March 2018

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.

Stephanie Wildhaber, Audit Manager

3/1/18

11:18am

Janice Romack, Partner

West & Company, LLC

No

N/A

E-mail:

Romack: jromack-at-westcpa.com

Wildhaber: swildhaber-at-auditor.illinois.gov

Email

Sent Ms. Romack the 2018 Welcome Letter requesting a proposal for our consideration regarding the FY17/18 compliance examination of the Department of State Police.

Thomas L. Kizziah, Audit Manager

3/2/18

8:50 am

Heather Powell

Managing Director

BKD, LLP

No

N/A

E-mail

Powell: hpowell-at-bkd.com

Kizziah: tkizziah-at-auditor.illinois.gov

Email

I sent an email to Heather letting her know that we accepted her most recent proposal for the upcoming State Universities Retirement System engagement.

Janis Van Durme, Audit Manager

3/2/18

1:20 pm

Linda Abernethy

Partner

RSM US LLP

No

N/A

Email:

Abernethy: Linda.Abernethy-at-rsmus.com

Van Durme: jvandurme-at-auditor.illinois.gov

Email

Sent Ms. Abernethy an email regarding RSM’s interest and independence for performing the FY18 DHS Financial Audit.

Janis Van Durme, Audit Manager

3/2/18

1:21 pm

Tom Leach

Partner

Sikich LLP

No

N/A

Email:

Leach: Tom.Leach-at-sikich.com

Van Durme: jvandurme-at-auditor.illinois.gov

Email

Sent Mr. Leach an email regarding Sikich’s interest and independence for performing the FY18 HFS Financial Audit.

Janis Van Durme, Audit Manager

3/2/18

1:27 pm

Tom Leach

Partner

Sikich LLP

No

N/A

Email:

Leach: Tom.Leach-at-sikich.com

Van Durme: jvandurme-at-auditor.illinois.gov

Email

Mr. Leach stated Sikich is interested and independent for performing the FY18 HFS Financial Audit.

Janis Van Durme, Audit Manager

3/2/18

1:50 pm

Linda Abernethy

Partner

RSM US LLP

No

N/A

Email:

Abernethy: Linda.Abernethy-at-rsmus.com

Van Durme: jvandurme-at-auditor.illinois.gov

Email

Ms. Abernethy stated RSM is interested and independent for performing the FY18 DHS Financial Audit.

Jon Fox, Audit Manager

3/5/18

5:19 p.m.

Joe Evans

Partner

RSM US LLP

No

N/A

Email:

Joe Evans: Joseph.Evans-at- rsmus.com

Jon Fox: jfox-at- auditor.illionois.gov

Email

Joe responded to my email earlier in the day informing him that I will need to amend the compliance contract timetables for the State Employees’, Judges’ and General Assembly Retirement Systems due to unforeseen delays in financial audits and compliance examinations during the FY17 audit cycle.  Joe accepted the amending the timetables to extend the due dates for the final reports from 3/9/18 to 4/10/18.

Gordon French

IS IV

 3-6-18

9:18am

Crystal Boyd (sales mgr)

CDS Office Technologies

Philippe Stapp (sales mgr)

CDW-G

Jason Contreras (sales mgr)

Insight

 No

 N/A

Email: cboydATcdsot.com

 

Email: philstaATcdwg.com

 

Email: Jason.ContrerasATinsight.com

 Email

 

   “

 

   “

 

Requesting quotes on printer cartridges

Janis Van Durme, Audit Manager

3/2/18

1:41 pm

Amy Sherwood

Partner

Sikich LLP

No

N/A

Email:

Sherwood: Amy.Sherwood-at-sikich.com

Van Durme: jvandurme-at-auditor.illinois.gov

Email

Sent Ms. Sherwood an email regarding Sikich’s interest and independent for performing the FY18 CMS (and other attributable engagements) Financial Audits/Attestation Engagements.

Janis Van Durme, Audit Manager

3/2/18

1:46 pm

Amy Sherwood

Partner

Sikich LLP

No

N/A

Email:

Sherwood: Amy.Sherwood-at-sikich.com

Van Durme: jvandurme-at-auditor.illinois.gov

Email

Ms. Sherwood stated Sikich is interested and independent for performing the FY18 CMS (and other attributable engagements) Financial Audits/Attestation Engagements.

Janis Van Durme, Audit Manager

3/6/18

9:54 am

Jennifer Roan

Partner

Adelfia LLC

No

Stella Santos

Partner

Adelfia LLC

Email:

Jennifer Roan: Jsroan-at-adelfiacpas.com

Stella Santos: Sbsantos-at-adelfiacpas.com

Van Durme: jvandurme-at-auditor.illinois.gov

Email

Sent Adelfia proposed revised timetable dates for the ICJIA FY16 and FY17 compliance engagement Phase II contract Amendment 2.

