REPORT DIGEST JUDICIAL INQUIRY BOARD COMPLIANCE EXAMINATION For the Two Years Ended: June 30, 2014 Release Date: May 21, 2015 FINDINGS THIS AUDIT: 3 CATEGORY: NEW -- REPEAT -- TOTAL Category 1: 0 -- 0 -- 0 Category 2: 2 -- 0 -- 2 Category 3: 0 -- 1 -- 1 TOTAL: 2 -- 1 -- 3 FINDINGS LAST AUDIT: 5 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 WILLIAM G. HOLLAND, 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 • (14-1) The Board has a growing inventory level of pending complaints of misconduct or physical or mental incapacity of judicial officers. • (14-3) The Board was not composed of nine members as required by the Constitution. FINDINGS, CONCLUSIONS, AND RECOMMENDATIONS BACKLOG OF UNPROCESSED ALLEGATIONS The Judicial Inquiry Board (Board) has a growing inventory level of pending complaints concerning alleged misconduct or physical or mental incapacity of judicial officers. During the examination, the auditors requested the Board provide information on the total number of complaints received, by type of allegation(s) suggested in each complaint, against judicial officers, by fiscal year. Board officials stated they were unable to provide this information by the conclusion of fieldwork because: 1) the Board’s staff had not been able to complete an analysis of the complaint and other relevant documents prior to a meeting of the Board; and, 2) the Board, due to a lack of members and the number and nature of cases pending before it on a monthly basis, was unable to take on additional first time agenda items in order to reach an initial decision on how to proceed with each complaint. At June 30, 2014, the Board reported an inventory of 311 pending complaints, with some of these complaints remaining pending as of the end of fieldwork (April 2015). (Finding 1, pages 10-11) We recommended the Board seek sufficient resources to support its processing of received complaints. Board officials stated they will seek to obtain sufficient resources to support its processing of received complaints. LACK OF REQUIRED BOARD MEMBERS The Board was not composed of nine members as required by the Constitution of the State of Illinois. During testing, the auditors noted two of four (50%) non-lawyer Board positions were vacant. These specific seats were vacated 811 and 1,360 days prior to June 30, 2014. (Finding 3, page 13) This finding has been repeated since 2008. We recommended the Board continue to work with the Governor to ensure the Board’s vacancies are filled in a timely manner as required by the Constitution. Board officials stated they will continue to make efforts to communicate with the Governor regarding the Board’s vacancies. (For the previous Board response, see Digest Footnote #1.) OTHER FINDING The remaining finding pertains to reporting lease information to the Office of the State Comptroller. We will review the Board’s progress towards the implementation of our recommendations in the next engagement. ACCOUNTANT’S OPINION We conducted a compliance examination of the Board for the two years ended June 30, 2014, as required by the Illinois State Auditing Act. The auditors stated the Board complied, in all material respects, with the requirements described in the report. WILLIAM G. HOLLAND Auditor General WGH:djn AUDITORS ASSIGNED This examination was performed by the Office of the Auditor General’s staff. DIGEST FOOTNOTES #1 - Lack of Required Board Members - Previous Board Response 2012: Agree. The Board will continue to make efforts to communicate with Governor regarding the need for appointments; however, as indicated above, the filling of vacancies exceeds the Board’s authority.