FY11-Lt-Gov-Comp-Full

              STATE OF ILLINOIS
OFFlCE OF THE LIEUTENANT GOVERNOR
COMPLIANCE EXA1'\1INATION
For the Two Years Ended June 30,20 11
Performed as Special Assistant Auditors
For the Auditor General, State of Illinois
STATE OF ILLJNOJS
Or:FICE OF THE LIEUTENANT GOVERNOR
COMPLIANCE EXAMIN/\ TION
FOR THE TWO YEARS ENDED JUNE 30,20 11
TABLE OF CONTENTS
Page
Agency Officials 1
Management Assertion Letter 2
Compliance Report
Summary 4
Auditors' Report
Independent Accountants· Report on State Compliance, on Internal
Control Over Compliance, and on Supplementary Information for
State Compliance Purposes 6
Schedule of Findings
Current Findings (State Compliance) 10
Prior Findings Not Repeated - State 14
Supplementary Information for Stale Compliance Purposes
Summary 15
Fiscal Schedules and Analysis
Schedule of Expenditures of Federal Awards 16
Notes to the Schedule of Expenditures of Federal 1\ \'l'ards 17
Schedule of Appropriations Expcnditmes and Lapsed Balances 18
Comparative Schedule orNct Appropriations, Expenditures and Lapsed
Balances 20
Schedule of Changes in State Property 23
Comparative Schedule or Cash Receipts and Reconciliation
Schedule of Cash Receipts to Deposits Remitted to the State
ComplToUer 24
Analysis of Significant Variations in ExpendittLrcs 25
Analysis of Significant Lapse Period Spending 26
Analysis ofSigniiicant Varialions in Receipts 27
Analysis of Operations
Agency f unctions and Planning Program 28
Average Number of Employees 31
Service Efforts and Accomplishments (Not examined) 3 J
STATE OF ILUNOIS
OfFICE Of THE LIEUTENANT GOVERNOR
Lieutenant Governor
(1/ 10/ 11 -Present)
Lieutenant Governor
(1/29/09-1 / 10/ 11)
Chief of Staff
( I I I 0/1 1 - Present)
General Counsel
(2/14/ 11 - Present)
AGENCY OFfiClALS
Lieutenant Governor's Offices are located at:
James R. Thompson Center
100 West Randolph Street. Suite 15-200
Chicago, Illinois 6060 I
214 State House
Springfield. Illinois 62706
414 Stratton Building
Springfield. Illinois 62706
280 I W. Murphysboro Road
CarbondaJe. IL 62903
Ms. Sheila Simon
Vacant
Ms. D.K. Hirncr
Mr. Mark Schauerte
January 12, 2012
McGreal & Company, PC
Certified Public Accountants
5740 West 95111 Street
Oak Lawn, Illinois 60453
Ladies and Gentlemen:
SHEILA S IMON
Lr ~:UT I-::-1.\Nl' G uv~:m.:nu
S'I'Nf'K (tl' 11.1.1:-/111/l
We are resporlsible for the identification of, and compliance with, all aspects oflaws. regulations, contracts,
or grant agreements that could have a material effect on the operations of the Office of the Lieutenant Governor (the
·'Office''). Since January I 0, 20 I I we have been responsible for nnd have established and maintained an effective
system of internal controls over compliance requirements. From August 7. 2009 through January 10, 2011, there was
no Office pursuant to Public Act 096-0136 (the Lieutenant Governor Vacancy Act). We have performed an
evaluation of the Office's compliance with the following assertions during the two-year period ended June 30, 2011 .
Based on this evaluation and based on in fom1ation provided to us by officials from the Office of t11e Governor, Illinois
Department of Central Management Services and certain other agencies and official.s. we assert that during the period
from January I 0, 20 I I through June 30, 20 I I. the Office has materially complied with the assertions below.
A. The Office has obligated, expended, received and used public fu nds of the State in accordance with the
purpose for which such funds have been appropriated or otherwise authorized by law.
B. 111e Office has obligated, expended, received and used public funds of the State in accordance with any
limitations, restrictions, conditions or mandatory directions imposed by Jaw upon such obligation,
cxpendinrre, receipt or use.
C. The Office 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 Office are in accordance with applicable Jaws and regulations
and the accounting and recordkeeping of such revenues and receipts is fair. accurate and in accordance
with Jaw.
E. Money or negotiable securities or similar assets handled by the Office on behalf of the State or held in
trust by the Oftice have been properly and legally administered. nnd the accounting and recordkeeping
relating thereto is proper, accurate and in accordance with law.
Yours very truly,
Office of the Lieutenant Governor =1::?:6
~;;:::~
O.K. Himer, Chief of Staff
TJJ --:i-Lc:i=
Mark Schauerte. General Counsel & Deputy Chief of Staff for Legislative Affairs
lOOT
D·su•ct !l Heath .. ~••es
Caroo~dale. IL 619:>3
Phone fG1!fi529-6J52
Fa' : f61St529-().l55
11.1 SUite lio.J$e
SP""Uf·u1d IL 62706
Pt•tllle 12111 SSE· 308!1
F~"' •217• s::s..309J
n' ,.a()().S/33·11 10
2
JRiC. 1~ ·200
Cn,cago. IL 60601
Phone 13121 61.1·5240
Fa• •312181J-!i228
PAT QUINN
GOVERNOR
1IDWII)' 12,2012
McOn:al & Company, PC
Ccrtifi.ed Public Acc:ounbmta
5740 Wf!IJt 956 Street
Otk Lawn, IJJ.iaoia 60453
Ladies m1 Gentltmen·
OFFICE OF THE GOVERNOR
JRTC, 100 W. RANDOlPH, Sum 16-100
CHICAOO, IWNOIS 60601
We, tho Ofticc of the Oovcmor, were reaponsiblc for the identification ot; and c:ompllimco with, an upecta of
lawl, regulationa, contracta, or grant agreeme.:uts that could haw bad a matc:ria1 effect on the operatlooa of the Office
ofthoLimtmant Oawmor for the period July 1, 2009 tbroughJ8IIll8l')' 10, 2011, pumwmt to tho U,.rtenant Govemor
Vacancy At;t (P .A. 096-0 136). Further, we were responsible for and established aod maintained an effi:diw syBtem
ot; i.ntemal controls over compliance reqairemanB during that period. We performed an evaluation of tho O.ffie8'a
c:ompliaDcc with the following assertions during the period. Baaed on this evaluation we asaert that during the period
July 1, 2009 through January 10, 2011, the Office of the Lieutenant Governor bad materially complied with the
aaertioDB below.
A. The Office has obligated, expended. receM:d and used public funds of the State in acoordancc with the
pmpoee for which such funds have been appropriated or otherwiao authmi:md by law.
B. The Office bas obligated. expended, received and used public fimda of the State in aoc:ordance with any
llmitaticms, restrictions, conditions or mandatary directions impoaed by law upon such obligation,
expenditure, receipt or uae.
C. The OffWc bas complied. in all material R:BpeCtB, with applicable Jawa and xegulationa, including the State
tmffi IIIII accounting ~}'Stem, tn itJ fjmmcia) and fiacal operaticma.