Janis Van Durme, Audit Manager

3/6/18

9:58 am

Jennifer Roan

Partner

Adelfia LLC

No

Stella Santos

Partner

Adelfia LLC

Email:

Jennifer Roan: Jsroan-at-adelfiacpas.com

Stella Santos: Sbsantos-at-adelfiacpas.com

Van Durme: jvandurme-at-auditor.illinois.gov

Email

Adelfia agreed to the proposed revised timetable dates for the ICJIA FY16 and FY17 compliance engagement Phase II contract Amendment 2.

Gordon French

IS IV

 3-6-18

2:43pm

Simon Hiabu (sales mgr)

Britton Johnson (sales mgr)

CDS Office Technologies

Philippe Stapp (sales mgr)

CDW-G

Jason Contreras (sales mgr)

Insight

 No

 N/A

Email: simon_hiabuATfoxitsoftware.com

             britton_johnsonATfoxitsoftware.com

Online: http://www.cdsot.com

 

Email: philstaATcdwg.com

 

Email: Jason.ContrerasATinsight.com

 Email

 

Online

 

Email

 

Email

 

 

 

Requesting quote on current version of FoxIt

Daniel J. Nugent,

Senior Audit Manager

03/02/2018

1:34 p.m.

Joseph J. Evans

Partner

RSM US LLP

No

N/A

Phone: 

(217) 524-8153 for Daniel J. Nugent

(312) 634-4540 for Joseph J. Evans

             

5 Minutes

I inquired of Mr. Evans whether RSM US LLP was both interested and independent in performing the Fiscal Year 2018 financial audit, Single Audit, and compliance attestation examination of the Illinois State University.  He indicated RSM US LLP was both interested and independent.  Further, we discussed the engagement timetable and the informal proposal contracting process.

Daniel J. Nugent,

Senior Audit Manager

03/07/2018

9:58 a.m.

Epifanio (JoJo) Sadural

Partner

E. C. Ortiz & Co., LLP

No

N/A

Phone: 

(217) 524-8153 for Daniel J. Nugent

(312) 876-1900 for Epifanio (JoJo) Sadural

             

5 Minutes

I inquired of Mr. Sadural whether E. C. Ortiz & Co., LLP was both interested and independent in performing the Fiscal Year 2017 financial audit and compliance attestation examination of the Workers’ Compensation Commission.  He indicated E. C. Ortiz & Co., LLP was both interested and independent.  Further, we discussed the engagement timetable and the informal proposal contracting process.

Daniel J. Nugent,

Senior Audit Manager

03/07/2018

4:15 p.m.

4:17 p.m.

4:18 p.m.

Epifanio (JoJo) Sadural

Partner

E. C. Ortiz & Co., LLP

No

N/A

E-Mail:

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

jsadural-at-ecortiz.com for Epifanio (JoJo) Sadural

             

3 Successive

E-Mails

I sent Mr. Sadural the Welcome Letter and associated materials need to complete the contracting process for the Fiscal Year 2017 financial audit and compliance attestation examination of the Workers’ Compensation Commission.  Due to the size of the first e-mail, I requested Mr. Sadural confirm receipt of the first e-mail in the second e-mail, which he did in the third e-mail.

Thomas L. Kizziah, Audit Manager

03/07/2018

4:12 p.m.

4:50 p.m.

Beulah Castro

Administrative Personnel

E.C. Ortiz & Co., LLP

 

Leilani Rodrigo

Partner

E.C. Ortiz & Co., LLP

E-Mail

BSSantos-at-ecortiz.com

LNRodrigo-at-ecortiz.com

Tkizziah-at-auditor.illinois.gov

Email

Beulah Castro, on behalf of Leilani Rodrigo, sent me the proposal for the upcoming engagement of Chicago State University for the year ended June 30, 2018.

Daniel J. Nugent,

Senior Audit Manager

03/08/2018

8:13 p.m.

03/09/2018

8:41 a.m.

Marites U. Sy

Partner

E. C. Ortiz & Co., LLP

No

N/A

E-Mail:

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

musy-at-ecortiz.com for Marites U. Sy

 

             

2 E-Mails

Ms. Sy sent me a question concerning the Phase I budget for the upcoming Fiscal Year 2017 financial audit and compliance attestation examination of the Workers’ Compensation Commission.  I responded to her inquiry, noting we are looking for the firm to complete as much of the engagement as possible before June 30, 2018.  I also discussed the timetable and my general overall approach to how I developed my proposed timetable.

Thomas L. Kizziah, Audit Manager

3/09/2018

9:48 a.m.

Leilani Rodrigo

Partner

E.C. Ortiz & Co., LLP

No

N/A

Phone:

Leilani Rodrigo: 312-876-1900

Thomas L. Kizziah: 217-782-0816

2 minutes

I called Leilani to let her know that we accepted the firm’s proposal to perform the upcoming Chicago State University engagement for the year ended June 30, 2018.  I told her that I would be sending her the contract soon for signature and asked her to send out the invitation letters to the entrance conference.

