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STATE OF ILLINOISLEGISLATIVE RESEARCH UNITCOMPLIANCE EXAMINATION
For the Two Years Ended June 30, 2009
STATE OF ILLINOISLEGISLATIVE RESEARCH UNITCOMPLIANCE EXAMINATION
For the Two Years Ended June 30, 2009
TABLE OF CONTENTS
PageAgency Officials 1Management Assertion Letter 2Compliance Report
Summary 4Accountants’ Report
Independent Accountants’ Report on State Compliance, on Internal ControlOver Compliance, and on Supplementary Information for State CompliancePurposes 5
Supplementary Information for State Compliance PurposesSummary8Fiscal Schedules and Analysis
Schedule of Appropriations, Expenditures and Lapsed Balances 9Comparative Schedule of Net Appropriations, Expenditures
and Lapsed Balances 11Schedule of Changes in State Property 12Comparative Schedule of Cash Receipts 13Reconciliation Schedule of Cash Receipts to Deposits Remitted
to the State Comptroller 13Analysis of Significant Variations in Expenditures 14Analysis of Significant Lapse Period Spending 16
Analysis of OperationsAgency Functions and Planning Program 17Average Number of Employees 18Service Efforts and Accomplishments (Not Examined) 19
1
AGENCY OFFICIALS
Legislative Research Unit
Executive Director Patrick O’Grady
Associate Director (2/9/09-present) Jonathan Wolff
Associate Director (7/1/07-2/9/09) Vacant
Deputy Director for Research David Miller
Fiscal Officer Cindy Bates
Agency office is located at:
222 S. CollegeSuite 301Springfield, Illinois 62704-1894
ILLINOIS GENERAL ASSEMBLY
LEGISLATIVE RESEARCH UNIT PATRICK O. O'GRADY. EXECUTIVE DIRECTOR
MANAGEMENT ASSERTION LETTER
Honorable William G. Holland Auditor General State of Illinois Iles Park Plaza 740 East Ash Springfield, lL 62703-3154
February 1,2010
We are responsible for the identification of, and compliance with, all aspects of laws, regulations, contracts, or grant agreements that could have a material effect on the operations of the Illinois Legislative Research Unit. We are responsible for and we have established and maintained an effective system of, internal controls over compliance requirements. We have performed an evaluation of the Illinois Legislative Research Unit's compliance with the following assertions during the two-year period ended June 30, 2009. Based on this evaluation, we assert that during the years ended June 30, 2008 and June 30, 2009, the Illinois Legislative Research Unit has materially complied with the assertions below.
A. The lllinois Legislative Research Unit has obligated, expended, received and used public ftmds of the State in accordance with the purpose for which such funds have been appropriated or otherwise authorized by law.
B. The Illinois Legislative Research Unit has obligated, expended, received and used public ftmds of the State in accordance with any limitations, restrictions, conditions or mandatory directions imposed by law upon such obligation, expenditure, receipt or use.
C. The Illinois Legislative Research Unit has complied, in all material respects, with applicable laws and regulations, including the State uniform accounting system, in its financial and fiscal operations.
D. State revenues and receipts collected by the Illinois Legislative Research Unit are in accordance with applicable laws and regulations and the accounting and record keeping of such revenues and receipts is fair, accurate and in accordance with law.
LRUDDDIl 222 SOUTH COLLEGE· SUITE 301 . SPRINGFIELO. ILLINds 62704-1 884 . PHONE: 217-782-6851 . FAX: 217-785-7572
4
STATE OF ILLINOISLEGISLATIVE RESEARCH UNITCOMPLIANCE EXAMINATION
For the Two Years Ended June 30, 2009
COMPLIANCE REPORT
SUMMARY
The compliance testing performed during this examination was conducted in accordance withGovernment Auditing Standards and in accordance with the Illinois State Auditing Act.
ACCOUNTANTS’ REPORTS
The Independent Accountants’ Report on State Compliance, on Internal Control OverCompliance and on Supplementary Information for State Compliance Purposes does not containscope limitations, disclaimers, or other significant non-standard language.
SUMMARY OF FINDINGS
Current PriorNumber of Report ReportFindings 0 0Repeated findings 0 0Prior recommendations implementedor not repeated 0 0
SCHEDULE OF FINDINGS
The Legislative Research Unit did not have any current year or prior year findings.