D. State rm::uuc:s and receipts collected by the Office are in accordance with applicable laws and regulations
and the accounting and n:cordkceping of such reveuues and receipts is fil.ir, 8CCW1lte and in accordance
with law.
B. Money or negotiable securities or similar assets handled by the Offie8 on behalf of the State or held in
trust by the Office have been properly and legally administered. and the accounting and recordkeeping
relating thereto is proper, accmatc and in accordance with Jaw.
Youn vecy truly,
Office of the Ueuteoant Govcmor
Pat
3
STATE OF ILLINOIS
OFFICE OF 11-IE LIEUTENANT GOVERNOR
COMPLLANCE REPORT
SUMMARY
The compliance testing perfom1ed duT.ing this examination was conducted in accordance witl1
Government Auditing Standards and in accordance with the Ulinois State Auditing Act.
ACC01JNT ANTS' REPORT
The Independent Accountants' Report on State Compliance, on Intemal Control Over
Complianee and on Supplementary [nformati·on for State Compliance Purposes does not contain scope
l'ilnitations, disclaimers, or other significant non-standard language.
SUMMARY OF FINDINGS
Number of
Findings
Repeated findings
Prior recommendation~
Current
Remort
2
0
Prior
Report
1
0
implemented or not repeated 0
ftem
No.
11-1
11-2
9
11
SCHEDlJ"LE OF FINDINGS
Description
FINDINGS (STATE COMPLIANCE)
Inadequate Controls Over the Recording
and Reporting of State Property
Inadequate Controls Over
Voucher Processing
Findinfl Type
Significant Deficiency
and Noncompliance
Significant Deficiency
and Noncompliance
PRIOR FINDING NOT REPEATED (STATE COMPLIANCE)
A 13 Nonpayment of revolving ftmd invoices
4
STATE OF ILLINOTS
OFFICE Of THE LIEUTENANT GOVERNOR
COMPLIANCE REPORT
SUMMARY
EXIT CONFERENCE
The findings and recommendations appearing in lhis report were discussed "'~th the Office of
the Lieutenant Governor in an exit conference on January 5, 2012. Attending were Casey Evans,
Office of the Auditor General; D.K. Himer, Chief of Staff. OfTice of the Lieutenant Governor; Mark
Schauerte, General Counsel of the Lieutenant Governor; Thomas M.cGreal, Special Assistant Audit
Partner; and Michael Morrissey, Special Assistant Audit Manager. Responses to the
recommendations were provided by Mark Schauerte in conespondence dutcd January 12, 2012.
5
McGREAL~CoMPANY, PC
CEf~I I FIED PUI3LIC l\CCOUNTANlS /\NO /\UVISORS
INDEPENDENT ACCOUNTANTS' REPORT ON STATE COMPLIANCE,
ON INTERNAL CONTROL OVER COMPLIANCE . .t\ 1'1D ON
SUPPLEMENTARY INFORMATION FOR STATE COMPLIANCE PURPOSES
Honorable William G. Holland
Auditor General
State of Illinois
Compliance
As Special Assistant Auditors for the Auditor General, we have examined the 111inois Office
of the Lieutenant Governor's compliance with the requiren:tents listed below, as more fully
described in the Audit Guide for Financial Audits and Compliance Attestation Engagements
of Hlinois State Agencies (Audit Guide) as adopted by the Auditor General during the two
years ended June 30, 20 II. The managem~.nt of the lllinois Offi<;e of the Lieuten?nt
Governor is responsible for compliance with these requirements. Our responsibility is to
express an opinion on the illinois Office of the Lieutenant Governor's compliance based on
our examination.
A. The fllinois Office of the Lieute.nant Govemor has obligated, expended,
received, and used public funds of the State in accordance with the purpose
for which such ftmds have been appropriated or otherwise authorized by law.
B. The lllinoi·s Office- of the Lieutenant Governor has obligated. expended,
received, and used public funds o.f the State in accordance with any
limi'lations, restrictio11s, conditions or mcmdatory directions imposed by law
upon such obligation, expenditure, receipt or use.
C. The Illinois Office of the Lieutenant Governor 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 Office of the Lieutenant
Governor (lie in accordance with applicable laws and regulations and tJ1e
accounting and recordkecping of such revenues and receipts is fair, accurate
and i.n accordance with Jaw.
5740 WEST 95TH STREET OAK LAWN, ll 601153
6
708.422.8600 F1\X 708.422.8642 WWW MCGI~EAL COM
E. Money or negotiable secunttes or similar assets. handled by the Illinois
Oflice of the Lieutenant Governor on behalf or the State or held in trusr by
the Ill inois Oftice of the Lieutenant Govcmor have been properly and legally
administered and the accounting and recordkeeping relating thereto is proper,
accurate, and in accordance with law.
We conducted our examination in accordance w·ith attestation standards established by the
American Institute of Certified Public Accountants; the standards applicable to attestation
engagements contained in Government Auditing Swndards issued by the Comptroller
General of the United States: the lllinois 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 Illinois Office of U1e Lieutenant Governor's compliance
with those requirements li sted in the first paragraph of this report and performing such other
procedures as we considered necessary in the circumstances. We bel ieve that our
examination provides a reasonable basis for our opinion. Our examination does not provide
a legal determination on the Illinois Office of the Lieutenant Governor's compliance with
specified requirements.
In our opinion, the Illinois Office of the Lieutenant Governor complied, in all material
respects, with the compliance requirements li sted in the fi rst paragraph of this report during
the two years ended June 30, 2011 . However, the resulls of our procedures ·disclosed
instances of noncempliancc, which are required to be reported in accordance with criteria
established by the Audit Guide, issued by the Illinois Office of the Auditor General and
which are described i.n the accompanying schedule of findings as findings I l- l and I, 1-2.
Internal Control
Management of the Ill inois Office of the Lieutenant Governor is responsible for establishing
and maintaining effective internal contml over compliance with the requirements listed in the
lirst paragraph of this report In planning and perfonning our examination, we considered
the lllinois Office of the Lieutenant Governor's internal control over compliance with the
requirements listed in the 1irst paragraph of this report as a basis for designing our
examination procedures for lhe purpose of expressing our opinion on compliance and to tesr
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 internal control over compliance. Accordingly, we do not express an
opinion on the e1Tectiveness of the Illinois Office of Lhe Lieutenant Governor's internal
control over compliance.
7
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 v,.ith
the requirements listed in the first paragraph of this report on a timely basis. A material
weakness is a deficiency, or combination of deticiencies, in internal control over
compliance such that there is a reasonable possibil ity Lhat 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 was for the limited purpose
described in the first paragraph of this secUon and was not designed to identify all
defi ciencies in internal control over compliance that might be deficiencies, significant
deficiencies, or material weaknesses. We did not identify defi ciencies in internal control
over compliance that we consider to be material weaknesses. as defined above. However,
we identified certain deficiencies in internal control over compliance that we considered to
be significant deficiencies as described in the accompanying schedule of findings and
questioned costs as item Il- l and 11-2. A significant deficiency in an entity's internal
control over compliance is a deficiency, or combination of deficiencies, in internal control
over compliance that is less severe than a material weakness in internal control over
compliance, yet important enough to merit attention by those charged with governance.