Gordon French

IS IV

 3-9-18

10:08am

Gus Monson (sales mgr) CDW-G

Heather Slager (sales mgr) Tigerdirect

Jason Contreas (sales mgr) Insight

 No

 N/A

Email: gusmATcdw.com

 

Heather.SlagerATtigerdirect.com

 

Jason.ContrerasATinsight.com

 Email

 

Requesting quote for acer 27” monitor & external CD/DVD drives

James Froehner Audit Manager

3/2/18

10:15 am

Heather Powell, Managing Director

BDK LLP

No

N/A

E-mail:

Powell: hpowell-at-bkd.com

Froehner: jfroehner-at-auditor.illinois.gov

Email

Sent Ms. Powell the 2018 Welcome Letter requesting a proposal for our consideration regarding the FY17/18 compliance examination and FY18 financial examination of the Illinois Gaming Board.

James Froehner Audit Manager

3/12/18

10:10 am

Heather Powell, Managing Director

BDK LLP

No

N/A

Phone:

Powell: 217-429-2411

Froehner: 217-785-3923

2 minutes

I informed Ms. Powell I received her proposal for the Illinois Gaming Board and inquired about the allocation of hours.  Ms. Powell will be submitting an updated proposal.

Janis Van Durme,

Audit Manger

3/7/18

10 am

Stella Santos

Partner

Adelfia LLC

No

N/A

Overnight Mail to

Adelfia LLC

400 E. Randolph Street, Suite 705

Chicago Illinois 60601

N/A

I sent Ms. Santos the Amendment 2 documents for signature by the firm for the compliance examination of the Illinois Criminal Justice Information Authority for the two years ended June 30, 2017.

Janis Van Durme,

Audit Manager

3/12/18

11:10 am

Stella Santos

Partner

Adelfia LLC

No

N/A

Fed Ex Mail from Adelfia to

OAG Springfield Office

N/A

Ms. Santos sent back the Amendment 2 documents which contained the firm’s signature for the compliance examination of the Illinois Criminal Justice Information Authority for the two years ended June 30, 2017.

Gordon French IS IV

 3-9-18

10:08am

Luke Pessinis (sales mgr)

Unitrends Co.

 No

 N/A

Email: lpessinisATunitrends.com

 Email

 

Requesting quote for updated Unitrends backup appliance

Stacie Sherman, Audit Manager

3/15/18

10:05 am

Janice Romack

Partner

West and Company

No

N/A

Phone:

Janice Romack: 618-664-4848

Stacie Sherman: 217-782-0808

5 minutes

I made preliminary contact with Janice Romack about her interest in West and Company performing the FY17/18 compliance examination of the State Police Merit Board.  West and Company is interested in performing the engagement.  I inquired if West and Company has any independence issues or conflicts of interest and Janice responded that they had no independence or conflict of interest issues.  We discussed early work money, potential start dates and the dates I would send the Welcome Letter and would need their proposal.

Daniel J. Nugent,

Senior Audit Manager

03/16/2018

9:59 a.m.

10:09 a.m.

10:19 a.m.

Joseph J. Evans

Partner

RSM US LLP

No

N/A

E-Mail:

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

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

             

3 Successive       E-Mails

I sent Mr. Evans the Welcome Letter and associated materials need to complete the contracting process for the Fiscal Year 2018 financial audit, Single Audit, and compliance attestation examination of the Illinois State University.  Due to the size of the first e-mail, I requested Mr. Evans confirm receipt of the first e-mail in the second e-mail, which he did in the third e-mail.

Jose G. Roa, Audit Manager

3/13/18

Christine Torres

Partner

Crowe Horwath LLP

No

N/A

Phone:

Christine Torres: 630-706-2074

Jose G. Roa: 312-814-4008

5 minutes

I made preliminary contact with Christine Torres about her interest in Crowe Horwath LLP performing the FY17/18 compliance examination and FY18 financial audits of the Illinois Student Assistance Commission.  Christine Torres stated firm is interested in performing the engagement and independent.  We discussed early potential start dates and the notified her I would send the Welcome Letter in the need future to complete contracting.

Jose G. Roa, Audit Manager

3/16/18

2:07pm

Christine Torres

Partner

Crowe Horwath LLP

No

N/A

E-mail:

Torres: christine.torres-at-crowehorwath.com

Roa: jroa-at-auditor.illinois.gov

Email

Sent Christine Torres the 2018 Welcome Letter requesting a proposal for our consideration regarding the FY17/18 compliance examination and FY18 financial audits of the Illinois Student Assistance Commission.

Stacie Sherman, Audit Manager

3/15/18

3:36 pm

Janice Romack

Partner

West and Company

No

N/A

E-mail:

Stacie Sherman: ssherman-at-auditor.illinois.gov

Janice Romack: jromack-at-westcpa.com

Email

I sent Janice Romack the 2018 Welcome Letter request a proposal for our consideration regarding the FY17/18 compliance examination of the State Police Merit Board.

Thomas L. Kizziah, Audit Manager

3/19/18

9:36 a.m.

Joseph J. Evans

Partner

RSM US LLP

No

N/A

Phone: 

(312) 634-4540 for Joseph J. Evans

(217) 782-0816 for Thomas L. Kizziah

5 minutes

I called Joe to discuss the upcoming engagement for the Illinois Finance Authority’s (IFA) financial audit for the year ended June 30, 2018.  We discussed the timing of the receipt of his proposal, changes at IFA for this year and the timing for the entrance conference.  Joe stated I would have his proposal this week.

