REPORT DIGEST GUARDIANSHIP AND ADVOCACY COMMISSION COMPLIANCE EXAMINATION FOR THE TWO YEARS ENDED JUNE 30, 2017 Release Date: October 11, 2018 FINDINGS THIS AUDIT: 5 CATEGORY: NEW -- REPEAT -- TOTAL Category 1: 0 -- 0 -- 0 Category 2: 1 -- 4 -- 5 Category 3: 0 -- 0 -- 0 TOTAL: 1 -- 4 -- 5 FINDINGS LAST AUDIT: 4 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 • (17-02) The Commission did not have a sufficient number of members and did not always conduct quarterly meetings. • (17-03) The Commission did not exercise adequate internal control over conducting performance evaluations for its employees. FINDINGS, CONCLUSIONS, AND RECOMMENDATIONS NONCOMPLIANCE WITH THE GUARDIANSHIP AND ADVOCACY ACT The Guardianship and Advocacy Commission (Commission) did not have a sufficient number of members and did not always conduct quarterly meetings. We noted the following: • The Commission operated with only nine members as of June 30, 2016, and ten members as of June 30, 2017. Of the ten members serving as of June 30, 2017, seven were serving on expired appointments. The original appointments of these seven members were made between Fiscal Year 2003 and Fiscal Year 2011, resulting in members serving up to five consecutive terms. • The Commission did not meet at least once every three months during Fiscal Year 2016. The Commission did not meet between the months of September 2015 and February 2016. (Finding 2, pages 13-14) This finding has been repeated since 2009. We recommended the Commission continue to work with the Governor’s Office to fill vacancies. We also recommended the Commission’s chair schedule and conduct meetings at least once every three months. The Commission agreed with the finding, indicating meetings were scheduled but cancelled due to a lack of a quorum and the Commission will continue to work with the Governor’s Office to ensure appointments are made. (For the previous Commission response, see Digest Footnote #1.) INADEQUATE CONTROL OVER PERFORMANCE EVALUATIONS The Commission did not exercise adequate internal control over conducting performance evaluations for its employees. We noted the following: • Five of 16 (31%) employees tested did not have employee performance evaluations conducted within 30 days after the yearly evaluation period ended. The performance evaluations were administered between 1 and 142 days late. • Annual performance evaluations for 6 of 16 (38%) employees tested were not completed for Fiscal Year 2016. • Annual performance evaluations for 6 of 16 (38%) employees tested were not completed for Fiscal Year 2017. (Finding 3, page 15-16) This finding has been repeated since 2011. We recommended the Commission comply with the Illinois Administrative Code and take appropriate measures to ensure performance evaluations are conducted in a timely manner. The Commission agreed with the finding, noting they will strive to complete evaluations in a timely manner. (For the previous Commission response, see Digest Footnote #2.) OTHER FINDINGS The remaining findings pertain to inadequate control over employee attendance records, State property, and Agency Workforce Reports. We will review the Commission’s progress towards the implementation of our recommendations in our next compliance examination. ACCOUNTANT’S OPINION The accountants conducted a compliance examination of the Commission for the two years ended June 30, 2017, as required by the Illinois State Auditing Act. The accountants stated the Commission complied, in all material respects, with the requirements described in the report. This compliance examination was conducted by the Office of the Auditor General’s staff. 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 FJM:SDW DIGEST FOOTNOTES #1 - NONCOMPLIANCE WITH THE GUARDIANSHIP AND ADVOCACY ACT – Previous Commission Response 2015: The Commission agrees with the facts of the finding. Quarterly meetings were scheduled but were cancelled when a quorum was not met. The Commission staff are working with the Governor’s Office to try and ensure a full complement of Commissioners who are serving appointed and current terms, which will enable quorum requirements to be more consistently met. The Commission complies with all requirements of the Open Meetings Act which prevents business from being conducted in the absence of a quorum. #2 - INADEQUATE CONTROL OVER PERFORMANCE EVALUATIONS – Previous Commission Response 2015: The Commission agrees with the finding. Commission management will strive to complete evaluations in a more timely manner.