REPORT DIGEST

JOINT COMMITTEE ON ADMINISTRATIVE RULES

COMPLIANCE AUDIT

For the Two Years Ended:

June 30, 2002

Summary of Findings:

Total this audit 2
Total last audit 2
Repeated from last audit 2

Release Date:
February 25, 2003

Logo.gif (1870 bytes)

State of Illinois

Office of the Auditor General

WILLIAM G. HOLLAND

AUDITOR GENERAL

To obtain a copy of the Report contact:
Office of the Auditor General
Attn: Records Manager
Iles Park Plaza
740 E. Ash Street
Springfield, IL 62703

(217)782-6046 or TDD (217) 524-4646

This Report Digest is also available on
the worldwide web at
http://www.state.il.us/auditor

 

 

 

 

SYNOPSIS

 

 

 

  • JCAR has not fully complied with the Illinois Administrative Procedure Act which requires the evaluation of all agency rules at least once every five years.

 

 

 

 

 

 

 

 

 

 

 

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

 

JOINT COMMITTEE ON ADMINISTRATIVE RULES
COMPLIANCE AUDIT
For The Two Years Ended June 30, 2002

EXPENDITURE STATISTICS

FY 2002

FY 2001

FY 2000

Total Expenditures (All Funds)

$955,277

$968,291

$902,357

OPERATIONS TOTAL

% of Total Expenditures

$955,277

100.00%

$968,291

100.00%

$902,357

100.00%

Personal Services

% of Operations Expenditures

Average No. of Employees

$731,213

76.54%

20

$720,871

74.45%

21

$677,079

75.04%

23

Other Payroll Costs (FICA,

Retirement)

% of Operations Expenditures

 

$156,875

16.42%

 

$153,728

15.88%

 

$140,625

15.58%

Contractual Services

% of Operations Expenditures

$25,873

2.71%

$31,867

3.29%

$26,258

2.91%

All Other Operations Items

% of Operations Expenditures

$41,316

4.33%

$61,825

6.38%

$58,395

6.47%

Cost of Property and Equipment

$145,005

$139,966

$146,349

SELECTED ACTIVITY MEASURES*

2002
(as of 10/31/02)

2001

2000

Rules received
Rules reviewed
Recommendations made
Objections
* calendar year basis

563
332
11
14

556
533
16
16

690
637
14
24

AGENCY DIRECTOR

During Audit Period: Vicki Thomas
Currently: Vicki Thomas

 

 

 

 

 

 

Evaluation of agency rules

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FINDINGS, CONCLUSIONS, AND RECOMMENDATIONS

NONCOMPLIANCE WITH ILLINOIS ADMINISTRATIVE PROCEDURE ACT

The Joint Committee on Administrative Rules (JCAR) has not fully complied with the Illinois Administrative Procedure Act (5 ILCS 100/5-130) which requires the evaluation of all rules of each agency at least once every five years. The Act requires JCAR’s evaluation of the rules to include the following: organizational, structural and procedural reforms that affect rules or rulemaking; merger, modification, establishment, or abolition of regulations; elimination or phasing out outdated, overlapping, or conflicting regulatory jurisdictions or requirements of general applicability; and economic and budgetary effects.

We recommended JCAR either develop and implement a formal long range plan which addresses methods to bring its operations into compliance with these statutory requirements or seek legislative changes. (Finding 1, pages 7-9)

JCAR officials responded that legislative changes have been initiated in the past but were not passed. They will again consider this issue when drafting legislative recommendations for 2003. This finding has been repeated since 1988. (For previous agency responses, see Digest Footnote 1.)

OTHER FINDING

The remaining finding was less significant and is reportedly being given attention by the Agency. We will review the Agency’s progress towards the implementation of our recommendations in our next audit.

Vicki Thomas, Executive Director, provided responses to our findings and recommendations.