Adam Ausmus, Audit Manager

3/16/18

11:25am

Amy Sherwood, Partner

Sikich LLP

No

N/A

Mail from Sikich to OAG

3201 West White Oaks Drive, Suite 102

Springfield, IL 62704

N/A

Ms. Sherwood provided me with Sikich’s informal proposal for our consideration regarding the FY17 & FY18 compliance examination of the Department of Veterans’ Affairs.

Adam Ausmus,

Audit Manager

3/19/18

4:25pm

Tom Leach, Partner

Sikich LLP

No

N/A

Email:

Tom Leach – tom.leach-at-sikich.com

Adam Ausmus – aausmus-at-auditor.illinois.gov

Email

I contacted Mr. Leach to let him know I am schedule to be out of the Office the first week of April and to notify me via e-mail if the contract proposal for the Department of Children & Family Services is submitted that week.

Peggy Hartson, Audit Manager

3-20-18

10:12am

Chuck Kozlik, Partner

CliftonLarsonAllen LLP

No

N/A

Phone

Chuck Kozlik (630)-573-8600

Peggy Hartson (217) 524-8748

Phone

Called Chuck to discuss the upcoming FY18 financial audit and FY17/18 compliance examination of the Department of Transportation

Peggy Hartson, Audit Manager

3-20-18

10:25am

Chuck Kozlik, Partner

CliftonLarsonAllen LLP

No

N/A

Email:

Chuck Kozlik: chuck.kozlik-at-claconnect.com

Peggy Hartson – pahartson-at-auditor.illinoi.gov

Email

Emailed the welcome letter for the Department of Transportation

Thomas L. Kizziah, Audit Manager

3/21/18

8:16 a.m.

Joseph J. Evans

Partner

RSM US LLP

No

N/A

E-Mail:

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

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

Email

Joe emailed me his proposal for the upcoming financial audit for the Illinois Finance Authority for the year ended June 30, 2018.

Peggy Hartson, Audit Manager

3/21/18

12:27pm

Angela Allen, Partner

Washington, Pittman, & McKeever LLC

No

N/A

Email:

Angela Allen: aallen-at-wpmck.com

Peggy Hartson: pahartson-at-auditor.illinois.gov

Email

Emailed the welcome letter for the Illinois Mathematics and Science Academy (IMSA) and IMSA fund.

James Froehner Audit Manager

3/15/18

8:30am

2:27pm

Heather Powell, Managing Director

BDK LLP

No

N/A

 E-mail:

Powell: hpowell-at-bkd.com

Froehner: jfroehner-at-auditor.illinois.gov

Email

I questioned the proposal hours and scope for the Illinois Gaming Board and Heather provided an updated proposal.

James Froehner Audit Manager

3/19/18

1:30 pm

Heather Powell, Managing Director

BDK LLP

No

N/A

 E-mail:

Powell: hpowell-at-bkd.com

Froehner: jfroehner-at-auditor.illinois.gov

Email

I informed Heather the proposal was accepted for the Illinois Gaming Board.

 Adam Ausmus, Audit Manager

3/22/18

9:50am

Tom Leach, Partner

Sikich LLP

No

N/A

Email:

Tom Leach – tom.leach-at-sikich.com

Adam Ausmus – aausmus-at-auditor.illinois.gov

Email

I notified Mr. Leach that OAG staff involved in the review/approval of contracts would be out of the office from 3/29/18 to 4/6/18. 

 Jon Fox, Audit Manager

 3/22/18

8:45 a.m.

 Heather Powell,

Managing Director

BKD LLP

No

N/A

Email:

Heather Powell: hpowell-at-bkd.com

Jon Fox: jfox-at-auditor.illinois.gov

Email

Heather emailed BKD’s proposal documents for the fy18 Teachers’ Retirement System engagement. 

 Thomas L. Kizziah, Audit Manager

 3/22/18

2:20 p.m.

 Joseph J. Evans

Partner

RSM US LLP

 No

N/A

Phone: 

(312) 634-4540 for Joseph J. Evans

(217) 782-0816 for Thomas L. Kizziah

5 minutes

I called Joe and told him that our Office had accepted his most recent proposal for the upcoming financial audit of the Illinois Finance Authority for the year ended June 30, 2018.  We discussed the standard contract provisions that would be included in the Phase I and Phase II contracts.

Thomas L. Kizziah, Audit Manager

3/23/18

11:01 a.m.

Catherine Baumann

Partner

KPMG  LLP

No

N/A

Email:

Catherine Baumann: cbaumann-at-kpmg.com

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

Email

Cathy emailed me her proposal for the upcoming Financial Audit, Compliance Examination and Single Audit for the Illinois Housing Development Authority for the year ended June 30, 2018.

Thomas L. Kizziah, Audit Manager

3/23/18

11:12 a.m.

