February 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 |
2/3/16 1:35pm |
Joe Evans RSM US Partner |
No |
None |
Phone Joe Evans 847-413-6919 Bruce Bullard 217-782-0811 |
5 minutes |
I returned a telephone call from Mr. Evans. Mr. Evans had a general question about the OAG RFP procurements. I addressed the question. The nature of the question and the response provided do not require a posting to the OAG procurement bulletin. |
Daniel J. Nugent, Audit Manager |
02-04-16 11:03 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 |
I inquired of Ms. Powell if BKD, LLP was still interested and independent in regards to the upcoming Fiscal Year 2016 engagement of the Illinois State University. Ms. Powell responded BKD, LLP was interested and independent. Further, we discussed the engagement timetable with regards to contracting and that the scope of this engagement will include a review of the Illinois State University’s information systems. |
Janis Van Durme, Audit Manager |
02-04-16 10: 54 am |
Amy Sherwood Partner, Sikich LLP |
No |
None |
Email: Janis Van Durme: jvandurme-at-auditor-illinois-gov Amy Sherwood: ASherwood-at-sikich-com |
N/A |
I inquired of Ms. Sherwood if Sikich, LLP was still interested and independent in regards to the upcoming Fiscal Year 2016 engagements (Financial Audit and Compliance Examination) of the Illinois Department of Revenue. Ms. Sherwood responded Sikich, LLP was interested and independent. |
Jon Fox, Audit Manager |
02-04-16 11:05am |
Marites Sy Partner E.C. Ortiz & Co. LLP |
No |
None |
Phone: Marites Sy: (312) 876-1900 Jon Fox: (217) 524-2149 |
15 minutes |
I made preliminary contract with Marites (Tes) Sy, partner with E.C. Ortiz & Co. LLP (ECO) regarding the biennial compliance examination for the two-years ending June 30, 2016 of the Department of Commerce and Economic Opportunity (DCEO). Tes said they are interested in contracting for the fy15-16 DCEO engagement. I confirmed that ECO had no independence or conflict of interest issues pertaining to the DCEO engagement. We discussed the status of ECO’s license and peer review. Both are current with no pending issues. We discussed the early work budget available, a possible start date and some possible minor revisions to the timetable. We discussed the need to complete the updated preliminary survey form this year before making a proposal. |
Jon Fox, Audit Manager |
02-04-16 1:10pm |
Linda Abernethy Partner RSM USA LLP |
No |
None |
Phone: Linda Abernethy: (847) 413-6248 Jon Fox: (217) 524-2149 |
15 minutes |
I made preliminary contract with Linda Abernethy, partner with RSM USA LLP (RSM) regarding the annual financial audit and compliance examination for the year ending June 30, 2016 of the Office of the Treasurer, Fiscal Officer Responsibilities (TrFO). Linda said they are interested in contracting for the fy16 TrFO engagement. I confirmed that RSM had no independence or conflict of interest issues pertaining to the TrFO engagement. We discussed the status of RSM’s license and peer review. Both are current with no pending issues. We discussed the early work budget available and a possible start date. We discussed the need to complete the updated preliminary survey form this year before making a proposal. |
Jon Fox, Audit Manager |
02-04-06 2:10pm |
Joe Evans Partner RSM USA LLP |
No |
None |
Phone: Joe Evans: (312) 634-4540 Jon Fox: (217) 524-2149 |
10 minutes |
I made preliminary contract with Joe Evans, partner with RSM USA LLP (RSM) regarding the annual financial audit, compliance examination and special purpose financial audit of the pension allocation schedules for the year ending June 30, 2016 of the Teachers’ Retirement System (TRS). Joe said they are interested in contracting for the fy16 TRS engagement. I confirmed that RSM had no independence or conflict of interest issues pertaining to the TRS engagement. We discussed the status of RSM’s license and peer review. Both are current with no pending issues. We discussed the early work budget available and a possible start date. We discussed the early work budget available, a possible start date and some possible minor revisions to the timetable. We discussed the need to complete the updated preliminary survey form this year before making a proposal. |