As required by the Audit Guide, immaterial findings excluded from this report have been
reported in a separate letter to your office.
The Ill inois Office of Lieutenant Governor's responses to the fi ndings identified in our
examination are described in the accompanying schedule of l.indings. We did not examine
the Ill inois Office of Lieutenant Govemor's responses and, accordingly, we express no
opinion on them.
Supplemcntan' Information for State Compliance Purposes
Our exam1nation was conducted for the purpose of formi ng an opinion on compliance \·vilb
the requirements listed in the first paragraph of th is report. The accompanying
supplementary information as listed in the table of contents as Supplementary lnforn1ation
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 2011 and the 2010 Supplementary Information for State Compliance
Purposes, except for in formation on the Service Efforts and Accomplishments on which we
did not perforn1 any procedures. However, we do not express an opinion on the
supplementary information.
We have not applied procedures to the 2009 Supplementary Information for State
Compliance Purposes, and accordingly, we do nol express an opini.on thereon.
8
This report is intended solely for the information and use of the Auditor General, the General
Assembly, the Legislative Audit Commission, tbe Governor, and agency management, and is not
intended to be and should not be used by anyone other than these specified parties.
McGreal & Company, PC
January 12, 20 I 2
9
STATE OF ILLINOJS
OFFICE OF THE LIEUTENANT GOVERNOR
CURRENT FINDINGS (STATE COMPLIANCE)
FOR THE TWO YEARS ENDED JUNE 30, 201 1
11-1 FINDJNG: Inadequate Controls Over the Recording and Reporting of State Property
The Office of the Lieutenant Governor (Office) did not have adequate controls over its property and
equipment.
We noted the following:
• The Office could not locate state property with an 0riginal cost of $156,000 during its inventory
certification for June 2011. These items were reported as deletions on the Quarterly State
Property Report. The report agreed to tlte Office's fmal inventory records.
• The Office did not file 4 of the 8 (50%) required Quarterly State Property Reports and filed one
(13%) report late. Of tile 4 reports not filed, one occurred dtning the current Administration.
• During Fiscal Year 20 I 0, the Office reported 16 property items totaling $5,70 I as deleti0ns on the
Quarterly State Property Reports; however, these items were transfers-out.
• Eighr property items were transter.red out, totaling $4,0051 and were not reported on the Qua1terly
State Property Report.
• The Office recorded $23,920 worth of Fiscal Year 2009 d~letions in Fiscal Year 2011.
• One property item worth $786 was reported as an addition on the wrong Quarterly State Property
Report.
SAJvf.S procedure 29.20.10 requires an agency to submit property reports no later than the last day
of the month following the last day of the quarter, report items as transfers if they are moved
between agencies, and report all additions to each asset class that occurred during the quarter
being reported'.
The State Property Comrol Act (30 lLCS 605/4 and 6.02) requires the Office to be accountable for
1he supervision, control and inventory of all pro petty under its jurisdiction .and control.
Tbe Office was vacant from January 2009 tlu·ough January 20·11. All personnel were transfened to
other agencies or te1minated. No equipment reconciliatiol')s were perfom1ed during the vacancy.
Failure to account for property items accurately and in a timely manner increases the potential for
fraud and possible loss or theft of State property. In addition, property not recorded in the proper
period results in inaccLtrate capital asset reports submitted to the Comptroller. (Finding Code No.
11-1, TM 09-1 , 1M 07-1, 05-2)
10
STATE OF ILLINOIS
OFFICE OF THE LIEUTENANT GOVERNOR
CURRENT FINDINGS (STATE COMPLIANCE)
FOR THE TWO YEARS ENDED JUNE 30,2011
FINDING: Inadequate ComTois Over the Recording and Reporting ofStnle Property (Continued}
RECOMMENDATION: We recommend the Office comply with SAM.S requirements in the
preparation of the Quarterly Fixed Asset Reports which are submitted to the Comptro.ller. Further.
we recommend the Office devote adequate resources to ensure that property records arc
maintained and updated timely.
OFFICE RESPONSE: The Office of the Lieutenant Governor accepts the finding. The Office
was vacant from January 29. 2009 until January 10, 20 ll. No staff carried over from the previous
Administration, and complete records from the previous Administrat ion did not remain with the
Oftice. For the June 20 II inventory certification, some of the unlocated items were purchased a'i
far back as the 1950s. The Office has revised its procedures accordingly and taken the necessary
measures to ensure compliance with SAMS requi_rements and that property control records are
submitted timely to the Comptroller. The Office will be con1.pleting quarterly physical checks of
inventory and has implemented a policy that all newly-purchased items having a value of more
than $100 or being identified as a .. potentially high-theft item" will be tagged upon receipt and
once vouchered and paid, such tagged item will be entered into the Central Inventory System.
ll
STATE OF ILLINOIS
OFFICE OF THE LIEUTENANT GOVERNOR
CURRENT FINDINGS (STATE COMPLLANCE)
FOR THE TWO YEARS ENDED JUNE 30. 20 ll
11-2 FINDING: Inadequate Controls Over Voucher Processing
The Office of the Lieutenant Governor did not exercise adequate control over voucher processing.
We noted the fo llowing:
• Twelve of 97 vouchers, (12%) totaling $ 11 ,065, were not approved vvithi11 30 days. The lllinois
Administrative Code, Titl'e 74, Section 900. 70(b) requires state agencies to approve proper
bills or deny bill.s with defects, in whole or in part, "viU1in 30 days after receipt.
• Twelve of 97 vouchers, (12%) totaling $25,969, included invoices that were not date stamped.
The Illinois Administrative Code, Title 74, Section 900.30(b)(2) states that aU State agencies must
maintain written or electronic records renecting the date or dates on which a proper bill was
received by the State agency.
• The required interest totaling $834 "vas not paid on 3 of 97 (3%) vouchers tested. The State
Prompt Payment Act (30 ILCS 540/3-2) requires State agencies to determine whether interest is
due and automatically pay interest penalties amounting to $50 or more to appropriate vendor
when payment is not issued within 60 days after receipt of a proper bill.
• r our of 14 payroll vouchers_, (29%) totaling $80,859, were not approved by an authorized signer.
The State rinance Act (30 ILCS I 05/9.03) requires an authorized agent to certify that the
vouchers submitted are true and con-ect. In addition. failure to obtain approval signatures may
result in incorrect payment and increases the potential for fraud and possible loss or thetl of State
funds.
Management of the Office of the Lieutenant Governor indicated that the above deficiencies were due
to staff oversight and office vacancy.
Failure to obtain invoice approval within 30 days increases the potential for non-payment of invoices
in a timely manner and may require the payment of interest.
railure to sign and date invoices when received increases the potential for non-payment or late
payment. increases the potential for payment for goods and services not received and increases the
potential for fraud and possible loss or theft of State funds.
failure to pay vendors timely may result in noncompliance with the State Prompt Payment Act and
may cost the State additional interest. (Finding Code 11-2)
12
STATE OF ILLINOIS
OFFICE OF THE LIEUTENANT GOVEIU-.IOR
CURRENT FINDINGS (STATE COMPLLANCE)
FOR Ti lE TWO YEARS ENDED JUNE 30. 20 11
FJND.ING: Inadequate Controls Over Voucher Processing (Continued)
RECOMMENDATION: We recommend the Office strengthen controls over voucher processing
to ensure invoices are processed timely and properly approved.