EXIT CONFERENCE
The Legislative Research Unit declined an exit conference in a letter dated January 26, 2010.
SPRINGFIELD OFFICE:
ILES PARK PLAZA
740 EAST ASH· 62703-3154
PHONE : 217n82-6046
FAX : 217n85-8222 • TTY: 888/261-2 887
CHICAGO OFFICE:
MICHAEL A . BILANDIC BLDG .. SUITE S-900
160 NORTH LASALLE· 50501-3103
PHONE: 312/814-4000
FAX: 3121814-4006
OFFICE OF THE AUDITOR GENERAL
WILLIAM G. HOLLAND
INDEPENDENT ACCOUNT ANTS' REPORT ON STATE COMPLIANCE, ON INTERNAL CONTROL OVER COMPLIANCE, AND ON
SUPPLEMENTARY INFORMATION FOR STATE COMPLIANCE PURPOSES
Honorable William G. Holland Auditor General State of Illinois
Compliance
We have examined the Legislative Research Unit's compliance with the requirements listed below, as more fully described in the Audit Guide for Financial Audits and Compliance Attestation Engagements of Illinois State Agencies (Audit Guide) as adopted by the Auditor General , during the two years ended June 30, 2009. The management of the Legislative Research Unit is responsible for compliance with these requirements. Our responsibility is to express an opinion on the Legislative Research Unit's compliance based on our examination.
A. The Legislative Research Unit has obligated, expended, received, and used public funds of the State in accordance with the purpose for which such funds have been appropriated or otherwise authorized by law.
B. The Legislative Research Unit has obligated, expended, received, and used public funds of the State in accordance with any limitations, restrictions, conditions or mandatory directions imposed by law upon such obligation, expenditure, receipt or use .
C. The Legislative Research Unit has complied, in all material respects, with applicable laws and regulations, including the State uniform accounting system, in its financial and fiscal operations.
D. State revenues and receipts collected by the Legislative Research Unit are in accordance with applicable laws and regulations and the accounting and recordkeeping of such revenues and receipts is fair, accurate and in accordance with law.
INTERNET ADDRESS: [email protected] .IL.US
RECYCLED PAj'ER . SOY BEAN INKS
We conducted our examination in accordance with attestation standards established by the American Institute of Certified Public Accountants; the standards applicable to attestation engagements contained in Government Auditing Standards issued by the Comptroller General of the United States; the Illinois State Auditing Act (Act); and the Audit Guide as adopted by the Auditor General pursuant to the Act; and, accordingly, included examining, on a test basis, evidence about the Legislative Research Unit's compliance with those requirements listed in the first paragraph of this report and performing such other procedures as we considered necessary in the circumstances. We believe that our examination provides a reasonable basis for our opinion. Our examination does not provide a legal determination on the Legislative Research Unit's compliance with specified requirements.
In our opinion, the Legislative Research Unit complied, in all material respects, with the requirements listed in the first paragraph of this report during the two years ended June 30, 2009.
Internal Control
The management of the Legislative Research Unit is responsible for establishing and maintaining effective internal control over compliance with the requirements listed in the first paragraph of this report . In planning and performing our examination, we considered the Legislative Research Unit's internal control over compliance with the requirements listed in the first paragraph of this report in order to determine our examination procedures for the purpose of expressing our opinion on compliance and to test and report on internal control over compliance in accordance with the Audit Guide, issued by the Illinois Office of the Auditor General, but not for the purpose of expressing an opinion on the effectiveness of the Legislative Research Unit's internal control over compliance. Accordingly, we do not express an opinion on the effectiveness of the Legislative Research Unit's internal control over compliance.
A deficiency in an entity's internal control over compliance exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct noncompliance with the requirements listed
. in the first paragraph of this report on a timely basis. A material weakness is a deficiency, or combination of deficiencies, in internal control over compliance such that there is a reasonable possibility that material noncompliance with a requirement listed in the first paragraph of this report will not be prevented, or detected and corrected on a timely basis.
Our consideration of internal control over compliance with the requirements listed in the first paragraph of this report was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control over compliance that might be deticiencies, significant deficiencies or material weaknesses. We did not identify any deficiencies in internal control over compliance that we consider to be material weaknesses, as defined above.
As required by the Audit Guide, immaterial findings excluded from this report have been reported in a separate letter.
