April 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 |
4/2/18 1:43 p.m. |
Janice Romack, Partner West & Company, LLC |
No |
N/A |
Phone: Janice Romack: 618-664-4848 Stephanie Wildhaber: 217-785-0165 |
2 minutes |
I called Janice to let her know West & Company’s proposal for the Fiscal Year 2016 and 2017 Compliance Examination of the Department of State Police had been accepted. |
|
Janis Van Durme, Audit Manager |
4/2/18 12:25 p.m. |
Linda Abernethy, Partner RSM US LLP |
No |
N/A |
Phone: Janis Van Durme: 217-782-8393 Linda Abernethy: 847-413-6248 |
5 minutes |
I called Ms. Abernethy to let her know I had some proposed changes to the Timetables of the IDOR FY18 engagement. |
|
Janis Van Durme, Audit Manager |
4/2/18 12:44 p.m. |
Linda Abernethy, Partner RSM US LLP |
No |
N/A |
Email: Janis Van Durme: jvandurme-at-auditor.illinois.gov Linda Abernethy: Linda.Abernethy-at-rsmus.com |
|
Ms. Abernethy sent me copies of Timetables of the IDOR FY18 engagement to update per our discussion noted above. |
|
Janis Van Durme, Audit Manager |
4/2/18 1:12 p.m. |
Linda Abernethy, Partner RSM US LLP |
No |
N/A |
Email: Janis Van Durme: jvandurme-at-auditor.illinois.gov Linda Abernethy: Linda.Abernethy-at-rsmus.com |
|
Ms. Abernethy sent me RSM US LLP’s Informal Proposal documents for the DHS FY18 financial audit. |
|
Jon Fox, Audit Manager |
4/4/18 8:35 a.m. |
Joe Evans, Partner RSM US LLP |
No |
N/A |
Phone: Joe Evans: 847-413-6919 Jon Fox: 217-524-2149 |
30 minutes |
Joe and I discussed the upcoming fiscal year 2018 financial audits and State compliance examination of the State Employees’, Judges’ and General Assembly Retirement Systems. We discussed the welcome letter, assignment materials and RSM’s preliminary survey of the Systems. We discussed the expected start date and the potential impact of GASB’s 75 and 85. We discussed the proposed staffing and timetables. I proposed a number of changes to the timetables, which Joe accepted and I said I would send my proposed revision to him for review. We discussed that RSM’s business certification. We discussed RSM’s contract disclosures. I requested the AICPA acceptance letter of their peer review. We discussed the proposal rate, hours and allocations by auditor and major audit area. I requested an additional breakdown of the additional hours requested for each engagement broken down by the three areas that may require additional audit effort. Joe said he would send me the breakdown by noon tomorrow. |
|
Jon Fox, Audit Manager |
4/4/18 9:58 a.m. |
Joe Evans, Partner RSM US LLP |
No |
N/A |
Email: Joe Evans: Joseph.Evans-at-rsmus.com Jon Fox: jfox-at-auditor.illinois.gov |
|
Joe sent me the acceptance letter for the RSM’s most recent peer review that I requested. |
|
Jon Fox, Audit Manager |
4/4/18 10:00 a.m. |
Heather Powell, Managing Director |
No |
N/A |
Phone: Heather Powell: 217-421-6869 Jon Fox: 217-524-2149 |
20 minutes |
Heather and I discussed the upcoming fiscal year 2018 financial audits and State compliance examination of the Teachers’ Retirement System. We discussed the welcome letter, assignment materials and BKD’s preliminary survey of the Systems. We discussed two new statutes expected that go into effect in fiscal year 2018. We discussed the expected entrance conference date and the contract start date. Heather wants to start planning work three weeks before beginning field work. We discussed the potential impact of GASB’s 75 and 85. We discussed the proposed staffing and timetables. I proposed a number of changes to the timetables, which Heather accepted and I said I would send my proposed revision to her for review. We discussed the proposal rate, hours and allocations by auditor and major audit area. I said I would prepare contract documents today or tomorrow and if approved overnight them to her for signature. |
|
Jon Fox, Audit Manager |
4/4/18 10:02 a.m. |
Joe Evans, Partner RSM US LLP |
No |
N/A |
Email: Joe Evans: Joseph.Evans-at-rsmus.com Jon Fox: jfox-at-auditor.illinois.gov |
|
Joe sent me a breakdown of proposed additional hours on the State Retirement System engagement proposals that I requested. |
|
Jon Fox, Audit Manager |
4/5/18 8:39 a.m. |
Joe Evans, Partner RSM US LLP |
No |
Bill Sarb, Senior Manager |
Email: Joe Evans: Joseph.Evans-at-rsmus.com Jon Fox: jfox-at-auditor.illinois.gov |
|
Joe accepted my proposed contract revisions to Schedules 1 and 2 and to the allocation of hours and auditors for the State Retirement System engagement proposals. |
|
Stacie Sherman, Audit Manager |
4/2/18 2:50 pm |
Janice Romack, Partner West & Company, LLC |
No |
N/A |
Phone: Janice Romack: 618-664-4848 Stacie Sherman: 217-782-0808 |
4 minutes |
Spoke with Janice regarding the early work hours proposed for the State Police Merit Board. After discussion no changes were made to the proposal. |