Megan Green, Audit Manager |
2-5-16 9:55am |
Jennifer Roan, Director Adelfia LLC |
No |
None |
Phone: Jennifer Roan: (312) 240-9500 Megan Green: (217) 558-4234 |
3 minutes |
I inquired of Ms. Roan if Adlefia LLC was still interested and independent in regards to the upcoming Fiscal Year 2016 engagement (Financial Audit and Compliance examination) of the Capital Development Board. Ms. Roan responded Adelfia LLC was interested and independent. We also discussed the need to complete the updated preliminary survey form this year before making a proposal. |
Peggy Hartson, Audit Manager |
2-8-16 11:04am |
Mike Hillary, Partner CliftonLarsonAllen LLP |
No |
None |
Phone: Mike Hillary: (309) 495-8720 Peggy Hartson (217) 524-8748 |
2 minutes |
I inquired of Mr. Hillary if CLA was still interested and independent in regards to the upcoming Fiscal Year 2016 engagement (Financial Audit and Compliance examination) of the Comptroller- Fiscal Officer Responsibility and the FY15/16 compliance examination of the Comptroller - Nonfiscal. Mr. Hillary stated the firm was interested and independent. We also discussed the need to complete the updated preliminary survey form this year before making a proposal. |
Peggy Hartson, Audit Manager |
2-10-16 8:41am |
Amy Sherwood, Partner Sikich LLP |
No |
None |
In person at the Stratton Building C-1 prior to the LAC meeting. Amy Sherwood Peggy Hartson |
4 minutes |
I inquired of Ms. Sherwood if Sikich LLP was still interested in regards to the FY16 engagement of the Department of Transportation. Ms. Sherwood stated the firm was interested and independent. We also discussed the need to complete the updated preliminary survey from this year before making a proposal. |
Ryan Goerres, Audit Manager |
2-10-16 2:57pm |
Stella Santos Managing Director Adelfia LLC |
No |
None |
Phone: Stella Santos: (312) 240-9500 Ryan Goerres: (312) 814-4017 |
5 minutes |
I inquired of Ms. Santos if Adelfia LLC was still interested and independent in regards to the upcoming Fiscal Year 2016 engagement (Financial Audit) of the Illinois Workers Compensation Commission. Ms. Santos responded Adelfia LLC was interested and independent. |
Thomas L. Kizziah, Audit Manager |
2-15-16 2:30pm |
Jeff Bonick, Managing Principal CliftonLarsonAllen |
No |
None |
Phone: Jeff Bonick: (309) 495-8731 Thomas L. Kizziah (312) 814-4073 |
5 minutes |
I spoke with Jeff regarding the upcoming 2016 engagement for the University of Illinois. He stated that he was interested in performing that engagement and that the Firm was independent. We had some preliminary discussions regarding the entrance conference scheduling and we also discussed the timing of my receipt of the contract forms from the firm. |
Janis Van Durme, Audit Manager |
02-19-16 8:26-9:15 am |
Amy Sherwood Partner, Sikich LLP |
No |
None |
Email: Janis Van Durme: jvandurme-at-auditor-illinois-gov Amy Sherwood: ASherwood-at-sikich-com Phone: Janis Van Durme (217) 782-8393 Amy Sherwood: (217) 793-3363 |
I initially emailed Ms. Sherwood for her to call me to begin the discussions of starting the negotiations for the Sikich LLP contract regarding the FY16 engagement of the Department of Revenue. Ms. Sherwood called in response to the email and we discussed the need to complete the updated preliminary survey from this year before making a proposal and then contacting the agency to go over the preliminary survey. I also told her I would soon be mailing out the Notification Letter to the Department and sending her the Welcome Letter. |
|
Janis Van Durme, Audit Manager |
02-19-16 9:52 am |
Amy Sherwood Partner, Sikich LLP |
No |
None |
Email: Janis Van Durme: jvandurme-at-auditor-illinois-gov Amy Sherwood: ASherwood-at-sikich-com |
I emailed Ms. Sherwood the Welcome Letter for the FY16 Financial Audit and FY15/16 Compliance Engagements for the Department of Revenue. Attachments include standard Contract Forms, the updated Preliminary Survey and Mandate Listings. |
|
Gordon French IS IV |
02/22/16 12:17PM |
Ron Clark – CDS Jason Contreras - Insight Gus Monson – CDW-G |
No
No
No |
None
None
None |
www.cdsot.com
Email: Jason.ContrerasATinsight.com
Email: gusmATcdw.com |
Online
|
Price quote on 2 sets of cartridges/fuser, memory & ironkey |
Adam Ausmus, Contract Audit Manager |
2-9-16 3:30pm |