6
Supplementary Information for State Compliance Purposes
Our examination was conducted for the purpose of forming an opinion on compliance with the requirements listed in the first paragraph of this report. The accompanying supplementary information as listed in the table of contents as Supplementary Information for State Compliance Purposes is presented for purposes of additional analysis. We have applied certain limited procedures as prescribed by the Audit Guide as adopted by the Auditor General to the 2009 and 2008 Supplementary Information for State Compliance Purposes, except for Service Efforts and Accomplishments on which we did not perform any procedures. However, we do not express an opinion on the supplementary information.
We have not applied procedures to the 2007 Supplementary Information for State Compliance Purposes, and accordingly, we do not express an opinion thereon.
This report is intended solely for the information and use of the Auditor General, the General Assembly, the Legislative Audit Commission, the Governor, and agency management, and is not intended to be and should not be used by anyone other than these specified parties.
5ZS~ Z.:Z~ BRUCE L. BULLARD, CPA Director of Financial and Compliance Audits
February 1,2010
7
8
STATE OF ILLINOISLEGISLATIVE RESEARCH UNITCOMPLIANCE EXAMINATION
For the Two Years Ended June 30, 2009
SUPPLEMENTARY INFORMATION FOR STATE COMPLIANCE PURPOSES
SUMMARY
Supplementary Information for State Compliance Purposes presented in this section of thereport includes the following:
Fiscal Schedules and Analysis:
Schedule of Appropriations, Expenditures and Lapsed BalancesComparative Schedule of Net Appropriations, Expenditures
and Lapsed BalancesSchedule of Changes in State PropertyComparative Schedule of Cash ReceiptsReconciliation Schedule of Cash Receipts to Deposits Remitted
to the State ComptrollerAnalysis of Significant Variations in ExpendituresAnalysis of Significant Lapse Period Spending
Analysis of Operations:
Agency Functions and Planning ProgramAverage Number of EmployeesService Efforts and Accomplishments (Not Examined)
The accountants’ report that covers the Supplementary Information for State CompliancePurposes presented in the Compliance Report Section states the auditors have applied certain limitedprocedures as prescribed by the Audit Guide as adopted by the Auditor General, except forinformation on the Service Efforts and Accomplishments on which they did not perform anyprocedures. However, the accountants do not express an opinion on the supplementary information.
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10
STATE OF ILLINOIS
LEGISLATIVE RESEARCH UNIT
For the Fiscal Years Ended June 30,
Fiscal Year
2009 2008 2007
General Revenue Fund - 001 P.A. 95-0731 P.A. 95-0348 P.A. 94-0798
Appropriations
(Net of Transfers) ` 3,066,656$ 3,217,250$ 3,142,200$
Expenditures
Personal Services 1,181,014$ 1,087,073$ 1,139,616$
Employee Retirement
Contributions Paid by Employer 45,993 43,491 44,361
State Contribution to State
Employees' Retirement System 248,688 180,067 131,359
State Contributions to Social Security 87,217 79,828 83,461
Contractual Services 604,484 563,571 543,522
Travel 3,868 4,086 5,096
Commodities 5,055 6,373 6,635
Printing 1,648 28,914 7,892
Equipment 67,119 101,088 96,432
Telecommunications 13,488 13,449 13,844
Lump Sum - Legislative Intern Program 562,752 487,311 486,428
Lump Sum - Zeke Giorgi Memorial Staff Intern Program - 100,597 104,549
Lump Sum - Council of State Governments - - 100,000
Lump Sum - Model Illinois Government 6,929 - 4,532
Lump Sum - New Members Conference 29,654 - 30,000
Total Expenditures 2,857,909$ 2,695,848$ 2,797,727$
Lapsed Balances 208,747$ 521,402$ 344,473$
COMPARATIVE SCHEDULE OF NET APPROPRIATIONS, EXPENDITURES AND LAPSED BALANCES
11
Equipment
Balance at July 1, 2007 487,982$
Additions 56,955
Deletions -
Net Transfers (69,640)
Balance at June 30, 2008 475,297$
Balance at July 1, 2008 475,297$
Additions 62,320
Deletions (139)
Net Transfers (49,765)
Balance at June 30, 2009 487,713$
Note: The above schedule has been derived from Agency records which
have been reconciled to property reports submitted to the Office of the
Comptroller.
