FY11-Architect-Comp-Full

              STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
COMPLIANCE EXAMINATION
For the Two Years Ended June 30, 2011
STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
COMPLIANCE EXAMINATION
For the Two Years Ended June 30, 2011
TABLE OF CONTENTS
Page
Agency Officials 1
Management Assertion Letter 2
Compliance Report
Summary 3
Accountant’s Reports
Independent Accountants’ Report on State Compliance, on Internal
Control Over Compliance, and on Supplementary Information for
State Compliance Purposes 5
Schedule of Findings
Current Finding – State Compliance 8
Prior Finding Not Repeated 9
Supplementary Information for State Compliance Purposes
Summary 10
Fiscal Schedules and Analysis
Schedule of Appropriations, Expenditures and Lapsed Balances 11
Comparative Schedule of Net Appropriations, Expenditures
and Lapsed Balances 13
Schedule of Changes in State Property 15
Analysis of Significant Variations in Expenditures 16
Analysis of Significant Lapse Period Spending 17
Analysis of Operations
Agency Functions and Planning Program 18
Average Number of Employees 20
Service Efforts and Accomplishments (Not Examined) 21
AGENCY OFFICIALS
OFFICE OF THE ARCHITECT OF THE CAPITOL
Architect of the Capitol (11/16/09 to present) Mr. J. Richard Alsop III
Deputy Director (11/16/09 to 12/31/09) Mr. Dean McGeath
Acting Director (through 11/15/09) Mr. Dean McGeath
Senior Project Manager Mr. Mark Flowers
Fiscal Officer Ms. Sue Friedrich
Board Member
Co-Chair Jillayne Rock, Secretary of the
Senate
Co-Chair (6/22/11 to present) Tim Mapes, Clerk of the House
of Representatives
Co-Chair (through 6/3/11) Mark Mahoney, Clerk of the
House of Representatives
Member Scott Kaiser, Assistant Secretary
of the Senate
Member Bradley Bolin, Assistant Clerk of
the House of Representatives
Agency office is located at:
Suite 602
William G. Stratton Office Building
Springfield, IL 62706
1
2
J. Richard Alsop Ill
AlAlEEDAP
Architect of the Capitol
THE OFFICE OF THE ARCHITECT OF THE CAPITOL
William G. Stratton Build ing Suite 602 Springtidd, Illinois 62706
Telephone: 217.782.7863 Facsimile: 217.524.1873
November 17, 2011
Honorable William G. Holland
Auditor General
State of illinois
Iles Park Plaza
740 East Ash
Springfield, IL 62703-3 154
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 Office of the Architect of the Capitol
(Office). 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 Office's compliance with the following
assertions during the two-year period ended June 30, 2011 . Based on this
evaluation, we assert that during the year(s) ended June 30, 2010 and June 30,
2011 , the Office has materially complied with the assertions below.
A. The Office 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 Office 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 Office has complied, in all material respects, with applicable laws
and regulations, including the State unifonn accounting system, in its
financial and fiscal operations.
Yours very truly,
Office ofthe Architect of the Capitol
Sue Friedrich
Fiscal Officer
COMPLIANCE REPORT
SUMMARY
The compliance testing performed during this examination was conducted in accordance
with Government Auditing Standards and in accordance with the Illinois State Auditing Act.
ACCOUNTANTS’ REPORTS
The Independent Accountants’ Report on State Compliance, on Internal Control Over
Compliance and on Supplementary Information for State Compliance Purposes does not contain
scope limitations, disclaimers, or other significant non-standard language.
SUMMARY OF FINDINGS
Current Prior
Number of Report Report
Findings 1 2
Repeated findings 1 0
Prior recommendations implemented
or not repeated 1 1
SCHEDULE OF FINDINGS
Item No. Page Description Finding Type
FINDING (STATE COMPLIANCE)
11-1 8 Non-compliance with Legislative
Commission Reorganization Act
Significant Deficiency
and Noncompliance
PRIOR FINDING NOT REPEATED
A 9 Property control weaknesses
3
EXIT CONFERENCE
A formal exit conference was waived by J. Richard Alsop III, Architect of the Capitol, in a
correspondence dated November 8, 2011. Responses to the recommendations were provided by
J. Richard Alsop III, Architect of the Capitol in a correspondence dated November 9, 2011.
4
5
SPRINGFIELD OFFICE:
ILES PARK PLAZA
740 EAST ASH • 62703-3154
PHONE: 217n82·6046
FAX: 217n8S·8222 • TTY: 8881261·2887
CHICAGO OFFICE:
MICI-IAEL A . B!LANOIC BLDG. SUITE S-900
160 NORTH LASALLE· 60601-3103
PHONE: 312/914-4000
OFFICE OF THE AUDITOR GENERAL
WILLIAM G. HOLLAND
FAX 3 I 2/814-4006
INDEPENDENT ACCOUNT ANTS' REPORT ON STATE COMPUANCE.
