and I informed her of the Group 5 ROE audits Kemper CPA Group was awarded. |
Kelly Mittelstaedt Audit Manager Ameen Dada Director |
5/12/16 10:10 a.m. |
Dawn Carlson, Partner Sulaski and Webb |
No |
None |
Phone: Dawn Carlson: (308) 828-6071 Kelly Mittelstaedt and Ameen Dada: (217) 782-0812 |
5 minutes |
We called Dawn Carlson and informed her of the Group 5 ROE audit that was awarded to Sulaski & Webb. |
Kelly Mittelstaedt Audit Manager |
5/12/16 10:15 am |
Kristyl McDaniel, Manager, Winkel, Parker & Foster |
No |
None |
Phone: Kristyl McDaniel (563) 242-3440 Kelly Mittelstaedt (217) 785-1233 |
5 minutes |
Kristyl returned my call to Richard Winkel and I informed her of the Group 5 ROE audits Winkel, Parker & Foster was awarded. |
Kelly Mittelstaedt Audit Manager |
5/12/16 10:35 am |
Diana Smith, Partner West & Company LLC |
No |
None |
Phone: Diana Smith : (217) 235-4747 Kelly Mittelstaedt (217) 785-1233 |
5 minutes |
Diana returned my call and I informed her of the Group 5 ROE audits West & Company was awarded. |
Kelly Mittelstaedt Audit Manager Ameen Dada Director |
5/12/16 10:45 a.m. |
Robert Arnholt Partner, Doering Winders & Company |
No |
None |
Phone: Robert Arnholt (217) 235-0377 Kelly Mittelstaedt and Ameen Dada: (217) 782-0812 |
10 minutes |
We called Robert Arnholt and informed him of the Group 5 ROE audit that was awarded to Doering Winders & Company. |
Kelly Mittelstaedt Audit Manager Ameen Dada Director |
5/12/16 10:55 a.m. |
Tom McGreal Partner, McGreal & Company |
No |
None |
Phone: Robert Arnholt (217) 235-0377 Kelly Mittelstaedt and Ameen Dada: (217) 782-0812 |
5 minutes |
We called Tom McGreal and informed him of the Group 5 ROE audit that was awarded to McGreal & Company. |
Janis Van Durme, Audit Manager |
5/12/16 1:00 pm |
Tom Leach, Partner Sikich, LLP |
No |
None |
Email: Tom Leach: tleach-at-sikich.com Janis Van Durme: jvandurme-at-auditor.illinois.gov |
|
Tom Leach emailed the Informal Proposal and attachments for the HFS FY16 Financial Audit. |
Janis Van Durme, Audit Manager |
5/10/16 3:00 pm |
Tom Leach, Partner Sikich, LLP |
No |
None |
Phone: Tom Leach: (217) 423-6000 Janis Van Durme: (217) 782-8393 |
2 minutes |
I called Tom Leach to let him know the proposal had been approved and told him that we would send the contract to his office for signature. |
Bruce Bullard Director |
5/13/16 8:09am |
Amy Sherwood Partner Sikich LLP |
No |
None |
Phone: Amy Sherwood 217-793-3363 Bruce Bullard 217-782-0811 |
2 minutes |
I called Ms. Sherwood to let her know the Illinois Office of the Auditor General had selected Sikich LLP to perform the upcoming audit engagements of the Department of Central Management Services and the Illinois Deferred Compensation Program through the competitive procurement process. Further, Ms. Sara Metzger from the Office of the Auditor General would be in contact with her in the near future. |
Bruce Bullard Director |
5/13/16 8:14am |
Joe Evans Partner RSM US LLP |
No |
None |
Phone: Joe Evans 312-485-1776 Bruce Bullard 217-782-0811 |
2 minutes |
I called Mr. Evans to let him know the Illinois Office of the Auditor General had selected RSM US LLP to perform the upcoming audit engagement of the Illinois Finance Authority through the competitive procurement process. Further, Mr. Tom Kizziah from the Office of the Auditor General would be in contact with him in the near future. |