STATE OF ILLINOISLEGISLATIVE RESEARCH UNIT
SCHEDULE OF CHANGES IN STATE PROPERTYFor the Two Years Ended June 30, 2009
12
2009 2008 2007
Prior Year Refunds 199$ 94$ 1,146$
Jury Duty - 47 49
Miscellaneous - - -
Total Receipts 199$ 141$ 1,195$
2009 2008 2007
Receipts per Department Records 199$ 141$ 1,195$
Add: Deposits in Transit, Beginning of Year - - -
Less: Deposits in Transit, End of Year - - -
Deposits Recorded by the Comptroller 199$ 141$ 1,195$
For the Fiscal Years Ended June 30,
STATE OF ILLINOIS
LEGISLATIVE RESEARCH UNIT
COMPARATIVE SCHEDULE OF CASH RECEIPTS
For the Fiscal Years Ended June 30,
RECONCILIATION OF CASH RECEIPTS TO DEPOSITS
REMITTED TO THE STATE COMPTROLLER
13
14
STATE OF ILLINOISLEGISLATIVE RESEARCH UNIT
ANALYSIS OF SIGNIFICANT VARIATIONS IN EXPENDITURESFor the Two Years Ended June 30, 2009
Significant variances in expenditures were determined to be changes of $2,500 and at least 20%between fiscal years, and are explained below.
ANALYSIS OF SIGNIFICANT VARIATIONS IN EXPENDITURES BETWEEN FISCALYEARS 2008 AND 2009
General Revenue Fund (001)
State Contribution to State Employees’ Retirement SystemThe increase was due to an increase in the employer contribution rate from 16.561% in FY08 to21.049% in FY09.
PrintingThe decrease was due to the Agency only ordering paper once in FY09.
EquipmentThe decrease was due to the Agency ordering shelving and two copiers in FY08. Similarpurchases were not necessary in FY09.
Lump Sum – Zeke Giorgi Memorial Staff Intern ProgramThe decrease was due to the program not being funded in FY09.
Lump Sum - Model Illinois GovernmentThe increase was due to the Agency being appropriated funds again in FY09 to pay expendituresincurred in the administration of the program, an intercollegiate government simulation at the StateCapitol.
Lump Sum - New Members ConferenceThe increase was due to the New Members Conference and the District Office Staff TrainingConference being held only in odd fiscal years.
15
STATE OF ILLINOISLEGISLATIVE RESEARCH UNIT
ANALYSIS OF SIGNIFICANT VARIATIONS IN EXPENDITURESFor the Two Years Ended June 30, 2009
ANALYSIS OF SIGNIFICANT VARIATIONS IN EXPENDITURES BETWEEN FISCALYEARS 2007 AND 2008
General Revenue Fund (001)
State Contribution to State Employees’ Retirement SystemThe increase was due to an increase in the employer contribution rate from 11.525% in FY07 to16.561% in FY08.
PrintingThe increase was due to the Agency ordering additional paper in FY08 to replenish its stock and toaccommodate an increase in Legislative requests and publications.
Lump Sum - Council of State GovernmentsThe decrease was due to no appropriations in FY08. During FY07, the Agency received fundingto help organize and provide assistance at the Council’s conference.
Lump Sum - Model Illinois GovernmentThe decrease was due to the Agency not receiving an appropriation for this program during FY08.
Lump Sum - New Members ConferenceThe decrease was due to the New Members Conference and the District Office Staff TrainingConference being held only in odd fiscal years.
16
STATE OF ILLINOISLEGISLATIVE RESEARCH UNIT
ANALYSIS OF SIGNIFICANT LAPSE PERIOD SPENDINGFor the Two Years Ended June 30, 2009
FISCAL YEAR 2009
General Revenue Fund (001)
EquipmentThe Agency received and paid invoices during the lapse period for the purchase of new computersand computer monitors ordered prior to June 30th.
Lump Sum - Model Illinois GovernmentThe Agency received and paid invoices during the lapse period for the Model Illinois Government(MIG) Program incurred during the fiscal year. There were delays in receiving invoices from theMIG officers.
Lump Sum - New Member’s ConferenceThe increase was due to the District Office’s Staff Training Conference being held in June;therefore, invoices for the training were not received and paid until the lapse period.