|
Stacie Sherman, Audit Manager |
4/3/18, 10:21 am |
Stella Santos, Partner Adelfia, LLC |
No |
N/A |
Email: Stella Santos: sbsantos-at-adelfiacpas.com Stacie Sherman: ssherman-at-auditor.illinois.gov |
|
Stella sent me the proposed date and time for the Western Illinois University entrance conference. I confirmed the date. |
|
Stacie Sherman, Audit Manager |
4/5/18 11:04 am |
Brandon Reed, Senior Manager Crowe Horwath LLP |
No |
N/A |
Phone: Brandon Reed: 217-862-2706 Stacie Sherman:217-782-0808 |
5 minutes |
Brandon called to let me know that they may not be able to submit the Treasurer’s Office proposals by my due date of April 23, 2018. This is due to delay in getting the Preliminary Survey Questionnaire back from the Treasurer’s Office. I told him that I made April 23 the deadline as the OAG needs time to process the contract prior to the entrance conference. I let him know that if we don’t get the proposals by April 23, then we will have to move the entrance conference to the second week in May. Brandon said he will work with the Treasurer’s Office but they may still be late. |
|
Stacie Sherman, Audit Manager |
4/5/18 12:00 pm |
Brandon Reed, Senior Manager Crowe Horwath LLP |
No |
N/A |
Email: Brandon Reed: Brandon.Reed-at-crowehorwath.com Stacie Sherman: ssherman-at-auditor.illinois.gov |
|
Brandon asked about due dates presented in the welcome letter for the Treasurer’s Office engagements. I told him that those were approximate dates and the dates from the proposal would be fine. |
|
Stacie Sherman, Audit Manager |
4/9/18 2:04 pm |
Janice Romack, Partner West & Company, LLC |
No |
N/A |
Email: Janice Romack: jromack-at-westcpa.com Stacie Sherman: ssherman-at-auditor.illinois.gov |
|
I emailed Janice to let her know her proposal for the FY17/18 compliance examination for the State Police Merit Board had been accepted and that I would be mailing her the contracts. |
|
Elvin Lay, Assistant Director |
04/09/18 9:52 am |
Cathy Baumann, Partner KPMG LLP |
No |
N/A |
Email: Cathy Baumann: cbaumann-at-kpmg.com Elvin Lay: elay-at-auditor.illinois.gov |
|
Discussion regarding timing of beginning the contracting for the 2018 Statewide Single Audit |
|
Elvin Lay, Assistant Director |
04/09/18 9:15 am |
Cathy Baumann, Partner KPMG LLP |
No |
N/A |
Phone: Cathy Baumann: 708-205-8055 Elvin Lay: 217-782-0810 |
12 minutes |
Phoned Ms. Baumann to discuss whether the firm (KPMG) was interested in the FY18 Statewide Single Audit, whether any conflicts existed, and amount of early work to be performed. The firm is interested and had no conflicts with the engagement. |
|
Elvin Lay, Assistant Director |
04/09/18 4:13 pm |
Cathy Baumann, Partner KPMG LLP |
No |
N/A |
Email: Cathy Baumann: cbaumann-at-kpmg.com Elvin Lay: elay-at-auditor.illinois.gov |
|
Cathy emailed the firms contracting documents for compiling the FY’18 contract |
|
Stacie Sherman, Audit Manager |
4/9/18 12:43 pm |
Stella Santos, Partner Adelfia, LLC |
No |
N/A |
Email: Stella Santos: sbsantos-at-adelfiacpas.com Stacie Sherman: ssherman-at-auditor.illinois.gov |
|
Stella sent me a proposed rate and additional hours for the FY18 financial audit, single audit, and compliance examination of Western Illinois University. I told her I would need her proposal and a breakdown of which areas she planned to use any additional hours. |
|
Adam Ausmus, Audit Manager |
4/9/18 1:12 pm |
Amy Sherwood, Partner Sikich, LLP |
No |
NA |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Adam Ausmus: aausmus-at-auditor.illinois.gov |
|
Amy let me know she signed the DCFS contracts and her courier would be bringing them by the office today. |
|
Adam Ausmus, Audit Manager |
4/9/18 3:32 pm |
Amy Sherwood, Partner Sikich, LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Adam Ausmus: aausmus-at-auditor.illinois.gov |
|
I informed Amy that I received the signed DCFS contracts and I turned them in to management to be signed. |
|
Peggy Hartson, Audit Manger |
4/9/18 9:43am |
Amy Sherwood, Partner Sikich LLP |
No |
N/A |
Phone: Amy Sherwood: 217-793-3363 Peggy Hartson: 217-524-8748 |
Phone |
I called Amy to inform her the Eastern Illinois University contract documents were ready for signature. She indicated the courier was coming to the office and could pick them up. |
|
Elvin Lay, Assistant Director |
04/10/18 9:15 am |
Cathy Baumann, Partner KPMG LLP |
No |
N/A |
Email: Cathy Baumann: cbaumann-at-kpmg.com Elvin Lay: elay-at-auditor.illinois.gov |
|
Cathy emailed the firms proposed contract amount and hours for the FY’18 Statewide Single Audit |
|
Peggy Hartson, Audit Manager |
4/10/18 9:15am |
Amy Sherwood, Partner Sikich LLP |
No |
N/A |
Phone: Amy Sherwood: 217-793-3363 Peggy Hartson: 217-524-8748 |
Phone |