Daniel J. Nugent, Audit Manager |
05/13/16 9:54 a.m. |
Sean Hickey, Manager RSM US LLP |
No |
None |
Phone and E-Mail: Sean Hickey: sean.hickey-at-rsmus.com Sean Hickey: 630-946-9227 Daniel J. Nugent: dnugent-at-auditor.illinois.gov Daniel J. Nugent: 312-814-4014 |
11 minutes |
Mr. Hickey and I discussed the informal proposal and my counteroffer for the upcoming Fiscal Year 2016 Department of Employment Security engagement. The discussion focused on the rate, hours needed to perform revenue and expenditure testing, and financially-significant mandates. Sean was going to confer with Mr. Evans, who would call me back on May 16, 2016, to discuss these matters. |
Roberta Pape Fiscal Officer |
05/13/16 10:22 am |
Nadine Liberatore R K Dixon Strategic Acct. Ex |
No |
None |
rpape-at-auditor-illinois-gov nliberatore-at-rkdixon-com |
1 minute |
Received FY 17 renewal pricing for two Lanier copiers |
Roberta Pape Fiscal Officer |
5/14/16 9:14 am |
Melinda Crumly Sentinel Pest Control Lab Inc Office Manager |
No |
None |
Rpape-at-auditor-illinois-gov Sentinel-pestcontrol-gmail-com |
1 minute |
Received FY 17 renewal pricing for pest control services |
Roberta Pape Fiscal Officer |
5/17/16 1:17 PM |
Kelly Murray Xerox Service Contract Manager |
No |
None |
U.S. Mail - written |
1 minute |
Received FY 17 renewal pricing for Xerox WC245H copier |
Thomas L. Kizziah, Audit Manager |
5/19/16 9:55am |
Joseph J. Evans, Partner RSM US LLP |
No |
None |
Joseph J. Evans: joseph.evans-at-rsmus.com Thomas L. Kizziah: tkizziah-at-auditor.illinois.gov |
|
Joe emailed me the contracting documents for the upcoming Illinois Finance Authority financial audit. This audit was awarded to RSM US LLP through the RFP process. RFP 16-36. |
Roberta Pape Fiscal Officer |
5/20/16 11:02 am |
Melinda Crumly Sentinel Pest Control Lab Inc Office Manager |
No |
None |
U.S. Mail |
1 mintue |
Received FY 17 renewal contract for pest control services |
Lisa Warden Audit Manager |
5/3/16 4:05 pm |
Stella Santos Managing Principal Adelfia LLC |
No |
None |
Stella Santos 1-312-240-9500 Lisa Warden 1-217-782-6046 |
12 minutes |
Discussed timetable dates for audit of Western Illinois University for FY16. |
Lisa Warden Audit Manager |
5/3/16 5:54pm |
Stella Santos Managing Principal Adelfia LLC |
No |
None |
Stella Santos sbsantos- at - adelfiacpas.com Lisa Warden lwarden - at - auditor.illinois.gov |
|
Received proposed revised timetable dates for FY16 WIU audit. |
Lisa Warden Audit Manager |
5/4/16 10:36am |
Stella Santos Managing Principal Adelfia LLC |
No |
None |
Stella Santos sbsantos- at - adelfiacpas.com Lisa Warden lwarden - at - auditor.illinois.gov |
|
Agreed tofirm’s proposed revised timetable dates for FY16 WIU audit. |
Lisa Warden Audit Manager |
5/4/16 11:53am |
Stella Santos Managing Principal Adelfia LLC |
No |
None |
Stella Santos sbsantos- at - adelfiacpas.com Lisa Warden lwarden - at - auditor.illinois.gov |
|
Agreed to firm’s requested changes to staffing of FY16 WIU audit. |
Lisa Warden Audit Manager |
5/4/16 4:10pm |
Stella Santos Managing Principal Adelfia LLC |
No |
None |