Tami Knight Partner, Kemper CPA Group |
No |
None |
Phone: Adam Ausmus: (217) 558-4243 Tami Knight: (217) 234-8801 |
10 minutes |
I inquired of Ms. Knight whether Kemper CPA Group was still interested and independent in regards to performing the financial audit and compliance examination of the Illinois Conservation Foundation (ICF) for FY16. Ms. Knight indicated that they were both interested and still independent. I also explained to Ms. Knight that I would be obtaining responses from ICF for the Preliminary Survey Questionnaire, which includes several new questions regarding how the agency has been operating with the current budget impasse. I added that I would provide the responses to Tami for her use when submitting a proposal. |
Lisa Warden Audit Manager |
2-22-16 4:12pm |
Gilda Priebe, Partner E.C. Ortiz & Co, LLP |
No |
None |
Phone: Lisa Warden 217-785-2683 Gilda Priebe 312-876-1900 |
5 minutes |
I discussed the FY15/16 upcoming Illinois State Board of Education engagement and modified the amount anticipated for the Phase I contract. |
Adam Ausmus, Contract Audit Manager |
2-24-16 9:00am |
Tami Knight Partner, Kemper CPA Group |
No |
None |
Email: Adam Ausmus: aausmus-at-auditor.illinois.gov Tami Knight: tknight-at-kcpag.com |
N/A |
I forwarded the Illinois Conservation Foundation’s responses to the Preliminary Survey Questionnaire to Ms. Knight for her use when preparing the contract proposal. |
Meredith Dean, Contract Audit Manager |
2-24-16 2:35pm |
Marites Sy, Partner E.C. Ortiz & Co., LLP |
No |
None |
Phone: Meredith Dean 217-558-4224 Marites Sy 312-876-1900 |
5 minutes |
I inquired of Ms. Sy if E.C. Ortiz & Co., LLP was still interested in regards to the FY15/16 compliance engagement of the Department of Financial and Professional Regulation. Ms. Sy stated the firm was interested and independent. We also discussed the need to complete the updated preliminary survey from this year before making a proposal. |
Bruce Bullard Director |
2-24-16 4:12pm |
Greg Dowell Partner Bass, Solomon & Dowell, LLP |
No |
None |
Phone: Greg Dowell 847-934-0300 Bruce Bullard 217-782-0811 |
16 minutes |
The firm had some general questions about one of the RFPs the Office of the Auditor General has on the street. I addressed the questions. The nature of the questions asked and the responses provided do not require a posting to the OAG procurement bulletin. |
Janis Van Durme, Audit Manager |
02-25-16 7:22 am |
Tom Leach Partner, Sikich LLP |
No |
None |
Email: Janis Van Durme: jvandurme-at-auditor-illinois-gov Tom Leach: tleach-at-sikich-com |
N/A |
I inquired of Mr. Leach if Sikich, LLP was still interested and independent in regards to the upcoming Fiscal Year 2016 Financial Audit Examination of the Illinois Department Healthcare and Family Services. |
Bruce Bullard Director |
2-25-15 8:45sm |
Jason Rothenburger Partner Bass, Solomon & Dowell, LLP |
No |
None |
Phone: Jason Rothenburger 847-934-0300 Bruce Bullard 217-782-0811 |
3 minutes |
I spoke with Mr. Rothenburger about RFP requirements related to Vendor conferences (Section 1.7 of an OAG RFP, page 2). Specifically, if an OAG RFP indicates that a Vendor Conference will be held and it is Mandatory that prospective Vendor representative attend. I addressed the question by referring to the last sentence in this section of the RFP which contains the following language “If attendance is mandatory, you will be disqualified if you do not attend, are not on time, leave early or fail to sign the attendance sheet. “. The nature of the question and response provided do not require a posting to the OAG Procurement Bulletin. |
Janis Van Durme, Audit Manager |
02-25-16 9:24 am |
Tom Leach Partner, Sikich LLP |
No |
None |
Email: Janis Van Durme: jvandurme-at-auditor-illinois-gov Tom Leach: tleach-at-sikich-com |
N/A |
Mr. Leach stated Sikich LLP was interested in performing the FY16 Financial Audit of the Department of Healthcare and Family Services. He also stated Sikich LLP remains independent and free of potential conflicts of interest. |
Janis Van Durme, Audit Manager |
02-25-16 4:12 pm |
Tom Leach Partner, Sikich LLP |
No |
None |
Email: Janis Van Durme: jvandurme-at-auditor-illinois-gov Tom Leach: tleach-at-sikich-com |
N/A |