Amy called to discuss the EIU contract. She made an error on her informal proposal and wanted to revise the hours and amounts for Phase I & Phase II. |
|
Elvin Lay, Assistant Director |
04/10/18 7:04 pm |
Cathy Baumann, Partner KPMG LLP |
No |
N/A |
Email: Cathy Baumann: cbaumann-at-kpmg.com Elvin Lay: elay-at-auditor.illinois.gov |
|
Cathy emailed additional contracting documents for compiling the FY’18 Statewide Single Audit contract |
|
Peggy Hartson, Audit Manager |
4/10/18 9:50am |
Amy Sherwood, Partner Sikich LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Peggy Hartson: pahartson-at-auditor.illinois.gov |
|
Emailed Amy updated contract cover pages. |
|
Peggy Hartson, Audit Manager |
4/10/18 10:09am |
Amy Sherwood, Partner Sikich LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Peggy Hartson: pahartson-at-auditor.illinois.gov |
|
Amy emailed that she signed the documents and would send them over to the office this afternoon. |
|
Peggy Hartson, Audit Manager |
4/10/18 9:27am |
Chuck Kozlik, Partner CliftonLarsonAllen LLP |
No |
N/A |
Email: Chuck Kozlik: Chuck.Kozlik-at-claconnect.com Peggy Hartson: pahartson-at-auditor.illinois.gov |
|
I emailed Chuck to let him know the IDOT contracts had been signed and he could proceed with scheduling the entrance conference. |
|
Donna Humphries IS V |
4/6/18 8:53 AM |
Cynthia Coulthard (acct mgr) ACL Services Ltd. |
No |
N/A |
Email: cynthia_coulthardATacl.com |
|
Received annual quote for ACL subscription / support |
|
Janis Van Durme, Audit Manager |
4/9/18 4:13 pm |
Amy Sherwood, Partner Sikich, LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Janis Van Durme: jvandurme-at-auditor.illinois.gov |
|
Ms. Sherwood sent the CMS FY18 Informal Proposal Documents. |
|
Janis Van Durme, Audit Manager |
4/10/18 7:59 am |
Amy Sherwood, Partner Sikich, LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Janis Van Durme: jvandurme-at-auditor.illinois.gov |
|
Ms. Sherwood submitted a revised form for the CMS FY18 Informal Proposal Documents. |
|
Janis Van Durme, Audit Manager |
4/10/18 9:23 am |
Amy Sherwood, Partner Sikich, LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Janis Van Durme: jvandurme-at-auditor.illinois.gov |
|
I told Ms. Sherwood I would review the CMS FY18 Informal Proposal Documents. |
|
Janis Van Durme, Audit Manager |
4/12/18 11:39 am |
Amy Sherwood, Partner Sikich, LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Janis Van Durme: jvandurme-at-auditor.illinois.gov |
|
I told Ms. Sherwood I reviewed the CMS FY18 Informal Proposal Documents and had a couple questions for her. |
|
Janis Van Durme, Audit Manager |
4/12/18 12:59 pm |
Amy Sherwood, Partner Sikich, LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Janis Van Durme: jvandurme-at-auditor.illinois.gov |
|
Ms. Sherwood sent responses to the questions I had for the CMS FY18 Informal Proposal Documents. |
|
Stacie Sherman, Audit Manager |
4/10/18 2:24 pm |
Stella Santos, Partner Adelfia, LLC |
No |
N/A |
Email: Stella Santos: sbsantos-at-adelfiacpas.com Stacie Sherman: ssherman-at-auditor.illinois.gov |
|
Ms. Santos sent the proposal for the FY18 Financial Audit, Single Audit, and State Compliance Examination of Western Illinois University. |
|
Stacie Sherman, Audit Manager |
4/12/18 2:28 pm |
Stella Santos, Partner Adelfia, LLC |
No |
N/A |
Phone: Stella Santos: 708-369-6401 Stacie Sherman: 217-782-0808 |
3 minutes |
I spoke to Stella regarding the proposed rate and increase in hours for the FY18 Financial Audit, Single Audit, and State Compliance Examination of Western Illinois University. |
|
Stacie Sherman, Audit Manager |
4/16/18 11:45 am |
Stella Santos, Partner Adelfia, LLC |
No |
N/A |
Phone: Stella Santos: 708-369-6401 Stacie Sherman: 217-782-0808 |
2 minutes |
I spoke to Stella regarding dates in the proposal for the FY18 Financial Audit, Single Audit, and State Compliance Examination of Western Illinois University. |
|
Stacie Sherman, Audit Manager |
4/13/18 10:27 am |
Brandon Reed, Senior Manager Crowe Horwath LLP |
No |
N/A |
Email: Brandon Reed: Brandon.Reed-at-crowehorwath.com Stacie Sherman: ssherman-at-auditor.illinois.gov |
|
Brandon sent the informal proposal documents for the FY18 financial audits of the Office of the Treasurer engagements. |
|
Stacie Sherman, Audit Manager |
4/18/18 9:04 am |
Stella Santos, Partner Adelfia, LLC |
No |
N/A |
Email: Stella Santos: sbsantos-at-adelfiacpas.com Stacie Sherman: ssherman-at-auditor.illinois.gov |
|
I let Stella know that the proposal for the FY18 Financial Audit, Single Audit, and State Compliance Examination of Western Illinois University has been accepted. |
|
Kelly Mittelstaedt, Audit Manager |
4/19/18 9:30 am |
Kimberly Walker, Partner Kemper CPA Group |
No |
N/A |
Phone: Kiimberly Walker: 618-997-3055 Kelly Mittelstaedt: 217-785-1233 |
