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

E-Mail

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

E-Mail

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

E-Mail

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

E-Mail

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

E-Mail

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

E-Mail

Joseph J. Evans:  joseph.evans-at-rsmus.com

Daniel J. Nugent:  dnugent-at-auditor.illinois.gov

E-Mail

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

E-mail

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

E-Mail

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

E-Mail

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

E-mail

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

E-mail

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

Email

Cathy:  cbaumann at kpmg.com

Jane:  jclark at auditor.illinois.gov

Email

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

E-Mail

Joseph J. Evans:  joseph.evans-at-rsmus.com

Daniel J. Nugent:  dnugent-at-auditor.illinois.gov

E-Mail

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

Email

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

E-Mail

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

Email

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

Email

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

E-Mail

Joseph J. Evans:  joseph.evans-at-rsmus.com

Thomas L. Kizziah:  tkizziah-at-auditor.illinois.gov

E-Mail

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

Email

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

Email

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

Email

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

Email

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

E-Mail

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

E-Mail

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

E-Mail

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