OFFICE RESPONSE: The Office of the Lieutenalll Governor accepts the finding. The Office
has strengthened internal controls regarding voucher processing to ensure invoices are processed
timely nnd properly approved. n1e revised internal controls includes, but arc not limited to, the
following: (i) invoices are reviewed and approved by the f iscal Officer within 30 days of receipt,
(ii) a weekly batch system alllomatically generates interest penalty invoices due to vendors, and
(iii) weekly status reports regarding all vouchers.
13
STATE OF ILLINOIS
OFFICE OF THE LIEUTENANT GOVERNOR
PRIOR FINDING NOT REPEATED (STATE COMPLIANCE)
FOR THE TWO YEARS ENDED JUNE 30.20 11
PRIOR FINDINGS NOT REPEATED-STATE
A Finding: Nonpayment of Revolving Fund Invoices to tl1e Statistical Services Revolving Fund.
In the prior period. the Offict: did not timely approve and pny internal service invoices billed
through the Statistical Services Revolving Fund for electronic data processing services provided
by the Department ofCcntral Management Services(DCMS) .
.In the current period, the Office processed all billings rrom the Statistical Services Revolving
Funds for the two years ended June 30, 20 II and prior unpaid nmounts. (Finding Code No. 09-1)
14
STATE OF ILLINOIS
OfFICE OF THE LIEUTENANT GOVERNOR
SUPPLEMENTARY INFORMATION FOR STATE COMPLlANCE PURPOSES
SUMMARY
Supplcmcntnry Information for State Compliance Purposes presented in this section of the report
includes the following:
fi scal Schedules and Analysis:
Schedule of Expenditures of f ederal Awards
Notes to the Schedule of Expendi tures of Federal Awards
Schedule of Appropriations, Expenditures and Lapsed Balances
Comparative Schedule of Net Appropriations. Expenditures and Lapsed Balances
Schedule of Changes in State Property
Comparative ScheduJe of Cash Receipts and Reconciliation
Sched ule of Cash Receipts to Deposits Remitted to the State Comptroller
Analysis of Significant Variations in Expenditures
Analysis of Significant Variations in Receipts
Analysis of Significant Lapse Period Spending
Annlysis of Operations:
Agency Functions and Planning Program
A. vcrage Number of Employees
Service Efforts and Accomplishments (Not examined)
The accountants' report that covers the Supplementary In fo rmation for State Compliance Purposes
presented in the Compliance Report Section states the auditors have applied certain limited procedures
as prescribed by the Audit Guide as adopted by the Auditor General. except for information on the
Service Efforts and Accomplishments on which they did not perform any procedures. Ho"vever. the
accountants do not express an opinion on the supplementary in formation.
15
STATE OF ILLlNOlS
OFFI'CE OF THE UEUTENANT GOVERNOR
SCHEDULE OF EXPENDITURES Of FEDERAL A WARDS
FOR Tl IE FISCAL YEAR ENDED JUNE 30. 20 I 0
Federal Grantor I Program Title
U.S. Depmiment of the Interior- Fish and
Wildlife Services:
Coastal Wetlands Planning, Protection
and Restoration Act
Panners for Fish and Wildlife
Total U.S. Deparlment of the Interior- Fish and
Wildlife Services
Total Ex pend it ures ofF ederal A wards
Federal
CFDA
Number
15.614
15.631
Federal
Expenditures
$ 69,727
500
$ 70,227
$ 70,227
The accompanying notes are an integral part of this schedule.
16
STATE OF ILLf.\IOJS
OFFICE OF THE LIEUTE 'ANT GOVERNOR
NOTES TO Ti lE SCHEDULE Of EXPENDITURES OF FEDERAL A WARDS
FOR TilE FISCAL YEARS ENDED JUNE 30,2011 and 20 10
~ote I: Basis of Presentation
The accompanying schedule of expenditures or federal awnrds includes the fccicrnl grant activity
of the Office of the Lieutenant Governor and is presented on the cash basi. of accounting in
accordance with accounting principles generally accepted in the United States of America.
Note 2: Subrccipicnts
Of the federal expenditures presented in the schedule, the Office of the Lieutenant Governor
provided federal awards to the subrecipients as fo llows:
Program Title
Fiscal Year 2010
Coastal Wetlands Planning. Protection
and Restoration Act
Partners for Fish and Wildlife
Federal
CFDA
Number
15.61~
15.631
Total Subrecipient Pnss Through - Fiscal Yenr 20 I 0
Note 3: Description of Federal Programs
Coastal Wetlands Planning. Protection and Restoration Act
$
$
Amounts
Provided to
Subrccipients
69,727
500
70;227
·n1c Office of Lieutenant Governor received a $~00.000 National Coastal Wetland!> Conservation
Grant (NCWC) from the U.S. Fish and Wild li fe Service in 2008. This money wi ll be combined
wi th a $750,000 NCWC Grant from the U.S. Fish and Wild life Service received in 2006 and
approx imately $650.000 in state and local funds for the llegewisch Marsh Restoration Project.
This project will demonstrate the potential for indumial. residential and open spaces to coexist
in the City of Chicago. The Hegewisch Marsh Rcstomtion Project will restore the site to its
natural design.
Partners for Fish and Wildlife
The Office of the Lieutenant Governor entered into a $20,000 grant with the U.S. Fish and
and Wildl ife Service. The grant money is to be used to provide funding to school . park districts.
or municipalities with in the State of Illinois o they mn) construct rain gardc11s to be used a<;
on-s ite interactive educational LOots.
17
STATE OF ILLINOIS
OFFICE OF Ti lE LIEUTENANT GOVERNOR
SCHEDULE OF APPROPRIATIONS. EXPENDITURES AND LAPSED BALANCES
Approprintions for Fiscal Year 20 II
Fourteen Months Ended August 3 1. 20 II
Approximate
Appropriations t:xpcnqitures Lapse Period Approximate Approximate
Public Act 96-0956 (Net after Through Expenditures Total Oalanccs
Transf'C.: rs) 6/.J0/ 11 7/0 I - 8/3 1/ 11 E1q~cnditurcs Ln~scd
APPROPRIATED FUNDS
GENERAL REVENUE FUND- 001
Lump ums - Operational Expenses s 112.900 s 70.216 s s 70.216 s
Subtotal s 112.900 s 70,2 16 s s 70.216 s
GOVERNOR'S DISCRETIONARY APPROPRIATION-DOl
Lump Sum and Other Purposes $ 1,250,000 $ 598.956 $ 77,023 $ 675,979 $
Subtotal - Fund 00 I s 1.362.900 s 669.1 72 $ 77.023 s 746. 195 $
TO I'AL- ALL APPROPRJA TED FUNDS s 1.362.900 s 669,172 s 77,023 s 746. 195 $
Note I: Appropriations. expenditures. and lapsed balances were obtained from State Comptroller records and have been
reconciled to the Office's records.