3 minutes |
Spoke to Kimberly to see if Kemper CPA Group was interested in conducting the financial and single audit of ROE #21 Franklin/Johnson/Massac/Williamson Counties for an additional year. |
|
Jon Fox, Audit Manager |
4/20/18 9:10 a.m. |
Amy Sherwood, Partner Sikich LLP |
No |
N/A |
Phone: Amy Sherwood: 217-793-3363 Jon Fox: 217-524-2149 |
5 minutes |
I congratulated Amy for winning the contract for the Department of Commerce and Economic Opportunity engagement for FY17-18. We discussed a date for her sending me the proposal, the timing of completing the contract, and availability for the entrance conference in May. I said I would send her the Welcome Letter today. She asked about agency contracts and I said I would send her a list. I asked if she wanted a copy of the information folders and she said she would. I said I would drop them off to her office soon. I said Bill Sampias will manage the expanded IS review. |
|
Janis Van Durme, Audit Manager |
4/17/18 2:05 pm |
Amy Sherwood, Partner Sikich LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Janis Van Durme: jvandurme-at-auditor.illinois.gov |
|
I sent Ms. Sherwood an email stating I had a couple questions for her regarding the draft CMS FY18 financial audit contract and asked her to call me. |
|
Janis Van Durme, Audit Manager |
4/17/18 2:36 pm |
Amy Sherwood, Partner Sikich LLP |
No |
N/A |
Amy Sherwood: 217-793-3363 Janis Van Durme: 217-782-8393 |
2 minutes |
Ms. Sherwood called me and answered the couple questions I had for her regarding the draft the CMS FY18 financial audit contract and told her I would get back to her regarding the issues discussed. |
|
Janis Van Durme, Audit Manager |
4/17/18 2:41 pm |
Amy Sherwood, Partner Sikich LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Janis Van Durme: jvandurme-at-auditor.illinois.gov |
|
I sent Ms. Sherwood the final dispositions over the issues we discussed on the phone previously and told her we were good to go for Sikich to sign the contracts for the CMS FY18 financial audit. |
|
Janis Van Durme, Audit Manager |
4/18/18 9:30 am |
Tom Leach, Partner Sikich, LLP |
No |
N/A |
Email: Tom Leach: Tom.Leach-at-sikich.com Janis Van Durme: jvandurme-at-auditor.illinois.gov |
|
Mr. Leach sent me the HFS FY18 financial audit Informal Proposal Documents. |
|
Janis Van Durme, Audit Manager |
4/19/18 3:06 pm |
Tom Leach, Partner Sikich, LLP |
No |
N/A |
Tom Leach: 217-423-6000 Janis Van Durme: 217-782-8393 |
5 minutes |
I told Mr. Leach I had reviewed the proposal documents of the HFS FY18 financial audit engagement and negotiated hours and rates for the contract. I told him he would have to submit a revised proposal to include the information we agreed upon. |
|
Janis Van Durme, Audit Manager |
4/19/18 4:31 pm |
Tom Leach, Partner Sikich, LLP |
No |
N/A |
Email: Tom Leach: Tom.Leach-at-sikich.com Janis Van Durme: jvandurme-at-auditor.illinois.gov |
|
Mr. Leach submitted a revised HFS FY18 Informal Proposal Documents. |
|
Janis Van Durme, Audit Manager |
4/20/18 8:15 am |
Tom Leach, Partner Sikich, LLP |
No |
N/A |
Tom Leach: 217-423-6000 Janis Van Durme: 217-782-8393 |
2 minutes |
I let Mr. Leach know that the proposal for the FY18 Financial Audit of HFS had been accepted and the contracts were ready for signature. |
|
José G. Roa Audit Manager |
4/13/18 3:21pm |
Christine Torres, Partner Crowe Horwath LLP |
No |
N/A |
Email: Torres: Christine.Torres-at-CroweHorwath.com Roa: jroa-at-auditor.illinois.gov |
|
Partner provided informal proposal documents for FY18 Illinois Student Assistance Commission engagement. |
|
José G. Roa Audit Manager |
4/16/18 2:55pm |
Christine Torres, Partner Crowe Horwath LLP |
No |
N/A |
Email: Torres: Christine.Torres-at-CroweHorwath.com Roa: jroa-at-auditor.illinois.gov |
|
Partner confirmed entrance conference for FY18 Illinois Student Assistance Commission engagement. |
|
José G. Roa Audit Manager |
4/17/18 10:12am
3:58pm 3:59pm
4:29pm 4:38pm |
Christine Torres, Partner Crowe Horwath LLP |
No |
N/A |
Email: Torres: Christine.Torres-at-CroweHorwath.com Roa: jroa-at-auditor.illinois.gov |
|
Requested the partner to provide additional information, adjust some items, and split timetable for FY18 Illinois Student Assistance Commission engagement.
Partner provided additional information and agreed to informal proposal adjustments
OAG Manager requested date changes for contract timetable. Partner agreed to timetable adjustment. |
|
José G. Roa Audit Manager |
4/19/18 10:06am
11:41am |
Christine Torres, Partner Crowe Horwath LLP |
No |
N/A |
Email: Torres: Christine.Torres-at-CroweHorwath.com Roa: jroa-at-auditor.illinois.gov |
|
Informed the Partner that the proposal for FY18 Illinois Student Assistance Commission engagement was accepted.
