REPORT DIGEST

ILLINOIS GENERAL ASSEMBLY – SENATE

COMPLIANCE EXAMINATION
FOR THE TWO YEARS ENDED JUNE 30, 2021

Release Date:  Aug. 30, 2022

FINDINGS THIS AUDIT:  4

CATEGORY:  NEW -- REPEAT – TOTAL
Category 1:  0 -- 0 -- 0
Category 2:  4 -- 0 -- 4
Category 3:  0 -- 0 -- 0
TOTAL:  4 -- 0 -- 4

FINDINGS LAST AUDIT: 0

Category 1: Findings that are material
weaknesses in internal control and/or
a qualification on compliance with
State laws and regulations (material
noncompliance).
Category 2: Findings that are
significant deficiencies in internal
control and noncompliance with State
laws and regulations.
Category 3: Findings that have no
internal control issues but are in
noncompliance with State laws and
regulations.

State of Illinois, Office of the
Auditor General
FRANK J. MAUTINO, AUDITOR GENERAL

To obtain a copy of the Report
contact:
Office of the Auditor General, Iles
Park Plaza, 740 E. Ash Street,
Springfield, IL 62703
(217) 782-6046 or TTY (888) 261-2887

This Report Digest and Full Report are
also available on the worldwide web at
www.auditor.illinois.gov

SYNOPSIS

• (21-4) The Senate did not maintain
adequate controls to ensure timely
employee completion of mandatory
trainings.

FINDINGS, CONCLUSIONS, AND
RECOMMENDATIONS

INADEQUATE CONTROLS OVER EMPLOYEE
TRAINING

The Senate did not maintain adequate
controls to ensure timely employee
completion of mandatory trainings. We
noted the following exceptions:

• Three of 6 (50%) new employees
tested did not complete ethics and/or
sexual harassment trainings within 30
days of employment in the fall of
2019.

• Three of 14 (21%) existing employees
tested did not complete the annual
trainings for ethics and/or harassment
in calendar year 2020. (Finding 4,
pages 15-16)

We recommended the Senate to
strengthen controls to ensure
mandatory employee training is timely
completed.

The Senate stated this issue has been
addressed.

OTHER FINDINGS

The remaining findings pertain to
property control and information
technology.  We will review the
Senate’s progress towards the
implementation of our recommendations
in our next State compliance
examination.

ACCOUNTANT’S OPINION

The accountants conducted a State
compliance examination of the Senate
for the two years ended June 30, 2021,
as required by the Illinois State
Auditing Act.  The accountants stated
the Semate complied, in all material
respects, with the requirements
described in the report.

This State compliance examination was
conducted by Adelfia LLC.

JANE CLARK
Division Director

This report is transmitted in
accordance with Section 3-14 of the
Illinois State Auditing Act.

FRANK J. MAUTINO
Auditor General

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