ON fNTERNAL CONTROL OVER COMPLIANCE. AND ON
SUPPLEMENTARY INFORMATION FORST ATE COMPLIANCE PURPOSES
Honorable William G. Holland
Auditor General
State of Illinois
Compliance
We have examined the State of [llinois. Office of the Architect of the Capitol's (Otlice)
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. 20 II. The
management of the Office is responsible for compliance with these requirements. Our
responsibility is to express an opinion on the Office's compliance based on our examination.
A. The Office 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 Jaw.
B. The Office 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 Office has complied, in all material respects. with applicable laws and regulations.
including the State uniform accounting system. in its financtal and fiscal operations.
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 Audiring 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 Office'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 Office's compliance with specified requirements.
In our opinion. the Office complied. in all material respects. with the compliance requirements
listed in U1e first paragraph of this report during the two years ended June 30.201 I. llowever. the
INTERNET ADDRESS: AUDITOR~MAIL. STATE . IL. US
RECYCI..EO F'APER SOYBEAN INKS
results of our procedures disclosed an instance of noncompliance with the requirements, which is
required to be reported in accordance with criteria established by the Audit Guide, issued by the
Illinois Office of the Auditor General and which is described in the accompanying schedule of
findings as finding 11-1.
Internal Control
Management of the Office 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 Office’s internal control over
compliance with the requirements listed in the first paragraph of this report as a basis for
designing 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 internal control over compliance. Accordingly, we do not
express an opinion on the effectiveness of the Office’s internal control over compliance.
A deficiency in an entity’s internal control over compliance exists when the design or operation
of a control over compliance 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
over compliance 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 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 deficiencies, 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. However, we identified certain
deficiencies in internal control over compliance that we considered to be a significant deficiency
as described in the accompanying schedule of findings as finding 11-1. A significant deficiency
in an entity’s internal control over compliance is a deficiency, or a 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.
The Office’s responses to the findings identified in our examination are described in the
accompanying schedule of findings. We did not examine the Office’s response and, accordingly,
we express no opinion on the response.
6
Supplementarv 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 add itional analysis. We have applied certain limited
procedures as prescribed by the Audit Guide as adopted by the Auditor General to the 20 I 0 and
20 II Supplementary In formation for State Compli ance Purposes, except for the Service Efforts
and Accomplishments on which we did not perform any procedures. However, we do not
express an opinion on the supplementary in formation.
We have not applied procedures to the 2009 Supplementary Information for State Compli ance
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 pa1ties.
~~'Z~
BRUCE L. BULLARD, CPA
Director of Financial and Compliance Audits
November 17,20 11
7
STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
SCHEDULE OF FINDINGS
For the Two Years Ended June 30, 2011
11-1. FINDING (Noncompliance with Legislative Commission Reorganization Act)
The Illinois Office of the Architect of the Capitol (Office) did not comply with provisions of the
Legislative Commission Reorganization Act (Act).
The Office has not prepared and implemented a long-range master plan of development for the State
Capitol Building and the remaining portion of the legislative complex addressing the improvement,
construction, historic preservation, restoration, maintenance, repair, and landscaping needs.
The Act (25 ILCS 130/8A-15(b)) requires the Architect of the Capitol to prepare and implement a
long-range master plan of development that addresses the improvement, construction, historic
preservation, restoration, maintenance, repair, and landscaping needs of the State Capitol Building
and legislative complex. The Architect of the Capitol is also required to submit the master plan to
the Capitol Historic Preservation Board for its review and comment.
Office management stated the Capital Development Board held the contract and appropriation for
the master plan until September 2011, so they were unable to take action during the examination
period.
Failure to prepare and implement a long-range master plan is noncompliance with State statute and
could result in unforeseen problems relating to the improvement, construction, historic preservation,
restoration, maintenance, repair, and landscaping needs of the State Capitol Building and the
legislative complex. (Finding Code No. 11-1, 09-2)
RECOMMENDATION
We recommend the Office take the appropriate actions to prepare and implement a long-range
master plan as required by State statute.