Confirm time to sign contracts. |
|
José G. Roa Audit Manager |
4/19/18 3:45pm |
Joseph Evans, Partner RSM US LLP |
No |
N/A |
Phone: Evans: 312-634-4540 Roa: 312-814-4008 |
5 minutes |
Called Partner to asked if firm is still independent and interested in performing the financial audit of propriety fund of the Illinois Department of Employment Security for the year ended June 30, 2018. Partner stated the firm is still independent and interested. We discussed scope, early work budget, and informed partner that I will be sending the welcome letter. |
|
José G. Roa Audit Manager |
4/20/18 7:52am
|
Joseph Evans, Partner RSM US LLP |
No |
N/A |
Email: Evans: Joseph.Evans-at-RSMUS.com Roa: jroa-at-auditor.illinois.gov |
|
Emailed the Partner the welcome letter for the FY18 Illinois Department of Employment Security engagement. |
|
José G. Roa Audit Manager |
4/4/18 8:33am
10:15am |
Marites Sy, Partner EC Ortiz & Co., LLP |
No |
N/A |
Email: Sy: MuSy-at-ECOrtiz.com Roa: jroa-at-auditor.illinois.gov |
|
Confirmed the rate with the Partner for the FY18 Northeastern Illinois University engagement.
Partner provided informal proposal. |
|
José G. Roa Audit Manager |
4/5/18 1:53pm |
Marites Sy, Partner EC Ortiz & Co., LLP |
No |
N/A |
Email: Sy: MuSy-at-ECOrtiz.com Roa: jroa-at-auditor.illinois.gov |
|
Informed partner of requested changes and additional information for their informal proposal for the FY18 Northeastern Illinois University engagement. |
|
José G. Roa Audit Manager |
4/6/18 8:37am 1:00pm |
Marites Sy, Partner EC Ortiz & Co., LLP |
No |
N/A |
Email: Sy: MuSy-at-ECOrtiz.com Roa: jroa-at-auditor.illinois.gov |
|
Partner agreed to requested changes and provided additional information for their informal proposal for the FY18 Northeastern Illinois University engagement. In addition, entrance date was confirmed. |
|
José G. Roa Audit Manager |
4/12/18 3:14pm |
Marites Sy, Partner EC Ortiz & Co., LLP |
No |
N/A |
Email: Sy: MuSy-at-ECOrtiz.com Roa: jroa-at-auditor.illinois.gov |
|
Informed Partner proposal for the FY18 Northeastern Illinois University engagement was accepted. A requested dates to have the contracts signed once I have contract available. |
|
José G. Roa Audit Manager |
4/13/18 10:34pm |
Paul Pelletier, Partner Borschnack, Pelletier & Co. |
No |
N/A |
Email: Pelletier: PPelletier-at-bpc-cpa.com Roa: jroa-at-auditor.illinois.gov |
|
Partner provided informal proposal documents for FY18 Governors State University engagement. |
|
José G. Roa Audit Manager |
4/13/18 11:05am |
Paul Pelletier, Partner Borschnack, Pelletier & Co. |
No |
N/A |
Phone: Pelletier: 815-933-1771 Roa: 312-814-4008 |
5 minutes |
Discussed with the Partner the informal proposal for FY18 Governors State University engagement and IS requirements. |
|
José G. Roa Audit Manager |
4/19/18 10:34pm |
Paul Pelletier, Partner Borschnack, Pelletier & Co. |
No |
N/A |
Email: Pelletier: PPelletier-at-bpc-cpa.com Roa: jroa-at-auditor.illinois.gov |
|
Informed Partner proposal for the FY18 Governors State University engagement was accepted. Contract will be sent overnight for signatures. |
|
Jon Fox, Audit Manager |
4/20/18 3:20 p.m. |
Amy Sherwood, Partner Sikich LLP |
No |
N/A |
Phone: Amy Sherwood: 217-793-3363 Jon Fox: 217-524-2149 |
3 minutes |
Amy called me to say she did not believe they could use all of the early work money budgeted for the Department of Commerce and Economic Opportunity (DCEO), considering the 5/16 planned start date. She said they planned on using the 20% specified in the RFP, which would not use the entire early work budget. I asked if she could perhaps use the unused budgeted money on DCEO on another engagement. She did not think they would be able to use this extra money on any of their other engagements. I told Amy I would inform Director Clark. |
|
Jon Fox, Audit Manager |
4/23/18 1:25 p.m. |
Amy Sherwood, Partner Sikich LLP |
No |
N/A |
Mail: Amy Sherwood: Sikich LLP 3201 W. White Oaks Drive Suite 102 Springfield, IL 62704 Jon Fox: Office of the Auditor General Iles Park Plaza 740 East Ash Street Springfield, IL 62703-3154 |
|
I received a hard copy of the contract proposal documents from Amy Sherwood for the fy17-18 biennial State compliance examination of the Department of Commerce and Economic Opportunity. |
|
Jon Fox, Audit Manager |
4/24/18 9:56 a.m. |
Amy Sherwood, Partner Sikich LLP |
No |
N/A |
Email: Amy Sherwood: amy.sherwood-at-sikich.com Jon Fox: jfox-at-auditor.illinois.gov |
|