42.684
42.684
574 ,021
616.705
616,705
Note 2: Expenditure amounts are vouchers approved for payment by the Office and submiued to the State Comptroller for
payment to the vendor.
Note 3: Approximate lapse period expenditures do not include interest payments approved for payment by the Office and
submitted to the Comptroller for payment after August.
18
STATE OF ILLINOIS
OFFICE OF THE LIEUTENANT GOVERNOR
SCHEDULE Or APPROPRIATIONS, EXPENDITURES AND LAPSED BALANCES
Appropriations for Fiscal Y car 20 I 0
Public Act 96-0042
AJ>PROPRIA TED FUNDS
GENERAL REVENUE FUND - 00 I
Founeen Months Ended August 31, 20 I 0
Appropriations
(N~t after
Transfers)
Expenditures
Through
6130110
Lapse Period
Expenditures
7/01 - 8/31 / 10
Total
Expenditures
Balances
Lapsed
Lump Sums -Operational Expenses $. I 12,900 $ I 12,473 _$_ ___2... ...:27_ $ 112,700 _$.;___ ____2;..0;;0_:·.; ;..
Subtotal - Fund 00 I $ 112,900 $ I 12,473
TOTAL - ALL APPROPRIATED FUNDS $ 112,900 $ 112,473
NON-APPROPRIATED FUNDS
LIEUTENANT GOVERNOR'S FEDERAL GRANT FUND - 811
Hegcwisoh Marsh RestoFation $ 69,727
US Fish & Wild.life Services Grant 500
Subtotal - Fund 811 $ 70,227
TOTAL NON-APPROPRIATED FUNDS $ 70,227
$ 227 $ 112,700 $ 200 ========= =========
$ 227 $ 11 2;700 $ 200 ========= ========
$
s $
s $
69,727
500
70,227
70.227
GRAND TOTAL EXPENDITURES - ALL FUNDS $ I 82,700 =$======22=7= s 182.927
Note 1: Appropriations, expenditures, and lapsed balances were obtained from State Comptroller records and have been
reconci led to the Office's t'ccords.
19
STATE OF ILLINOIS
OFf- ICE OF THE LIEUTENANT GOVERNOR
COMPARATIVE SCHEDULE OF NET APPROPRIATIONS, EXPENDITURES. AND LAPSED BALANCES
FOR THE f-ISCAL YEARS ENDED JUNE 30,
Fiscal Year
1011 2010 2009
General Revenue Fund - 00 I P.A. 96-0956 P.A. 96"0042 P.A. 95-0731
Appropriations (Net After Transfers) $ 1.362.900 $11.2,900 $2.00 1,250
Expenditures
Persenal Services $ s 664,523
State Contribution to State Employee's
Retirement System 139.904
State Contribution to Social Security 71,870
Contractual Services 339.742
Travel 36,101
Commodiiies 8,54.5
Printing 1.587
Equipment· 453
Electronic Data Processing 31 ,700
Telecommunications Services 38,693
Lump Sums - Operational Expenses 70,2 16 112,700
Lump Sums - Governor's Discretionary Appropriation 675,979
Operational and Grant Expenses of
the Ruml Affairs Council 296,591
Ordinary and Contingent Expenses of'
the Illinois River Coordination Co\111cil 1.51 ,576
Total Expenditures $ 746,195 $ 112,700 $ 1.781.285
Lapsed Balances s 61-6,705 $ 200 $. 219.965
20
' I All. OF ILLI':OI
OFFICE OF'! Ill. LIE TENANT GOVERNOR
COMPARATIVE SCIIEDtJLE OF NET AI'PROPRit\ TIONS. EXPENDITURES. AND LAPSED BALANCE '
FOR TI-lE FISCAL YEt\RS ENDED JUNE 30.
Fil'cal Year
2011 2010 20()9
96-0956 96-00·12 P.i\. 94-791!
t\GRJCl'I.TURAI. PREMIUM FliND- 045
Appropriations (Net Alkr Trnnsfi.~rs) s s s 100.000
Exncnditurc.~
Ordinar: and Contingent E:\pcnscs of
the Rur:1l AITairs Council 94.200
Total Expenditures 94.200
l.usped Balances $ s s 5.1!00
LIEUTE 1A I" GOVERNOR'S GRI\N'I Fl • 'D- 924
1\ppropriations (:'ct After Trnn!;fcrs) s s s 50.000
E:\l.l£ndilurcs
Exercise of the PO\\Crs or Pcrfixmnncc
of the Duties of the Office of the
Lieutenant Governor 25..121
Towl Expenditures s s $ 25,421
Lisped OaluncL'S s s s 24.579
TOTAL- AI.L APPROPRIATED FUt DS
Appropriations (Net ofTmnsfcrs) s 1362.900 s 112.900 s 2. 151.250
Total Expenditures 746.195 112.700 1.900.906
Lapsed Balances 616.705 s 200 s 250.3-14
NON-APPROPRIATED FUNDS
LIEUTENANT GOVERNOR'S FEDERAl. GRANT HJND- X II
E:\pcnditurcs:
I BE Lcnm nnd Scr..-c Gmnt s s s 29.-10 I
l lcgcwisch Marsh Restoration (t9.727 424.7S6
US Fish & Wi ldlife . cn·iccs Grunt 500 11.000
Total Expenditures $ s 70.227 s -165. 187
GRAND TOTAL. 1\1.1. FUNDS
Totnl E.xpcnditurcs s 746. 195 s 182.927 s 2.366.093
Note I: For Fiscol Y cur 20 II , expenditures and related lapsed bulanccs do not reflect any interest pa) mcntS approved for pnymcnt b}
Agency and submitted to the Comptroller for payment ul1cr Attg\ISI 20 II .
21
STATE OF ILLINOIS
OFFICE OF Tl IE LIEUTENANT GOVERNOR
COMPARATIVE SCHEDULE OF NET APPROPRIATIONS, EX PENDITURES AND LAPSED BALANCES
FOR THE FISCAL YEARS ENDED JUNE 30,
Fiscal Year
20 11 2010 2009
General Revenue Fund - 00 I State Comptroller
Appropriations (Net ofTransfers) $ 135,700 $ 135,700 $ 135,700
Lieutenant Governor's Salary 62,107 79,140
Total Expenditures 62.107 79,140
Lapsed Balances $ 73.593 $ 135.700 s 56,560
22
STATE OF ILLINOIS
OFFICE OF THE LIEUTENANT GOVERNOR
SCHEDULE OF CHANGES IN PROPERTY AND EQUIPMENT
FOR THE TWO YEARS ENDED .JUNE 30. 2011
State
Property
Balance at .July I 2009 $ 351.927
Additions
Deletions (23.470)
Net Transfers (5,701)
Adjustments
Balance at .June 30, 2010 $ 322,756
Balance at July I, 20 I 0 $ 322,756
Additions 24, 125
Deletions (132,080)
Net Transfers (74,963)
Adjustments 2,568
13alance at June 30, 20 I I $ 142,406
Note: The above schedul.e has been derived from Agency records which
have been reconciled to property reports submitted to the Office
of tJ1e Comptroller.