I emailed Mr. Leach the Welcome Letter for the FY16 Financial Audit of the Department of Healthcare and Family Services. Attachments include standard Contract Forms, the updated Preliminary Survey and Mandate Listings. |
Peggy Hartson Manager |
02-25-16 10:20am |
Amy Sherwood, Partner Sikich LLP |
No |
None |
Phone: Amy Sherwood 217-793-3363 Peggy Hartson 217-524-8748 |
7 minutes |
I spoke with Amy regarding the need for a survey visit to discuss the preliminary survey with officials at IDOT prior to contract negotiations. We discussed the timing and I agreed to contact the IDOT liaison for scheduling. |
Paul Usherwood, Manager |
02-25-16 3:50 pm |
Kurt Gabouer, Partner KPMG LLP |
No |
None |
Email: Paul Usherwood: rpusherwood-at-auditor-illinois-gov Kurt Gabouer: kgabouer-at-kpmg-com |
N/A |
Inquired of Mr. Gabouer if KPMG LLP was interested in performing the fiscal year 2016 Lottery engagement, pending successful negotiation of a contract, and if so, was he aware of any conflicts of interest or independence issues related to his firm performing the engagement. Mr. Gabouer responded KPMG intended to perform the fiscal year 2016 Lottery engagement and he was not aware of any conflicts of interest or independence issues related to the Lottery. |
Meredith Dean, Contract Audit Manager |
2-25-16 3:10pm |
Rich Winkel Principal, Winkel, Parker & Foster, CPA PC |
No |
Kristyl McDaniel, Manager, Winkel, Parker & Foster, CPA PC |
Phone: Meredith Dean 217-558-4224 Rich Winkel: 563-244-8140 |
10 minutes |
I inquired of Mr. Winkel if Winkel, Parker & Foster, CPA PC was still interested in regards to the FY15/16 compliance engagement of the Office of the State Fire Marshal. Mr. Winkel stated the firm was interested and independent. We also discussed the need to complete the updated preliminary survey and hold a survey visit before making a proposal. |
Elvin Lay, Audit Manager |
02/26/2016 9:45 am |
Stella Santos, Partner Adelfia |
No |
None |
Phone: Stella Santos: 312-240-9500 Elvin Lay: 217-782-5205 |
5 minutes |
Inquired of Ms Santos as to Adelfia’s interest in performing the 2015/2016 financial audit and compliance examination of the Department of Corrections. Also asked if she was aware of any independence concerns and also discussed performance of on-site preliminary survey and assessment of Agency operations prior to contract negotiations. Ms Santos expressed that the firm is interested in the engagement and is not aware of any independence issues with the Department. |
Jon Fox, Audit Manager |
2-26-16 11:35am |
Linda Abernethy, Partner RSM US LLP |
No |
None |
Phone: Linda Abernethy: 847-413-6248 Jon Fox: 217-524-2149 |
10 minutes |
Linda and I discussed the need for the State Treasurer’s Office (STO) to complete the updated survey form that I provided to her three weeks ago and for us to attend a survey meeting at the STO 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 Fiscal Officer report. |
Jane Clark, Statewide Single Audit Manager |
2-26-15 11:55 am |
Cathy Baumann Partner KPMG, LLP |
No |
None |
Phone: Cathy Baumann: 312-665-8980 Jane Clark: 217-782-0816 |
4 minutes |
Cathy and I discussed KPMG’s interest in performing the FY16 Statewide Single Audit engagement, pending successful negotiation of a contract. Cathy stated the firm is interested and has no conflicts of interest or independence issues. I let her know I will hold off sending the welcome letter until mid-late March. Will shoot for a late April – early May timeframe to begin audit. |
Jon Fox, Audit Manager |
2-26-16 1:55pm |
Marites Sy, Partner E.C. Ortiz & Co. LLP |
No |
None |
Phone: Marites Sy: 312-876-1900 Jon Fox: 217-524-2149 |
5 minutes |
Tes and I discussed the need for the Department of Commerce and Economic Opportunity (DCEO) to complete the updated survey form that I provided to her three weeks ago and for us to attend a survey meeting at DCEO 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 will likely include this information as not examined in the Analysis of Operations section of the compliance report. |
Peggy Hartson, Audit Manager |
2-26-16 2:15pm |
Mike Hillary, Partner CliftonLarsonAllen LLP |
No |
None |
Phone: Mike Hillary 309-495-8720 Peggy Hartson 217-502-2210 |
5 minutes |