I received an electronic copy of the contract proposal documents from Amy Sherwood for the fy17-18 biennial State compliance examination of the Department of Commerce and Economic Opportunity. |
|
Stacie Sherman, Audit Manager |
4/23/18 10:28 am |
Chris Mower, Partner Crowe Horwath LLP |
No |
Brandon Reed, Senior Manager Crowe Horwath LLP |
Phone: Chris Mower: 217-862-2702 Stacie Sherman: 217-782-0808 |
3 minutes |
I spoke with Chris and Brandon about the proposed hours and rate for the FY18 financial audits of the Treasurer’s Office – Fiscal Officer, ABLE Program, College Savings Program, and Illinois Funds. I also requested the attachments to the conflict of interest disclosure form. |
|
Stacie Sherman, Audit Manager |
4/24/18 10:55 am |
Brandon Reed, Senior Manager Crowe Horwath LLP |
No |
Chris Mower, Partner Lisa Stinson, Senior Manager Crowe Horwath LLP |
Email: Chris Mower: Chris.Mower-at-crowehorwath.com Lisa Stinson: Lisa.Stinson-at-crowehorwath.com Brandon Reed: Brandon.Reed-at-crowehorwath.com Stacie Sherman: ssherman-at-auditor.illinois.gov |
|
I emailed Brandon to request an updated proposal with the hours from the RFP. |
|
Shaun Kerr, Audit Manager |
4/12/18 11:59 am |
Janice Romack, Partner West & Company, LLC |
No |
N/A |
Email: Janice Romack: jromack-at-westcpa.com Shaun Kerr: skerr-at-auditor.illinoi.gov |
|
Sent Janice a notice of auditor change to inform the firm of the State Police Merit Board audit manager change and to provide contact information. |
|
Shaun Kerr, Audit Manager |
4/18/18 1:21 pm |
Janice Romack, Partner West & Company, LLC |
No |
N/A |
Email: Janice Romack: jromack-at-westcpa.com Shaun Kerr: skerr-at-auditor.illinoi.gov |
|
Informed Janice the State Police Merit Board contract had been signed and a copy was placed in the mail. |
|
Joe Butcher, Audit Manager |
4/20/18 4:23 pm |
Mike Noble, Consulting Actuary, Cheiron |
No |
Gene Kalwarski, Consulting Actuary Ken Kent, Consulting Actuary |
Email: mnoble-at-cheiron.us |
|
Mike provided Cheiron’s proposal for their FY18 work as the State Actuary. |
|
Joe Butcher, Audit Manager |
4/23/18 2:30 pm |
Mike Noble, Consulting Actuary, Cheiron |
No |
N/A |
Phone: 312-629-8401 ext.1209 |
5 minutes |
I spoke to Mike regarding their proposal. We discussed the breakdown in hours for phase II and agreed to changes in the ration of hours between consulting actuaries and actuarial analyst. We also agreed to minor changes in the total hours by major area. Mike said he would provide an updated proposal. |
|
Joe Butcher, Audit Manager |
4/23/18 3:49 pm |
Mike Noble, Consulting Actuary, Cheiron |
No |
Gene Kalwarski, Consulting Actuary Ken Kent, Consulting Actuary Matt Wells, Actuarial Analyst |
Email: mnoble-at-cheiron.us |
|
Mike provided Cheiron’s updated proposal for their FY18 work as the State Actuary. |
|
Jon Fox, Audit Manager |
4/24/18 3:35 p.m. |
Amy Sherwood, Partner Sikich LLP |
No |
N/A |
Phone: Amy Sherwood: 217-793-3363 Jon Fox: 217-524-2149 |
20 minutes |
Amy and I discussed the upcoming fiscal year 2017-2018 State compliance examination of the Department of Commerce and Economic Opportunity (DCEO). We discussed the welcome letter, assignment materials and DCEO’s preliminary survey. We discussed the expanded IS review and the likely disclaimer on BCCS SOC report again for fy18. We discussed the proposed staffing and timetables. I proposed some minor changes to the Phase II timetable, which Amy accepted. I said I would send my proposed revision to her for review. We discussed the proposal rate, hours and allocations by auditor and major audit area, all of which matched the RFP response. I said I would prepare the contracts when I return on May 7th. |
|
Jon Fox, Audit Manager |
4/24/18 4:17 p.m.. |
Amy Sherwood, Partner Sikich LLP |
No |
N/A |
Email: Amy Sherwood: amy.sherwood-at-sikich.com Jon Fox: jfox-at-auditor.illinois.gov |
|
Amy accepted my minor revisions to Phase II Schedule 1 on the Department of Commerce and Economic Opportunity proposal. |
|
Dennis Gibbons, Audit Manager |
4/26/18 8:32 a.m. |
Angela Allen, Partner Washington, Pittman, & McKeever LLC |
No |
N/A |
E-mail: Angela Allen: aallen-at-wpmck.com Dennis Gibbons: dgibbons-at-auditor.illinois.gov |
|
I formally introduced myself to Angela as the new contract manager for the IMSA and IMSA Fund engagements and inquired about whether the firm had received everything needed from OAG at this stage. |
|
Jennifer Rankin, Audit Manager |
4/26/17 8:09 a.m. |