23
STATE OF ILUNOIS
OFFICE OF THE LIEUTENANT GOVERNOR
COMPARATIVE SCHEDULE OF CASII RECEIPTS
FOR T ilE FISCAL YEARS ENDED JUNE 30,
2011 20 10
Main Street Contributions s $
Federal Grants 95.696
M isccl laneous 72
Telephone Reimbursement 434
Jury Duty
Prior Year Refunds I ,66-1 1.636
Total Receipts $ 1.664 $ 97,838
$
s
RECONCILIATION SCHEDULE OF CASH RECEIPTS TO DEPOSITS
REMrJTED TO TilE STATE COMPTROLLER
FOR THE FISCAL YEARS ENDED JUNE 30.
2011 2010
Cash Receipts per Ol'fice records $ 748 $ 98.754 $
Deposits in transit:
Beginning of year 916
End ofyear (9 16)
Deposits Remiued to Comptroller s 1.664 $ 97,838 s
2009
17,929
438.54-1
7 14
17
457,204
2009
457,204
457.204
Note: Recei pts are deposited into the General Revenue Fund, except for contributions made to
the Lieutenant Govcmor's Federal Project rund and the Lieutenant Governor's Grant Fund.
Prior year refunds arc deposited into the fund from which the expenditures were made.
24
STATE OF ILLINOLS
OFFICE OF THE LIEUTENANT GOVERNOR
ANALYSIS OF SIGNIFlCANTVARIATIONS INEXPENDITURES
FOR THE TWO YEARS ENDED JUNE 30, 2011
Significant variations in expenditmes ($I 0,000 and 20%) for the fiscal years ended June 30, 2011 and
June 30, 20 I 0 '"'ere as follows:
FISCAL YEAR ?Oi l
General Revenue Fund - 00 I
Lwnp sums exp~nditurcs increased $675,979 (100%) from the Governor·s Discretionary
Appropriation because this appropriation was not received in 2010. Because of the Govemor' s
Discretionary Appropriation, the Office expended $42,484 (38%) less from the Lump Sums­Operational
Expenses !Tom FYI 0 to FYI I.
Federal Project Fund - 811
Federal grant expenditures decreased $70,227 (1 00%). The Office did not have the resources to
administer or manage federal projects. There were no expenditures to be reimbursed from the U.S.
Fish & Wildlife gram program.
FISCAL YEAR 2010
General Revenue Fund - 001
The Office received a lump sum appropriation for operational expenses in 2010. 1J1 2009. the Office
received a separate appropriation by specitic line item and th~refore, comparisons are not avai lable.
Overall, total expenditures decreased $1 ,668,585 (94%). Pursuant to the Lieutenant Govem0rs
Vacancy Act. f1mclions of the Lieutenant Governor's Office were delegated to the Office of t11c
Governor and there were no Office operations from August 7, 2009 through January I 0, 2011.
Agricultural Premium Fw1d - 045
There were no appropriations for this fund due to the vacancy in the Lieutenant Governor's Office.
Lieutenant Governor's Grant Fu11d - 924
There were no appropriations tor tl1is fund due to the vacancy in the Lieutenant Governor's Office.
Federal Project Fw1d - 811
Expenditures decreased $394,960 (85%). The Office did not have the resources to administer federal
projects due to 'U1e duties of the Oflice being transterred to the Office of the Governor in August 2009.
25
STATE OF ILLINOIS
OFFICE OF THE LJEUTENANT GOVERNOR
ANALYSIS OF SIGNIFICANT LAPSE PERJOD SPENDING
FOR THE TWO YEARS ENDED JUNE 30. 20I J
There was no significant lapse period spending for the l\.VO years ended June 30, 2011.
26
STATE OF ILLINOIS
OFFICE OF THE LIEUTENANT GOVERNOR
ANALYSIS OF SIGNIFICANT VAlUATIONS TN RECEIPTS
FOR THE TWO YEARS ENDED JUNE 30, 2011
Significant variations in receipts ($5,000 and 20%) for the fiscal years ended June 30, 20 I I and
June 30, 2010 were as follows:
FISCAL YEAR 2011
Receipts from the U. S. Fish & Wildlife reimbursable granl program decreased $95,696 (100%).
The Office was vacant through January 201 I and therefore there were no project expenditures and
receipts during 201 I.
FISCAL YEAR 2010
The $358,450 (78%) decrease in federal grant expenditures is a result of the Office receiving fewer
funds from the U.S. Fish & Wildlife reimbursable grant. Due to the vacancy in lhe Office, there
were fewer project expenditures and therefore less reimbursable receipts.
27
STATE OF ILLINOIS
OFFICE OF THE LIEUTENANT GOVERNOR
ANALYSIS OF OPERATIONS
FOR THE TWO YEARS ENDED JUNE 30, 2011
AGENCY fUNCTIONS AND PLANNING PROGRAM
FUNCTJONS
The Office of the Lieutenant Governor is an elected position for a 4-year term ( 10 lLCS 512A-5). The
Office of the Lieutenant Governor was left vacant when former Lieutenant Governor Patrick Quinn
was sworn in as Governor of Illinois on January 29, 2009. The Li.eutenant Governor Vacancy Act
states that when the position of the Lieutenant Governor is vacant, the powers and duties of the
Lieutenant Governor shall be assumed by the Governor. Sheila Simon was elected Lieutenant
Governor and was sworn into office January I 0, 2011.
Under the Illinois Constitution: the Lieutenant Governor holds the second highest executive offtce in
Illinois and rhe first to succeed the Governor if he is unable to discharge the duties of his office. The
Illinois Constitution provides the Lieutenant Governor certain powers in the Executive Branch, which
are either delegated by the Governor or prescribed by law.
The Lieutenant Govemor~s daily duties are derived from the Governor, General Assembly, statute and
personal initiatives. The Lieutenant Governor~s duties include serving as chair of the Govemor's
Rural Affairs Council, the Lnteragency Military Base Support and Economic Development
Committee, and tl1e Illinois Ri vert Mississippi River, and Wabash and Ohio Rivers Coordinating
Councils.
The Lieutenant Governor represents the Governor on education reform, standing up for Illinois
children and promoting quality education for pre-K to 20. Lieutenant Govemor Simon is working to
increase college completion rates and c.hairs the Joint Educational Leadership Comniittee for the P-20
Council. She also serves as ~mbassador to Illinois Main Street, a downtown revitalization program.
The Lieutenant Governor has a long standing commitment to addressing and preventing violence,
particularly against women and children.
Program functions tmdertaken at the direction of the Governor or initiated by the Lieutenant Governor
are:
~ Developing markets for local foods, improving emergency service in rural areas, and monitoring
other emerging rural issues,
~ Improving the economic vitality and quality of lite in rural communities by reviving the Rural
Affairs Council,
)> Reviewing stat~ and federal programs that impact the watersheds and working with local
communities to raise awareness and address watershed issues,
28
STATE OF 1LLINOIS
OFFICE OF THE LIEUTENANT GOVER1'10R
ANALYSIS OF OPERATIONS
FORTI-I.E TWO YEARS ENDED JUNE 30. 20 II
AGENCY FUNCTIONS AND PLANNING PROGRAM (Continued)
fUNCTIONS
)..- Coordinating the efforts of governmental and private agencies in improving the Illinois River
watershed,
>- Working wilh vo lunteer legal experts to prepare new government ethics legislation to fight against
the corruption and skepticism that undem1incs the public trust in government,
>- Working "'·ith the State's Complete College America team. to increase the proportion of working­age
adults with college degrees or certi ticates to 60% by 2025,
> Working with voltmteer legal experts to make sure domestic violence la\.vs reach all viclims, cover
all forms of abuse and harassment. and reflect new technologies.
