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

 

Email

 

 

Email

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.