Amy Sherwood, Partner Sikich, LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Jennifer Rankin: jrankin-at-auditor.illinois.gov |
|
Sent Ms. Sherwood the Welcome Letter for the FY17/18 DFPR Compliance Examination |
|
Jennifer Rankin, Audit Manager |
4/26/17 9:37 a.m. |
Amy Sherwood, Partner Sikich, LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Jennifer Rankin: jrankin-at-auditor.illinois.gov |
|
Ms. Sherwood sent the DFPR FY17/18 Informal Proposal Documents. |
|
Christian Cortes, Audit Manager |
4/26/18 10:08 a.m. |
Paul Pelletier, Partner Borschnack, Pelletier & Co |
No |
N/A |
Email: Paul Pelletier: ppelletier-at-bpc-cpa.com Christian Cortes: ccortes-at-auditor.illinois.gov |
|
Sent Mr. Pelletier the Welcome Letter for the FY17/18 Department on Aging Compliance Examination. |
|
Jennifer Rankin, Audit Manager |
4/26/17 10:37 a.m. |
Amy Sherwood, Partner Sikich, LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Jennifer Rankin: jrankin-at-auditor.illinois.gov |
|
Sent Ms. Sherwood questions regarding the DFPR Informal Proposal Documents. |
|
Jennifer Rankin, Audit Manager |
4/26/17 4:02 p.m. |
Amy Sherwood, Partner Sikich, LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Jennifer Rankin: jrankin-at-auditor.illinois.gov |
|
Ms. Sherwood sent her responses to the questions I had regarding the DFPR Informal Proposal Documents. |
|
Jennifer Rankin, Audit Manager |
4/26/17 5:15 p.m. |
Amy Sherwood, Partner Sikich, LLP |
No |
N/A |
Email: Amy Sherwood: Amy.Sherwood-at-sikich.com Jennifer Rankin: jrankin-at-auditor.illinois.gov |
|
Ms. Sherwood confirmed the DFPR entrance conference date and time. |
|
Dennis Gibbons, Audit Manager |
4/26/18 5:52 p.m. |
Angela Allen, Partner Washington, Pittman, & McKeever LLC |
No |
N/A |
E-mail: Angela Allen: aallen-at-wpmck.com Dennis Gibbons: dgibbons-at-auditor.illinois.gov |
|
Angela sent me her firm’s informal proposal documents for the FY18 IMSA and IMSA Fund engagements. |
|
Dennis Gibbons, Audit Manager |
4/27/18 11:56 a.m. |
Angela Allen, Partner Washington, Pittman, & McKeever LLC |
No |
N/A |
E-mail: Angela Allen: aallen-at-wpmck.com Dennis Gibbons: dgibbons-at-auditor.illinois.gov |
|
I e-mailed Angela about the informal proposal documents for FY18 IMSA and IMSA Fund engagements. I asked for clarification on the names of staff auditors and managers assigned to the engagement, as there were a couple of inconsistencies in the proposal documents. |
|
Dennis Gibbons, Audit Manager |
4/27/18 1:02 p.m. |
Angela Allen, Partner Washington, Pittman, & McKeever LLC |
No |
N/A |
E-mail: Angela Allen: aallen-at-wpmck.com Dennis Gibbons: dgibbons-at-auditor.illinois.gov |
|
Angela replied to my e-mail and clarified the names of the staff auditors and managers listed in the informal proposal documents. |
|
Dennis Gibbons, Audit Manager |
4/30/18 11:35 a.m. |
Angela Allen, Partner Washington, Pittman, & McKeever LLC |
No |
N/A |
E-mail: Angela Allen: aallen-at-wpmck.com Dennis Gibbons: dgibbons-at-auditor.illinois.gov |
|
I e-mailed Angela and informed her about the minor modifications that I made to certain parts of the informal proposal to ensure consistency, and asked if these changes were alright with her and the firm. |
|
Dennis Gibbons, Audit Manager |
4/30/18 1:36 p.m. |
Angela Allen, Partner Washington, Pittman, & McKeever LLC |
No |
N/A |
E-mail: Angela Allen: aallen-at-wpmck.com Dennis Gibbons: dgibbons-at-auditor.illinois.gov |
|
I e-mailed Angela and requested a Schedule 1 Engagement Timetable for IMSA Phase II for the compliance examination, as the informal proposal documents that I received only contained timetables for Phase I and for the Phase II financial audit. |
|
Stacie Sherman, Audit Manager |
4/25/18 8:59 pm |
Brandon Reed, Senior Manager Crowe Horwath LLP |
No |
Chris Mower, Partner Lisa Stinson, Senior Manager Crowe Horwath LLP |
Email: Chris Mower: Chris.Mower-at-crowehorwath.com Lisa Stinson: Lisa.Stinson-at-crowehorwath.com Brandon Reed: Brandon.Reed-at-crowehorwath.com Stacie Sherman: ssherman-at-auditor.illinois.gov |
|
Brandon sent the updated proposal documents for the FY18 financial audits of the Treasurer’s Office- Fiscal Officer, College Savings Program, ABLE Program, and Illinois Funds. |
|
Stacie Sherman, Audit Manager |
4/30/18 11:18 am |
Chris Mower, Partner Crowe Horwath LLP |
No |
Brandon Reed, Senior Manager Lisa Stinson, Senior Manager Crowe Horwath LLP |