PLANNING PROGRAM
The Office of the Lieutenant Governor's goals are its funct ions as defined by State statutes and those
delegated by the Governor. Highlights of the Lieu.tenrull Governor's long-term and short-term goals,
object ives, and tactics, to fulfi11 the functions of the Office are as fo llows:
Education
Lieutenant Governor Sheila Simon serves as the Illinois point person on education reform and is
leading efforts to increase college completion. By the end of calendar year 2011. she ,.vill have toured
all 48 of the state's public community colleges, assessed and evaluated education retonn proposals.
and developed a best practices report for delivery to the Governor and General Assembly. The
Lieutenant Governor chairs a commission that is exploring ,...,ays school districts can reduce
duplicative administrative spending and improve educational offerings. The commission was
established pursuant to Public Act 97-503 and is now known as the Classrooms First Commission.
Ethics
The Lieutenant Governor's Office is working to develop and implement a multi-lingual core of
information on its website. The Lieutenant Governor is working with the General Assembly ro
enhance discl.osures in the statement of economic interests and she continues to push for campaign
finance reform. She is ·meeting with agency di rectors to ensure participation in an initiative to make
government more open and transparent to the public.
Domestic Violence
The LieutcnanL Governor is an advocate for domestic violence victims. She has launched a virtual
legaJ cLinic to help domestic violence sun,.ivors in unclerserved areas receive legal consultations. WHh
her help, participation is increasing in events to raise awareness surrounding domestic violence issues.
29
STATE OF ILUNOIS
OFFiCE OF THE LIEUTENANT GOVERNOR
ANALYSIS OF OPERA TJONS
FOR THE TWO YEARS ENDED JUNE 30, 20 II
AGENCY FUNCTIONS AND PLANNING PROGRAM (Continued)
PLANNING
Rural Affairs
Lieutenant Governor Simon continues to advru1cc opportunities that improve the vitality of rural
communities and the quality of life for rural citizens. Her office is working to collaborate -with
government and non-government agencies to identify resources and programs to assist rural
communities, to disseminate information to rural communities through email lists or local delivery
methods for those who do not have internet access. and to ensure greater access to Local foods in
Illinois,.
Rivers and Water
The Illinois River Coordinating Council (IRCC) was established by Public Act 90-120 and operates
pursuant to the Illinois River Watershed Restoration Act (20 ILCS 3967115). The Lieutenant
Governor serves as chairperson and a voting member of the IRCC. The duties of the IRCC are to
periodically review activities and programs administered by State and federal organizations to
encottrage partnerships that en.bance awareness and capabilit1es to address watershed and water
resource concerns; work with State and federal agencies to optimize and advise on the expenditure of
funds for the Illinois River Watershed; encourage local communities to deve.lop watershed
mana&rement plans; and help identify additional funding for watershed management projects.
30
STATE OF lLLJNOJS
OFfiCE OF THE LJEUTENANT GOVERNOR
ANALYSIS OF OPERATIONS
FOR THE TWO YEARS ENDED JUNE 30, 2011
AVERAGE NUMBER OF EMPLOYEES
The following table, prepared from Lieutenant Governor's reeords, presents the average number of
employees by program, for the :fiscal years ended June 30,
General Oftice
Rural Affairs Council
lL River Coordinating Council
Learn and Serve
Total
2011
11
2
I
0
14
Fiscal Year
2010· 2009
7
0
0
0
7
13
2
2
18
*Note: The above schedule contains annual aven\ges. There were no employees of the Office for the
period beginning August 7, 2010 and ending January 10, 2011. For Fiscal Year 2010, all employees
are classified under the General Office category.
SERVICE EFFORTS AND ACCOMPLISHMENTS (NOT EXAMINED)
Pushed for Hjstoric Education Reform
As the Governor's point person on education refom1, Simon is -vvorking to increase the proportion of
working-age adults with college graduation rates to 60 percent from 41 percent by 2025. In her first
year in office, she toured each of the state's 48 conunw1ity colleges to push for reforms to help more
students earn a college degree or certificate that will lead to a good-paying job. Her proposed reform
package will focus on reducing time to de&rrce, decreasing student debt and increasing college
transparency.
To incentivize student success, Simon pushed for passage of l-IB 1503, vvbich created a committee
tasked with developing a funding system that will link state resources to student success rates. As a
member of the Perfom1ance Funding Conunittee, Simon will work with the Committee to develop
funding me tries in the state 's FY20 13 budget that focuses on course completion, maintaining the
quality of current degree offerings, and rewarding the success of institutions that serv~ students who
are at-risk academically or financially.
Simon advocated for adoption of SB7, a sweeping education reform bill that promotes excellent
teaching, weights teacher performance in retention, provides more transparency in contract
negotiations and introduces new steps prior to a strike. Through an impressive collaboration of school
31
STATE OF ILLINOIS
OFFICE OF THE LIEUTENANT GOVERNOR
ANALYSIS OF OPERATIONS
FOR THE TWO YEARS ENDED JUNE 30, 2011
SERVICE EFFORTS AND ACCOMPLISHMENTS (NOT EXAMINED) (Continued)
management, teacher unions, education ref01m advocates, legislators and top state leaders, illinois
created a nationally recognized framework to strengthen the teaching profession and advance student
learning in Illinois.
Promoting higher education for al l students, Simon supported the Illinois DREAM Act. SB2185 will
establish a not-for-pr0fit entity to raise private funds and establish scholarships for students who have
resided with his or her parents while attending high school in Illinois; have earned their high school
c:liploma or equivaJency in lllir.wis; have attended school in Hlinois for at least three years; and have at
least one parent who immigrated to the United States. The law also allows individuals with a
Taxpayer Identification Number to participate in college savings pr0grams.
Simon serves as chairperson of the Classrooms f irst Conunission, a statewide group tasked with
tlnding ways to improve leaming and efficiency at the nearly 870 school districts in Illinois. Its
members represent education stakeholders, from teachers to administrators and lawmakers.
Classrooms First held four public bearings across the state in 2011 to gather input from local
educators, taxpayers and parents. lt will report back to the Governor and General Assembly by July 1,
2012.
Modeled Fiscal Responsibility
To set a fiseaHy conservative tone in her office, Simon and her staff took one voluntary fu r'lough day
per month in FY 201 1 (January to June of 2011 ). Simon set her FY 2012 budget at the lowest
requested level in the past 15 years and is the only constitutional officer returning 12 days of pay to
the General Revenue Fund. Her senior staff mernbers will take four furlough days in FY12, the only
staff for a constitutional officer to do so.
Paved the Way for Ethics Reform
Jn her first ofii.cial act after taking the oath of office, Simon took Illinois a step forward in terms of
transparency and ethics by releasing a personal fi nancial statement that detailed her family's assets,
liabilities and net worth, and di rected her senior staff to disclose more financial info rmation than is
required by law. Simon is requiring herself and her top advisors to release their personal financial
profiles each spring so that taxpayers can determine if the public servants have any financial interests
that could pose a conOict of interest in the.ir decision making.