Chuck Kozlik, Principal

CliftonLarsonAllen LLP

No

N/A

Email:

Chuck Kozlik: chuck.kozlik-at-claconnect.com

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

Email

Chuck emailed me his proposal forms for the upcoming Financial Audit, Compliance Examination and Single Audit for Northern Illinois University for the year ended June 30, 2018.

 Jon Fox,

Audit Manager

3/23/18

11:20 a.m.

Heather Powell

Managing Director

BKD LLP

No

N/A

Phone:

Heather Powell: 217-421-6869

Jon Fox: 217-524-2149

3 minutes

Heather and I discussed the potential start date for the contract and the possible entrance conference date for the FY18 Teachers’ Retirement System engagement. 

Thomas L. Kizziah, Audit Manager

 3/23/18

11:12 a.m.

Catherine Baumann

Partner

KPMG  LLP

 No

N/A

 Phone:

Catherine Baumann: 312-665-8980

Thomas L. Kizziah: 217-782-0816

5 minutes

Cathy and I discuss her proposal for the upcoming Illinois Housing Development Authority engagement.  We discussed the timing of the entrance conference, further information needed from the Firm in order to complete the proposal and the timing for the execution of the contract.

Thomas L. Kizziah, Audit Manager

3/23/18

3:02 p.m.

Catherine Baumann

Partner

KPMG  LLP

 No

 N/A

Phone:

Catherine Baumann: 312-665-8980

Thomas L. Kizziah: 217-782-0816

3 minutes

I called Cathy to let her know that our Office had accepted her most recent proposal for the upcoming engagement for the Illinois Housing Development Authority.

 Kathy Lovejoy Audit Manager

3/20/18

2:00 pm

Elda Arriola, Partner

EC Ortiz & Co. LLP

 

No

 

Marites Sy, Partner

Phone

Kathy Lovejoy-217-782-0798

Elda Arriola 312-876-1900

 10 minutes

I call Elda to discuss the DoIT engagement and the contracting documentation to be provided

 Kathy Lovejoy Audit Manager

3/21/18

 10:08 pm

 Elda Arriola, Partner

EC Ortiz & Co. LLP

 No

NA

Kathy Lovejoy-Klovejoy-at-auditor.illinois.gov

Elda Arriola EBArriola-at-ecortiz.com

Email

Elda emailed the DoIT preliminary contracting documentations.

 Adam Ausmus, Audit Manager

3/26/18

8:15am

Amy Sherwood, Partner

Sikich, LLP

No

N/A

Phone:

Amy Sherwood: (217) 793-3363

Adam Ausmus: (217) 785-2108

5 minutes

I called Amy to let her know our Office had accepted her proposal for the upcoming engagement of the Department of Veterans’ Affairs.  I also explained staff from the OAG who review and sign contracts would be out of the Office from 3/29/18 – 4/6/18.  We also clarified the commencement date of the Phase I contract.  Amy indicated she would be by in the morning to sign the contracts.

 Stephanie Wildhaber, Audit Manager

3/23/18

Janice Romack, Partner

West & Company, LLC

No

N/A

Phone:

Janice Romack: (618) 664-4848

Stephanie Wildhaber: (217) 785-0165

5 minutes

I called Janice to let her know I received the Department of State Police Compliance Examination proposal. The proposal is for the two years ended June 30, 2018. We discussed some details of the proposal.

Thomas L. Kizziah, Audit Manager

3/26/18

1:27 p.m.

Chuck Kozlik, Principal

CliftonLarsonAllen LLP

 No

N/A

Email:

Chuck Kozlik: chuck.kozlik-at-claconnect.com

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

 Email

I emailed to Chuck to let him know that our Office had accepted his most recent proposal to perform the upcoming Northern Illinois University engagement for the year ended June 30, 2018 and to tell him that I would be overnighting the contract forms for his execution.

 Adam Ausmus, Audit Manager

3/26/18

4:11pm

Amy Sherwood, Partner

Sikich, LLP 

No

N/A

Emai:

Amy Sherwood: amy.sherwood-at-sikich.com

Adam Ausmus: aausmus-at-auditor.illinois.gov

Email

I let Amy know I turned in the signed contract to the front office for their review and signature.  I also let her know that I would be out of the office next week.

 Stephanie Wildhaber

 3/26/18

1:18 p.m.

Janice Romack, Partner

West & Company, LLC

No

 N/A

Phone:

Janice Romack: (618) 664-4848

Stephanie Wildhaber: (217) 785-0165

 4 minutes

I called Janice to let discuss the proposal for Department of State Police’s Compliance Examination. The proposal is for the two years ended June 30, 2018.

 Stephanie Wildhaber, Audit Manager

 3/26/18

1:46 p.m.

 Janice Romack, Partner

West & Company, LLC

No

N/A 

Phone:

Janice Romack: (618) 664-4848

Stephanie Wildhaber: (217) 785-0165

 8 minute

Janice called to ask a few follow up questions regarding the conversation before regarding the proposal for FY 17/18 Department of State Police’s Compliance Examination.

 Stephanie Wildhaber, Audit Manager

 3/26/18

2:18 p.m.