Email: Chris Mower: Chris.Mower-at-crowehorwath.com Lisa Stinson: Lisa.Stinson-at-crowehorwath.com Brandon Reed: Brandon.Reed-at-crowehorwath.com Stacie Sherman: ssherman-at-auditor.illinois.gov |
|
I emailed Chris to let her know that the FY18 proposals for the Treasurer’s Office engagements of the Fiscal Officer, College Savings Program, ABLE Program, and Illinois Funds were accepted and the contracts were ready to sign. |
|
Lisa Warden, Audit Manager |
4/10/18 9:18am |
Stella Santos, Partner Adelfia |
No |
Jennifer Roan, Partner Adelfia |
Email: Stella Santos sbsantos – at – adelfiacpas.com Jennifer Roan jsroan – at – adelfiacpas.com Lisa Warden lwarden – at – auditor.illinois.gov |
|
Received revised informal proposal information for the FY17/18 audit of the Department of Corrections. |
|
Lisa Warden, Audit Manager |
4/11/18 11:47 pm |
Stella Santos, Partner Adelfia |
No |
N/A |
Phone: Stella Santos 312-240-9500 Lisa Warden 217-782-9307 |
10 minutes |
Discussed informal proposal for the FY17/18 audit of the Department of Corrections. |
|
Lisa Warden, Audit Manager |
4/12/18 7:59 pm |
Stella Santos, Partner Adelfia |
No |
Jennifer Roan, Partner Adelfia |
Email: Stella Santos sbsantos – at – adelfiacpas.com Jennifer Roan jsroan – at – adelfiacpas.com Lisa Warden lwarden – at – auditor.illinois.gov |
|
Received revised informal proposal information for the FY17/18 audit of the Department of Corrections. |
|
Lisa Warden, Audit Manager |
4/17/18 11:01am |
Kate Ward, Partner Kerber, Eck & Braeckel LLP |
No |
N/A |
Hand delivered to Office of the Auditor General 740 East Ash Street Springfield, IL |
Delivery |
Received informal proposal for the FY17/18 audit of the Illinois State Board of Education. |
|
Lisa Warden, Audit Manager |
4/18/18 11:20 am |
Vicki VanDenBerg, Partner Plante Moran, PLLC |
No |
Steven Bishop, Manager Plante Moran, PLLC |
Email: Vicki VanDenBerg Vicki.VanDenBerg – at – plantemoran.com Steven Bishop Steven.Bishop –at–plantemoran.com Lisa Warden lwarden – at - auditor.illinois.gov |
|
Received informal proposal for the FY18 audit of Southern Illinois University. |
|
Lisa Warden, Audit Manager |
4/19/18 12:02 pm |
Janice Romack, Partner West & Co |
No |
N/A |
US Mail |
US Mail |
Received informal proposal for the FY17/18 compliance examination of Office of the Attorney General. |
|
Lisa Warden, Audit Manager |
4/20/18 11:19 am |
Vicki VanDenBerg, Partner Plante Moran, PLLC |
No |
Steven Bishop, Manager Plante Moran, PLLC |
Email: Vicki VanDenBerg Vicki.VanDenBerg – at – plantemoran.com Steven Bishop Steven.Bishop –at–plantemoran.com Lisa Warden lwarden – at - auditor.illinois.gov |
|
Requested revision of informal proposal for the FY18 audit of Southern Illinois University. |
|
Lisa Warden, Audit Manager |
4/20/18 4:06 pm |
Vicki VanDenBerg, Partner Plante Moran, PLLC |
No |
Steven Bishop, Manager Plante Moran, PLLC |
Email: Vicki VanDenBerg Vicki.VanDenBerg – at – plantemoran.com Steven Bishop Steven.Bishop –at–plantemoran.com Lisa Warden lwarden – at - auditor.illinois.gov |
|
Requested additional information re: informal proposal for the FY18 audit of Southern Illinois University. |
|
Lisa Warden, Audit Manager |
4/23/18 10:10 am |
Vicki VanDenBerg, Partner Plante Moran, PLLC |
No |
Steven Bishop, Manager Plante Moran, PLLC |
Phone: Lisa Warden 217-782-9307 Plante Moran 269-567-4618 |
30 minutes |
Requested additional information for contracting for the FY18 audit of Southern Illinois University. |
|
Lisa Warden, Audit Manager |
4/25/18 2:00 pm |
Vicki VanDenBerg, Partner Plante Moran, PLLC |
No |
Steven Bishop, Manager Plante Moran, PLLC |
Phone: Lisa Warden 217-782-9307 Plante Moran 269-567-4618 |
30 minutes |
Discussed proposal for the FY18 audit of Southern Illinois University. |
|
Lisa Warden, Audit Manager |
4/25/18 2:44 pm |
Vicki VanDenBerg, Partner Plante Moran, PLLC |
No |
Steven Bishop, Manager Plante Moran, PLLC |
Email: Vicki VanDenBerg Vicki.VanDenBerg – at – plantemoran.com Steven Bishop Steven.Bishop –at–plantemoran.com Lisa Warden lwarden – at - auditor.illinois.gov |
|
Received revised informal proposal forms for the FY18 audit of Southern Illinois University. |
|
Lisa Warden, Audit Manager |
4/4/18 11:38 am |
Robert Arnholt, Partner Doehring Winders & Co LLP |
No |
N/A |
Phone: Lisa Warden 217-782-9307 Robert Arnholt 217-235-0377 |
6 minutes |
Agreed upon a revised final report date for an amendment to the Illinois Board of Admissions to the Bar contract for the 9/30/17 year end audit. |