FISCAL YEAR 2008
General Revenue Fund (001)
PrintingThe Agency received and paid an invoice during the lapse period for paper ordered prior to June30th.
EquipmentThe Agency received and paid invoices during the lapse period for the purchase of new officefurniture, a copier, and computer equipment ordered prior to June 30.
17
STATE OF ILLINOISLEGISLATIVE RESEARCH UNIT
ANALYSIS OF OPERATIONSFor the Two Years Ended June 30, 2009
AGENCY FUNCTIONS AND PLANNING PROGRAM
BACKGROUND
The Legislative Research Unit (LRU) was established in 1937 as the Illinois Legislative Council andis the central research agency for the General Assembly. A staff of researchers respond to inquiriesfrom legislators, committees and staff regarding questions of laws and court decisions; laws ofother states; regulations; science and health; environmental protection; public utilities; business andeconomic development; and many others. The LRU maintains up-to-date information on federalaid received by the State and analyzes federal programs. It is also responsible for tracking andmonitoring membership of boards and commissions established by the State of Illinois.
Patrick O’Grady, Executive Director, serves under the direction of the Joint Committee andoperates the Agency under the Operating Rules for Legislative Support Service Agencies.
A board of twelve legislators, appointed by the four legislative leaders, governs the LegislativeResearch Unit. The board members as of June 30, 2009 were:
Rep. Sara Feigenholtz, Co-ChairmanSen. Larry Bomke, Co-Chairman
Senators RepresentativesDan Duffy Franco ColadipietroDavid Koehler Constance HowardCarole Pankau Susana MendozaIra Silverstein Chapin RoseHeather Steans Ed Sullivan, Jr.
LRU receives all of its appropriations from the General Revenue Fund. In addition toappropriations for daily operations, LRU also received lump sum appropriations for certainprograms during the examination period.
18
STATE OF ILLINOISLEGISLATIVE RESEARCH UNIT
ANALYSIS OF OPERATIONSFor the Two Years Ended June 30, 2009
AGENCY FUNCTIONS AND PLANNING PROGRAM (continued)
Agency Planning
LRU’s planning program consists of annual budget requests, which present short-term goals andobjectives. Its long-term goals and objectives are set by statute and various other rules andguidelines. A member of upper management has been assigned responsibility to update andmaintain information related to the statutes, rules and guidelines governing LRU.
The Deputy Director for Research manages and coordinates research functions and reports to theDirector. Research production is monitored daily, and hundreds of requests are trackedelectronically.
AVERAGE NUMBER OF EMPLOYEES
The following table, prepared from Agency records, presents the average number of employees, byfunction, for the Fiscal Years ended June 30,
Division 2009 2008 2007
Administration 14 13 12
Research 11 10 13Total Average Full-Time Employees 25 23 25
19
STATE OF ILLINOISLEGISLATIVE RESEARCH UNIT
ANALYSIS OF OPERATIONSFor the Two Years Ended June 30, 2009
SERVICE EFFORTS AND ACCOMPLISHMENTS (NOT EXAMINED)
The number of research assignments completed by the library staff in FY08 was 37. This was anincrease of 5.7% from the previous fiscal year number of 35 assignments. This amount represents13% of the total assignments done by LRU in FY08.
The number of research assignments completed by the library staff in FY09 was 41 including 5Research Responses. This is an increase of 10.8% from the previous fiscal year number of 37assignments. This amount represents 12% of the total assignments done by LRU in FY09.
During FY08, LRU performed 292 research reports for legislators and staff. In addition, theyrecorded 589 appointments to boards and commissions of the State from July 1, 2007 to June 30,2008.
LRU tracked Federal aid to State Agencies totaling $13.460 billion during FY08.
During FY09, LRU performed 337 research reports for legislators and staff. In addition, theyrecorded 608 appointments to boards and commissions of the State from July 1, 2008 to June 30,2009.
LRU tracked Federal aid to State Agencies totaling $12.372 billion during FY09.
Additionally, LRU published the following major publications during the examination period:
First Reading, quarterly newsletter;Federal Grant Alerts, monthly newsletter;Catalog of State Assistance to Local Governments;Directory of Illinois State Officials, a telephone directory;2008 & 2009 Tax HandbookAids and the LawFederal Funds to State AgenciesPreface to Lawmaking