Janice Romack, Partner

West & Company, LLC

 No

 N/A

Phone:

Michael Lawler: (618) 664-4848

Stephanie Wildhaber: (217) 785-0165

 4 minutes

I called and spoke to Michael with some follow up information regarding the proposal for Department of State Police’s FY17/18 Compliance Examination.

 Stephanie Wildhaber, Audit Manager

 3/27/18

7:40 a.m.

Michael Lawler, Manager

West & Company, LLC

 No

N/A 

 Email:

Michael Lawler: MLawler-at-westcpa.com

Stephanie Wildhaber: swildhaber-at-auditor.illinois.gov

 Email

Received a revised proposal for Department of State Police’s FY17/18 Compliance Examination.

 Megan Green, Audit Manager

3/26/18

8:35 a.m.

Jennifer Roan

Partner

Adelfia LLC

 No

N/A 

Email:

Jennifer Roan: Jsroan-at-adelfiacpas.com

Megan Green: mgreen-at-auditor.illinois.gov

Email

I asked some follow up questions regarding the proposed number of hours and rate for the FY18 financial audit and FY17/18 compliance examination of the Capital Development Board.

 Megan Green, Audit Manager

3/26/18

10:55a.m.

Jennifer Roan

Partner

Adelfia LLC

 No

N/A

Phone:

Jennifer Roan: (312) 240-9500

Megan Green: (217) 782-0818

 5 minutes

Jennifer and I discussed the proposed rate and number of hours for the FY18 financial audit and FY17/18 compliance examination of the Capital Development Board.

 Megan Green, Audit Manager

 3/26/18

11:06 a.m.

Jennifer Roan

Partner

Adelfia LLC

No

N/A

 Email:

Jennifer Roan: Jsroan-at-adelfiacpas.com

Megan Green: mgreen-at-auditor.illinois.gov

 Email

 Jennifer provided revised proposal forms and answered my follow up questions regarding the proposed rate and number of hours for the FY18 financial audit and FY17/18 compliance examination of the Capital Development Board.

 Megan Green, Audit Manager

 3/26/18

1:25 p.m.

 Jennifer Roan

Partner

Adelfia LLC

 No

 N/A

 Phone:

Jennifer Roan: (312) 240-9500

Megan Green: (217) 782-0818

5 minutes

 Jennifer and I discussed the rate and number of hours for the FY18 financial audit and FY17/18 compliance examination of the Capital Development Board.

 Megan Green, Audit Manager

 3/26/18

3:46 p.m.

 Jennifer Roan

Partner

Adelfia LLC

 No

 N/A

 Email:

Jennifer Roan: Jsroan-at-adelfiacpas.com

Megan Green: mgreen-at-auditor.illinois.gov

Email

 Received revised proposal documents for the FY18 financial audit and FY17/18 compliance examination of the Capital Development Board.

 Megan Green, Audit Manager

3/27/18

3:40 p.m.

Jennifer Roan

Partner

Adelfia LLC

No

N/A

 Phone:

Jennifer Roan: (312) 240-9500

Megan Green: (217) 782-0818

 2 minutes

 I called Jennifer to let her know that our Office had accepted her most recent proposal to perform the upcoming Capital Development Board engagement.  We made arrangements for her staff working in Springfield to pick up the contract and bring it back to Chicago for Stella’s signature. 

 Stacie Sherman, Audit Manager

3/28/18

11:47 am

Chris Mower

Partner

Crowe Horwath LLP

 No

N/A

Email:

Stacie Sherman: ssherman-at-auditor.illinois.gov

Chris Mower: chris.mower-at-crowehorwath.com

 Email

I sent Chris Mower the 2018 Welcome Letter and associated materials needed to complete proposals for our consideration regarding the FY18 financial audit and state compliance examination of the Office of the State Treasurer, Fiscal Officer Responsibilities and the FY18 financial audits of the Office of the State Treasurer, College Savings Program, the Illinois Funds, and the ABLE Program.

Janis Van Durme, Audit Manager

3/28/18

2:45 pm

Amy Sherwood, Partner

Sikich, LLP

No

N/A

Email:

Sherwood: Amy.Sherwood-at-sikich.com

Van Durme: jvandurme-at-auditor.illinois.gov

Email

I sent Sikich LLP the 2018 Welcome Letter and associated materials needed to complete proposals for our consideration regarding the FY18 CMS engagements..

Kathy Lovejoy, Audit Manager

3/22/18

10:25 am

Linda Abernethy, Partner

RSM, LLP

No

NA

Email

Kathy Lovejoy: klovejoy-at-auditor.illinois.gov

Linda Abernethy: linda.abernethy-at-rsm.com

Email

Received RSM contracting documentation for the Department of Revenue’s FY 18 Financial Audit and the FY 17 & FY 18 Compliance Examination.

Kathy Lovejoy, Audit Manager

3/22/18

2:45 pm

Linda Abernethy, Partner

RSM, LLP

No

NA

Email

Kathy Lovejoy: klovejoy-at-auditor.illinois.gov

Linda Abernethy: linda.abernethy-at-rsm.com

Email

Received RSM revised contracting documentation for the Department of Revenue’s FY 18 Financial Audit and the FY 17 & FY 18 Compliance Examination.