I discussed with Mike the need for the firm and Comptroller to complete the preliminary survey document as well as conduct a survey visit at the Office of the Comptroller to discuss the upcoming cycle prior to submission of a proposal for the Comptroller - Fiscal Officer and Nonfiscal Operations engagements. |
Stacie Sherman, Audit Manager |
2-29-16 11:12 am |
Linda Abernethy Partner RSM USA LLP |
No |
None |
Phone: Linda Abernethy: 847-413-6248 Stacie Sherman: 217-558-4244 |
5 minutes |
I made preliminary contract with Linda Abernethy, partner with RSM USA LLP (RSM) regarding the annual financial audits of the Office of the Treasurer, Illinois Funds and College Savings Program for the year ended June 30, 2016. Linda said they are interested in contracting for the FY16 engagements. I confirmed that RSM had no independence or conflict of interest issues pertaining to the engagements. |
Elvin Lay, Audit Manager |
02/29/2016 11:30 am |
Tom Leach, Partner Sikich LLP |
No |
None |
Phone: Tom Leach: 217-423-6000 Elvin Lay: 217-782-5205 |
10 minutes |
Inquired of Mr Leach as to Sikich’s interest in performing the 2015/2016 financial audit and compliance examination of the Department of Children and Family Services. 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 Leach expressed that the firm is interested in the engagement and is not aware of any independence issues with the Department. |
Elvin Lay, Audit Manager |
02/29/2016 11:45 am |
Linda Abernethy Partner RSM USA LLP |
No |
None |
Phone: Linda Abernathy 630-533-1755 Elvin Lay: 217-782-5205 |
5 minutes |
Inquired of Ms Abernathy as to RSM’s interest in performing the 2016 financial audit of the Department of Human Services. Also asked if she was aware of any independence concerns and also discussed performance of on-site preliminary survey and assessment of Agency operations prior to contract negotiations. Ms Abernathy expressed that the firm is interested in the engagement and is not aware of any independence issues with the Department. |
Thomas L. Kizziah, Audit Manager
Jose G. Roa, Audit Manager |
2-26-16 10am |
Jon Hoffmeister, Managing Principal Lisa Kregor Director CliftonLarsonAllen
Dan Sethness Manager RSM US LLP
Marites Sy Gilda Priebe Partners EC Ortiz & Co, LLP
Matt Geerdes Senior Manager Crowe Horwath LLP
Madeline Voss Staff Mark Olson Associate Plante Moran
Maria Balita Director Adelfia LLC
Tim Watson Partner Benford Brown & Associate
Marrent T. Amos Director of Financial Aid Fe Lenon Controller Northeastern Illinois University |
No |
None |
In person conference Northeastern Illinois University Ronald James Library, Room LIB022 5500 North St. Louis Avenue Chicago, Illinois 60625 |
20 minutes |
A conference was held to discuss RFP 16-5 for the Northeastern Illinois University engagement. Overview of RFP was provided to prospective bidders. Northeastern Illinois University personnel provided overview of changes and current status of University. Prospective bidders asked questions to OAG, current special assistance auditors, and the University. |
Daniel J. Nugent, Audit Manager |
02-29-16 2:00 p.m. |
Paul Pelletier, Partner Borschnack, Pelletier, & Co.
Brian Creek, Manager Borschnack, Pelletier, & Co. |
No |
Marites Sy, Partner E. C. Ortiz & Co., LLP
Emily Causon, Manager E. C. Ortiz & Co., LLP
Christopher B. Meister, Executive Director Illinois Finance Authority
Elizabeth Fleming Weber, General Counsel Illinois Finance Authority
Melinda M. Gildart, Chief Financial Officer Illinois Finance Authority
Ximena Granda, Controller Illinois Finance Authority |
In-Person Conference
Illinois Finance Authority Board Room 10th Floor, Michael A. Bilandic Building 160 N. LaSalle Street; Chicago, Illinois 60601 |
8 minutes |
A vendor’s conference was held pursuant to RFP 16-11 for the Illinois Finance Authority engagement. The conference included a brief overview of the RFP, a discussion of changes and significant events occurring at the Illinois Finance Authority during Fiscal Year 2016, and a description by the predecessor auditors of the unique timing issues of the State Compliance Examination during the second year of the RFP. At the conclusion of the conference, potential vendors were given an opportunity to ask questions of the management of the Illinois Finance Authority. |
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