Stella Santos 1-312-240-9500 Lisa Warden 1-217-785-2683 |
10 minutes |
Discussed proposed hours for FY16 WIU audit. |
Lisa Warden Audit Manager |
5/5/16 12:57pm |
Paul Pelletier Partner Borschnack & Pelletier |
No |
None |
Paul Pelletier 1-815-933-1771 Lisa Warden 1-217-785-2683 |
5 minutes |
Requested additional information for proposal on FY15/16 examination of Historic Preservation Agency. |
Lisa Warden Audit Manager |
5/5/16 1:52pm |
Paul Pelletier Partner Borschnack & Pelletier |
No |
None |
Paul Pelletier ppelletier - at - bpc-cpa.com Lisa Warden lwarden - at - auditor.illinois.gov |
|
Received additional information for proposal on FY15/16 examination of Historic Preservation Agency. |
Daniel J. Nugent, Audit Manager |
05/19/16 4:10 p.m. |
Joe Evans, Partner RSM US LLP |
No |
None |
Phone: Daniel J. Nugent: 312-814-4014 Joe Evans 312-485-1776 |
10 minutes |
Mr. Evans and I had a conversation about the proposed hours and rate for the upcoming Fiscal Year 2016 engagement at the Department of Employment Security. After the discussion, I let Mr. Evans know I would need to think about his comments. |
Daniel J. Nugent, Audit Manager |
05/19/16 8:36 p.m. |
Joe Evans, Partner RSM US LLP |
No |
None |
E-Mail: Joe Evans: joseph.evans-at-rsmus.com Daniel J. Nugent: dnugent-at-auditor.illinois.gov |
|
Mr. Evans sent me an e-mail describing his perspectives and reasoning behind his informal proposal for the upcoming Fiscal Year 2016 engagement at the Department of Employment Security. |
Daniel J. Nugent, Audit Manager |
05/20/16 10:30 a.m. |
Joe Evans, Partner RSM US LLP |
No |
None |
Phone: Daniel J. Nugent: 312-814-4014 Joe Evans 312-485-1776 E-Mail: Joe Evans: joseph.evans-at-rsmus.com Daniel J. Nugent: dnugent-at-auditor.illinois.gov |
1 minute |
I sent Mr. Evans an e-mail and gave him a call that I would like to speak to him about the upcoming Fiscal Year 2016 Department of Employment Security engagement. Mr. Evans sent an e-mail indicating he would call back around 11:00 a.m. |
Daniel J. Nugent, Audit Manager |
05/20/16 11:00 a.m. |
Joe Evans, Partner RSM US LLP |
No |
None |
Phone: Daniel J. Nugent: 312-814-4014 Joe Evans 312-485-1776 |
5 minutes |
Mr. Evans and I had a conversation about the proposed hours and rate for the upcoming Fiscal Year 2016 engagement at the Department of Employment Security. |
Daniel J. Nugent, Audit Manager |
05/23/16 8:20 a.m. |
Joe Evans, Partner RSM US LLP |
No |
None |
Phone: Daniel J. Nugent: 312-814-4014 Joe Evans 312-485-1776 |
5 minutes |
Mr. Evans and I had a conversation about the proposed hours and rate for the upcoming Fiscal Year 2016 engagement at the Department of Employment Security. I accepted, subject to approval by OAG management in Springfield, his informal proposal for the upcoming Fiscal Year 2016 engagement at the Department of Employment Security |
Daniel J. Nugent, Audit Manager |
05/23/16 Noon |
Joe Evans, Partner RSM US LLP |
No |
None |
E-Mail: Joe Evans: joseph.evans-at-rsmus.com Daniel J. Nugent: dnugent-at-auditor.illinois.gov |
|
I sent Mr. Evans an e-mail indicating the Office had accepted his proposal for the upcoming Fiscal Year 2016 engagement at the Department of Employment Security |
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