Adam Ausmus, Audit Manager

3/28/18

11:12am

Amy Sherwood, Partner

Sikich, LLP

No

N/A

Email:

Amy Sherwood: amy.sherwood-at-sikich.com

Adam Ausmus: aausmus-at-auditor.illinois.gov

Email

I received the informal contracting proposal for the Department of Children and Family Services for the one year financial and two year compliance examination for the period ending 6/30/18.

Adam Ausmus,

Audit Manager

3/28/18

1:00pm

Amy Sherwood, Partner

Sikich, LLP

No

N/A

Phone:

Amy Sherwood: (217) 793-3363

Adam Ausmus: (217)785-2108

10 minutes

I discussed with Amy some of the dates included in her informal proposal for DCFS and the timing of things with certain individuals scheduled to be out of the office the week of 4/2/18.  I told her I would discuss with OAG management and get back to her.  We also discussed possible entrance conference dates.

Adam Ausmus, Audit Manager

3/28/18

2:00pm

Amy Sherwood, Partner

Sikich, LLP

No

N/A

Phone:

Amy Sherwood: (217) 793-3363

Adam Ausmus: (217)785-2108

2 minutes

I informed Amy of my discussion with OAG management regarding timing and the suggested commencement date of the DCFS Phase I contract.  Amy was agreeable to the suggested date.

Adam Ausmus, Audit Manager

3/28/18

2:33pm

Amy Sherwood, Partner

Sikich, LLP

No

N/A

Email:

Amy Sherwood: amy.sherwood-at-sikich.com

Adam Ausmus: aausmus-at-auditor.illinois.gov

Email

I sent Amy my availability for the DCFS entrance conference for the weeks of April 16th and April 23rd.

Thomas L. Kizziah, Audit Manager

3/29/18

12:20 a.m.

Cathy Baumann, Partner

KPMG LLP

No

N/A

Email:

Catherine Baumann: cbaumann-at-kpmg.com

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

Email

Cathy email me her proposal for the upcoming financial audit and compliance examination for the Illinois State Board of Investment for the year ended June 30, 2018.

Jon Fox,

Audit Manager

3/29/18

10:28 a.m.

Joe Evans, Partner

RSM US LLP

No

Bill Sarb, Manager

RSM US LLP

Email;

Joe Evans: Joseph.Evans-at-rsmus.com

Bill Sarb: Bill.Sarb-at- rsmus.com

Jon Fox: jfox-at-auditor.illinois.gov

Email

Joe sent me the informal proposals for the FY18 financial audits and compliance examination engagements of the State Employees’, Judges’ and General Assembly Retirement Systems.

Stacie Sherman, Audit Manager

3/28/18

3:27 p.m.

Jenara Willman, Admin Asst.

West and Company

No

Janice Romack, Partner

West and Company

Email:

Jenara Willman: JWillman-at-westcpa.com

Janice Romack: JRomack-at-westcpa.com

Stacie Sherman: ssherman-at-auditor.illinois.gov

Email

Jenara sent me the informal proposal for the FY18 compliance examination of the State Police Merit Board.

Stacie Sherman, Audit Manager

3/29/18

11:25 p.m.

Stella Santos, Partner

Adelfia LLC

No

N/A

Phone:

Stella Santos: (312)240-9500

Stacie Sherman: (217)782-0808

3 minutes

I made preliminary contact with Stella Santos about her interest in Adelfia LLC performing the FY18 financial audit, single audit, and compliance examination of Western Illinois University.  Adelfia LLC is interested in performing the engagement.  I inquired if Adelfia LLC has any independence issues or conflicts of interest and Stella responded that they had no independence or conflict of interest issues.  We discussed early work money, potential start dates and the dates I would send the Welcome Letter and would need their proposal.

Jose G. Roa, Audit Manager

3/29/18

11:18am

Paul Pelletier

Partner

Borschnack, Pelletier & Co.

No

N/A

E-mail:

Pelletier: ppelletier-at-bpc-cpa.com

Roa: jroa-at-auditor.illinois.gov

Email

Sent Paul Pelletier the 2018 Welcome Letter requesting a proposal for our consideration regarding the FY18 financial audit, single audit, compliance examination of Governors State University.

Jose G. Roa, Audit Manager

3/29/18

9:05am

Paul Pelletier

Partner

Borschnack, Pelletier & Co.

No

N/A

Phone:

Pelletier: 815-933-1771

Roa: 312-814-4008

5 minutes

I made preliminary contact with Paul Pelletier about firm’s interest performing the FY18 financial audit, single audit, compliance examination of Governors State University.  Paul stated firm is interested in performing the engagement and the firm is independent.  We discussed early work budget and IS review hours.  Firm was notified the Welcome Letter will be sent same day to start contracting.

