REPORT DIGEST

REPORT DIGEST

OFFICE OF THE STATE APPELLATE DEFENDER

COMPLIANCE EXAMINATION

For the Two Years Ended:

June 30, 2006

Summary of Findings:

Total this audit 2

Total last audit 0

Repeated from last audit 0

Release Date:

March 20, 2007

State of Illinois

Office of the Auditor General

WILLIAM G. HOLLAND

AUDITOR GENERAL

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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

http://www.auditor.illinois.gov

SYNOPSIS

¨ The Office did not conduct employee performance evaluations in accordance with their Policies and Procedures Manual.

¨ The Office had not adopted formal policies and procedures over employee flex-time schedules.

{Expenditures and Activity Measures are summarized on the reverse page.}

OFFICE OF THE STATE APPELLATE DEFENDER

COMPLIANCE EXAMINATION

For The Two Years Ended June 30, 2006

EXPENDITURE STATISTICS

FY 2006

FY 2005

FY 2004

· Total Expenditures (All Funds)............

$23,279,591

$22,695,434

$20,889,143

Personal Services...........................

% of Total Expenditures...........

Average No. of Employees……………………

$13,773,101

59.2%

274

$13,026,758

57.4%

265

$12,511,633

59.9%

263

Other Payroll Costs (FICA,

Retirement)...........................................

% of Total Expenditures...........

$2,074,753

8.9%

$3,091,153

13.6%

$2,588,852

12.4%

Contractual Services......................

% of Total Expenditures...........

$2,818,413

12.1%

$2,161,864

9.5%

$2,010,925

9.6%

Lump Sum and Other Purposes.......

% of Total Expenditures..............

$3,469,919

14.9%

$3,277,470

14.5%

$3,140,677

15.0%

All Other Operations Items.............

% of Total Expenditures...........

$1,143,405

4.9%

$1,138,189

5.0%

$637,056

3.1%

· Cost of Property and Equipment..........

$2,448,576

$2,397,432

$2,640,470

SELECTED ACTIVITY MEASURES (not examined)	FY 2006	FY 2005	FY 2004
· Cases Appointed.........................................	3,078	3,452	3,278
· Briefs Filed: Original Briefs........................................... Anders Briefs............................................ Death Penalty Briefs................................. Motions to Withdraw/Dismiss Filed............. Summary Motions Filed.............................. Total....................................................	2,084 413 4 587 150 3,238	1,813 374 3 576 143 2,909	1,599 335 2 552 167 2,655
· Cases Closed..............................................	3,299	2,751	3,046
· Cases Pending at Year End..........................	5,162	5,475	4,854
· Average Cost per Case Closed.....................	$7,004	$8,161	$6,804

STATE APPELLATE DEFENDER

During Examination Period: Theodore A. Gottfried

Currently: Theodore A. Gottfried

Evaluations were performed between 31 and 417 days after the evaluation period end date

Evaluation periods ranged from 9 to 39 months

Employees are allowed to participate in flex-time schedules, however, the Office does not have formal policies and procedures for flex-time

FINDINGS, CONCLUSIONS, AND

RECOMMENDATIONS

EMPLOYEE PERFORMANCE EVALUATIONS NOT CONDUCTED IN ACCORDANCE WITH POLICIES

The Office did not conduct employee performance evaluations in accordance with their Policies and Procedures Manual. We noted the following:

During the two year period, four employee performance evaluations were not performed and 32 evaluations were not performed timely. The 32 untimely evaluations were performed between 31 and 417 days after their corresponding evaluation period end date.

One employee did not sign their performance evaluation certifying that the evaluation was discussed with the employee.

Two evaluations were not signed by the employee’s supervisor.

One employee signed that they received their evaluation, however, indicated that it was not discussed with them.

· Nine of 25 employees’ performance evaluations were not in accordance with a twelve month evaluation period or a six month evaluation period as required by policy. The periods evaluated ranged from a 9 month evaluation period to a 39 month evaluation period.

(Finding 1, pages 9-10)

We recommended the Office comply with internal policies and prudent business practices by performing employee performance evaluations for all employees in a timely manner and ensuring that each evaluation is discussed with and signed by the employee and his/her supervisor.

Office personnel agreed with our recommendation and stated they have implemented a system that will allow them to provide supervisors with evaluation due dates. Evaluations will be required to be filed within 75 days following the end of the evaluation period.

LACK OF FORMAL FLEX-TIME POLICIES AND PROCEDURES

The Office has not adopted formal policies and procedures over employee flex-time schedules.

During the period, we noted the Office allowed employees to participate in a flex-time schedule. However, the Office had not adopted formal policies and procedures establishing a flex-time schedule or for monitoring the employees participating in flex-time schedules. According to Agency personnel, it is at the discretion of the Deputy Defenders and other supervisory personnel to allow employees to work various schedules. (Finding 2, page 11)

We recommended the Office adopt formal policies and procedures over establishing and monitoring flex-time schedules and maintain documentation for approval of employees participating in flex-time schedules.

Office personnel agreed with our recommendation and stated they will adopt formal policies and procedures for establishing and monitoring flex-time schedules and maintain documentation for approval of employee participation in flex-time schedules.

AUDITORS' OPINION

We conducted a compliance examination of the Office as required by the Illinois State Auditing Act. We have not audited any financial statements of the Office for the purpose of expressing an opinion because the agency does not, nor is it required to, prepare financial statements.

_____________________________________

WILLIAM G. HOLLAND, Auditor General

WGH:CL:pp

ASSIGNED AUDITORS

This examination was performed by the staff of the Office of the Auditor General.