To combat the state's pay-to-play culture, Simon's fi rst executive order set a new standard for
government ethics. She prohibited her can1paign fund from accepting contributions fTOm employees of
Illinois constitutional offices and issued a "no free lunch" order th.at prohibits her staff from accepting
.free meals from lobbyists. (Under stale law, employees are allowed to make political donations and
may accept up to $75 in refreshments fi·om lobbyists per day). The executive order aims to eliminate
the possibility or even the perception that the Lieutenant Governor's Office would trade contributions
tor stare employment or poli tical favors.
32
STATE Of ILLINOIS
OFFICE OF THE LIEUTENANT GOVERNOR
ANAL YSlS OF OPERATIONS
FOR THE TWO YEARS ENDED JUNE 30, 20 ll
SERVlCE EFFORTS AND ACCOMPLISHMENTS (NOT EXAMINED) (Continued)
A day after a second consecutive Illinois governor w·enl on trial for conuplion charges! Simon
anmmnced her plan to strengthen existing ethics laws, beginning with stronger financial disclosure
mles for candidates, elected officials, and top government employees. She is working with good
government groups and allies to ensure taxpayers can easily aceess accurate information about
officials' income, properties ru1d investment portfoli0s. to combat conflicts of interest.
Promoted Equality and Social Justice
A former prosecutor, Simon urged Governor Quinn to eliminate the death penalty as a fom1 of
punishment for crimes committed in ILlino.is. In a public letter to the Governor, she argued that the
death penalty system was unacceptable because it tolerated errors in execution. 1llinois was the 16th
state in the nation to bWl the death penalty.
Simon helped the state move tovvard marriage equality by supporting SB 1716, also known as the
Illinois Rel.igious Freedom Protection and Civil Union Act. The bill allows for civil unions in Illinois,
defined as a legal relationship between two persons, of either the same or opposite sex. People who
enter a civil union are entitled to the same legal obligations, responsibilities, protections, and benefits
afforded or recognized by the law of lllinois to spouses, Simon argued. The law makes Illinois U1e
1Oth state to allow same-sex man:iage or civil unions.
Stood Up for Rural Communities
Simon chairs the Governor's Rural Affairs Council (GRAC) which is tasked with improving delivery
of state services to mral lllinois and enhancing the qualjty of life for rural residents. The 25"member
council was created in 1987 but re-launched in 20 l l when Governm Quinn issued an execu£ive order
wTitten by Simon that formally brought citizen public members, farmers and the lllinois Fam1 Bureau
into service. Its mission lilOW focuses on developing r.narkets for local foods, improving emergency
services in rural areas and monitoring other emerging rural issues.
Simon helped Southern [J}inois University secure an $81,000 federal grant to establish a Fanners
Market Association that wil l provide professional development, resources and support for farmers,
markets, and communities. This will include development of a fanners ' market manager training
manual and a statewide database to cmmect fam1ers to markets.
Simon worked with the General Assembly to help cl~ar the way for small fan1ily fam1s to enter
boutique food production while maintaining public health. SB 840 allows for local farmers to sell
certain homemade baked goods· a1 farmers ' marke~s and other community events. All food items must
have a Food Service Sanitation Management Certificate, be accompanied by appropriate labels listing
all ingredients, Wld identify that products are homemade.
33
STATE Of ILLINOIS
OFFICE OF THE LIEUTENANT GOVERNOR
ANALYSIS OF OPERA TlONS
FOR THE TWO YEARS ENDED JUNE 30, 20 II
SERVICE EFFORTS AND ACCOMPLISHMENTS (NOT EXAMINED) (Continued)
To create green jobs. combat food deserts and improve public health, Simon recommended the
Chicago City Council adopt new regulations in support of urban fanning. Simon asked 'the City
COLmcil to give community gardens and urban farms the right to locate on vacant land in residential
areas and allow them to operate seasonal stands to sell fresh produce to local residents. The city
adopted an urban farm-friendly zoning ordinance that expands the size of community gardens to
25,000 feet, allows for small-scale produce sales in residential areas and relaxes costly parking and
fencing rules.
Simon is working to improve Emergency Medical Service (E!v1S) in wral Tllinois. Rural residents
often face long ambulance response times, and rural EMS agencies struggle to retain the qualified
EMS personnel necessary to provide life-saving care. Simon testiticd before the Illinois House EMS
Taskforce and will advocate for refonns.
Protected Military Families
As Lieutenant Governor, Simon serves as the chairperson of the state's Interagency Mili tary Base
Support c:md Economic Development Committee. One of the committee's responsibilities is to
coordinate communication among local, state and federal officials regardiJig the future of military
bases in Illinois. Simon has recruited Members of Congress from Illinois for the U.S. House Defense
Communi.ties Caucus. The Caucus will act as a unified. bipartisan voice for communities nationwide
with active, closed or closing military installations and could help us create partnerships among the
private, public and military sectors to create jobs, save federal tax dollars and help Illinois prepare for
and prevent base closures or other downsizing.
Acting on behalf of the military base committee, Simon is suppot1ing federal legislation that will
extend the practice of allowing the five public schools serving tJ1e Great Lakes Naval Training Base to
pool their students to maximize federal education assistance through the Impact Aid program. The
legislation would allow the North Chicago school district to remain eligible for heavily impacted
status for lhe next five years. If the bill fai ls, North Chicago·s Impact Aid could be reduced
significantly.
Advocated for Domestic Violence Survivors
Simon's office collaborated with State government to recyc le and reuse more than 2,000 no-longer­used
State-issued cell phones. Simon collected the phones as part of HopeLine Drive with Yerizon
Wireless. vvhich donated $10,000 to domestic vjolence prevention agencies in Chicago and
Springfi eld and agreed to donate emergency phones to survivors. In collaboration ·with domestk
violence agencies, Simon launched a virtual legal clinic that will provide survivors of domestic
violence in tmderscrved communities with ll'ee legal consultations.
34
STATE OF ILLINOIS
OFfiCE OF TilE LIEUTENANT GOVERNOR
ANALYSIS OF OPERA TlONS
FOR TilE TWO YEARS ENDED JUNE 30.20 11
SERVICE EFFORTS AND ACCOMPLISI IMENTS (NOT EXAMINED) (Continued)
upported River and \>Vater Conservation
Lieutenant Governor Simon chairs the three Illinois River. Mississippi River. and Wabash and Ohio
River Coordinating Councils that unite citizens. river enthusiasts. and state and federal agencies to
preserve and restore our watersheds. Included with these responsibi lities are inter-related issues of
economics, flooding, recreation. <-md tourism. To ensure the councils promote ach ievable and eiTcctivc
projects, Simon re-established the Science Advisory Committee to provide expert advice on
conservation issues. She is also evaluating the implementation of the Lieutenant Governor"s
Integrated Management Plan (IMP) for the Illinois River Watershed. adopted in 1997, which is used
by the U.S. Army Corps of Engineers as a guiding document for river restoration.
35