Jose G. Roa, Audit Manager

3/29/18

10:15am

Marites Sy

Partner

E.C. Ortiz & Co., LLP

No

N/A

Phone:

Sy: 312-876-1900

Roa: 312-814-4008

5 minutes

I made preliminary contact with Marites Sy about firm’s interest performing the FY18 financial audit, single audit, compliance examination of Northeastern Illinois University.  Marites stated firm is interested in performing the engagement and the firm is independent.  We discussed early work budget.  Firm was notified the Welcome Letter will be sent same day to start contracting.

Jose G. Roa, Audit Manager

3/29/18

11:36am

Marites Sy

Partner

E.C. Ortiz & Co., LLP

No

N/A

E-mail:

Sy: musy-at-ecortiz.com

Roa: jroa-at-auditor.illinois.gov

Email

Sent Marites Sy the 2018 Welcome Letter requesting a proposal for our consideration regarding the FY18 financial audit, single audit, compliance examination of Northeastern Illinois University.

Adam Ausmus, Audit Manager

3/29/18

2:24pm

Amy Sherwood, Partner

Sikich, LLP

No

N/A

Email:

Amy Sherwood: amy.sherwood-at-sikich.com

Adam Ausmus: aausmus-at-auditor.illinois.gov

Email

I asked Amy whether the firm would potentially be looking at HIPPA information on the DVA engagement and whether Sikich had a Firm Business Associate agreement with the OAG.  Ultimately, we do have an agreement with Sikich and it will be added to the contract.

Adam Ausmus,

Audit Manager

3/29/18

2:48pm

Amy Sherwood, Partner

Sikich, LLP

No

N/A

Email:

Amy Sherwood: amy.sherwood-at-sikich.com

Adam Ausmus: aausmus-at-auditor.illinois.gov

Email

I let Amy know that the DVA contract has been signed.

Peggy Hartson, Audit Manager

3/28/18

7:30am

Amy Sherwood, Partner

Sikich LLP

No

N/A

Email:

Amy Sherwood: amy.sherwood-at-sikich.com

Peggy Hartson: pahartson-at-auditor.illinois.gov

Email

Amy emailed to inquire what we would need from her to begin the contract processing for the FY18 financial, compliance and single audit of Eastern Illinois University.

Peggy Hartson, Audit Manager

3/28/18

8:02am

Amy Sherwood, Partner

Sikich LLP

No

N/A

Email:

Amy Sherwood: amy.sherwood-at-sikich.com

Peggy Hartson: pahartson-at-auditor.illinois.gov

Email

I responded to Amy’s inquiry and informed her I would forward her the welcome letter for the FY18 Eastern Illinois University engagement soon.

Peggy Hartson, Audit Manager

3/29/18

9:12am

 

Amy Sherwood, Partner

Sikich LLP

No

N/A

Email:

Amy Sherwood: amy.sherwood-at-sikich.com

Peggy Hartson: pahartson-at-auditor.illinois.gov

Email

I emailed Amy the FY18 Eastern Illinois University welcome letter.

Stacie Sherman, Audit Manager

3/29/18

3:40 p.m.

Stella Santos, Partner

Adelfia LLC

No

N/A

Email:

Stella Santos: sbsantos-at-adelfiacpa.com

Stacie Sherman: ssherman-at-auditor.illinois.gov

Email

I sent Stella the 2018 Welcome Letter and associated materials needed to complete proposals for our consideration regarding the FY18 financial audit, state compliance examination, and single auditor of Western Illinois University.

Adam Ausmus, Audit Manager

3/30/18

4:07pm

Amy Sherwood, Partner

Sikich LLP

No

N/A

Email:

Amy Sherwood: amy.sherwood-at-sikich.com

Adam Ausmus: aausmus-at-auditor.illinois.gov

Email

I let Ms. Sherwood know that her contract proposal for the DCFS engagement was accepted and I put the contracts in the mail for her.  I also let her know that we agreed the Phase I and Phase II contract rates.

Janis Van Durme, Audit Manager

3/28/18

4:00 pm

Linda Abernethy, Partner

RSM, LLP

No

N/A

Abernethy: 847-413-6248

Van Durme: 217-782-8393

5 minutes

Notified Ms. Abernethy my office found a mistake in the contracting documents for the FY17 and FY18 IDOR engagements and we would therefore need to have revised documents sent to us.

Janis Van Durme, Audit Manager

3/29/18

10:33 am

Linda Abernethy, Partner

RSM, LLP

No

N/A

Email:

Abernethy: Linda.Abernethy-at-rsmus.com

Van Durme: jvandurme-at-auditor.illinois.gov

Email

Ms. Abernethy sent me revised informal proposal documents for the FY17 and FY18 IDOR engagements.

Janis Van Durme, Audit Manager

3/28/18

3:58 pm -4:30 pm

Amy Sherwood, Partner

Sikich LLP

No

N/A

Email:

Amy Sherwood: amy.sherwood-at-sikich.com

Van Durme: jvandurme-at-auditor.illinois.gov

Email

Ms. Sherwood stated she would get me the requested materials for the Informal Proposal of the CMS FY18 engagements and asked me what dates I would be available for the entrance conference. I responded with dates I was available.