AUDITORS’ OPINION

We conducted a compliance audit of the Joint Committee on Administrative Rules as required by the Illinois State Auditing Act. The Agency has no locally held or federal or State trust funds, consequently, there are no financial statements requiring a financial audit leading to an opinion.

 

____________________________________

WILLIAM G. HOLLAND, Auditor General

WGH:KMA:pp

SPECIAL ASSISTANT AUDITORS

Our Special Assistant Auditors for this audit were Martin & Shadid, CPAs.

DIGEST FOOTNOTES

#1: NONCOMPLIANCE WITH ILLINOIS ADMINISTRATIVE PROCEDURE ACT - Previous Agency Responses

2000: "JCAR acknowledges that is has not been able to carry out the statutory requirement that it conduct a five-year review of all the rules of all State agencies. During four years early in JCAR's history (1980-83), an attempt was made to conduct these reviews, but that effort had to be abandoned for lack of adequate staff resources to conduct both on-going review of new regulations and the five-year periodic review…. The auditors recommend that if JCAR cannot conduct five-year review, it seek an amendment to the Administrative Procedure Act to change the current mandatory requirement for such review. As this finding points out, such legislation has been initiated in the past, but without passage. JCAR will again consider this issue when it devises its legislative recommendations for 2001."

1998: "JCAR acknowledges that it has not been able to carry out the statutory requirement that it conduct a 5-year review of all the rules of all State agencies. During 4 years early in JCAR's history (1980-83), an attempt was made to conduct these reviews, but that effort had to be abandoned for lack of adequate staff resources to conduct both on-going review of new regulations and the 5-year periodic review….. The auditors recommend that if JCAR cannot conduct 5-year review, it seek an amendment to the Administrative Procedure Act to change the current mandatory requirement for such review. As this finding points out, such legislation has been initiated in the past, but without passage. JCAR will again consider this issue when it devises its legislative recommendations for 1999."

1996: "JCAR acknowledges that it has not been able to carry out the statutory requirement that it conduct a 5-year review of all the rules of all State agencies. During 4 years early in JCAR’s history (1980-83), an attempt was made to conduct these reviews, but that effort had to be abandoned for lack of adequate staff resources to conduct both on-going review of new regulations and the 5-year periodic review. ....JCAR will attempt to develop a plan that can be submitted to the General Assembly for its consideration in funding the operations of this agency. JCAR also periodically initiates or assists legislators with bills designed to update the Illinois Administrative Procedure Act. Such legislation is being drafted for consideration this session."

1994: "JCAR acknowledges that it has not been able to carry out the statutory requirement that it conduct a 5-year review of all the rules of all State agencies. During 4 years early in JCAR's 15-year history (1980-83), an attempt was made to conduct these reviews, but that effort had to be abandoned for lack of adequate staff resources to conduct both on-going review of new regulations and the 5-year periodic review. To responsibly fulfill both these mandates would require at least twice the staff resources that have been available to JCAR. . . . JCAR will again consider this issue when it devises its legislative recommendations."

1992: "JCAR acknowledges that it has not been able to carry out the statutory requirement that it conduct a 5-year review of all the rules of all State agencies. During 4 years early in JCAR's 15-year history (1980-83), an attempt was made to conduct these reviews, but that effort had to be abandoned for lack of adequate staff resources to conduct both on-going review of new regulations and the 5-year periodic review. To responsibly fulfill both these mandates would require at least twice the staff resources that have been available to JCAR. . . . JCAR will again consider this issue when it devises its legislative recommendations for 1994."

1990: "We concur with the finding, and since forms evaluation is part of the five-year review program, the Joint Committee will again introduce legislation identical to House Bill 1674 in the 1991 Spring Session of the General Assembly to make five-year review of agency rulemaking permissive rather than mandatory."

1988: "[Mr. Bruce Johnson, Director] I concur with the recommendation. I will recommend that the Joint Committee either amend Sections 7.08 and 7.6 of the Illinois Administrative Procedure Act to make the five year review and the evaluation of State forms permissive or that the Joint Committee request additional funding in order to comply."