OFFICE RESPONSE
Although it is part of the Legislative Commission Reorganization Act that the Office of the
Architect shall prepare, or more realistically have prepared by others under our jurisdiction, a long
range master-plan of the Capitol Complex, the contract and funding source during the compliance
examination period ending June 30, 2011 was not held with this Office and the approval processes
do not lie solely with this Office but in cooperation with our Board and the Capital Development
Board (CDB). The role of the Office of the Architect is as a spearhead or facilitator, not the final
authority. The decision to move the master-plan project forward is also a multi-party decision,
made up of CDB, the Office of the Architect Board and this Office. Preparation and
implementation are also not necessarily a linear process as they can and do occur simultaneously as
situations warrant.
8
STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
PRIOR FINDING NOT REPEATED
For the Two Years Ended June 30, 2011
A. FINDING (Property control weaknesses)
During the prior examination period, the Office of the Architect of the Capitol (Office) did
not exercise adequate control over the recording and reporting of its State property.
During the current examination period, our sample testing showed the Office accurately
recorded and reported its State property. (Finding Code 09-1)
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SUPPLEMENTARY INFORMATION FOR STATE COMPLIANCE PURPOSES
SUMMARY
Supplementary Information for State Compliance Purposes presented in this section of the
report includes the following:
• Fiscal Schedules and Analysis:
Schedule of Appropriations, Expenditures and Lapsed Balances
Comparative Schedule of Net Appropriations, Expenditures and Lapsed Balances
Schedule of Changes in State Property
Analysis of Significant Variations in Expenditures
Analysis of Significant Lapse Period Spending
• Analysis of Operations:
Agency Functions and Planning Program
Average Number of Employees
Service Efforts and Accomplishments (Not Examined)
The accountants’ report that covers the Supplementary Information 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. However, the accountants do not express an opinion on the supplementary information.
10
Approximate
Appropriations Lapse Period Approximate Approximate
P.A. 96-0956, 96-0957 (Net After Expenditures Expenditures Total Balances
FISCAL YEAR 2011 Transfers) Through 6/30/11 7/01 - 8/31/11 Expenditures Lapsed
General Revenue Fund - 001
Personal Services $ - $ - $ - $ - $ -
State Contributions to Social Security - - - - -
Lump Sum: Operational Expenses 1,669,500 472,457 627,889 1,100,346 569,154
Total General Revenue Fund $ 1,669,500 $ 472,457 $ 627,889 $ 1,100,346 $ 569,154
Capital Development Fund - 141
Capitol Upgrades and Improvements $ 2,296,235 $ 772,087 $ - $ 772,087 $ 1,524,148
State Capitol Rehabilitation - 20 548,180 - - - 548,180
State Capitol Rehabilitation - 21 3,883 - - - 3,883
Total Capital Development Fund $ 2,848,298 $ 772,087 $ - $ 772,087 $ 2,076,211
Grand Total - All Funds $ 4,517,798 $ 1,244,544 $ 627,889 $ 1,872,433 $ 2,645,365
Note 1:
Note 2: Expenditure amounts are vouchers approved for payment by the Agency and submitted to the State Comptroller for payment to the vendor.
Note 3:
Appropriations, expenditures, and lapsed balances were obtained from State Comptroller records and have been reconciled to the Agency's records.
STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
SCHEDULE OF APPROPRIATIONS, EXPENDITURES AND LAPSED BALANCES
Appropriations for Fiscal Year 2011
Fourteen Months Ended August 31, 2011
Approximate lapse period expenditures do not include interest payments approved for payment by the Agency and submitted to the Comptroller for payment
after August.
11
Appropriations Lapse Period
P.A. 96-0035, 96-0039, 96-0042 (Net After Expenditures Expenditures Total Balances
FISCAL YEAR 2010 Transfers) Through 6/30/10 7/01-8/31/10 Expenditures Lapsed
General Revenue Fund - 001
Personal Services $ 345,000 $ 301,295 $ - $ 301,295 $ 43,705
State Contributions to Social Security 33,800 22,462 - 22,462 11,338
Lump Sum: Operational Expenses 1,110,700 86,139 839,860 925,999 184,701
Total General Revenue Fund $ 1,489,500 $ 409,896 $ 839,860 $ 1,249,756 $ 239,744
Capital Development Fund - 141
Capitol Upgrades and Improvements $ 2,000,000 $ - $ - $ - $ 2,000,000
State Capitol Rehabilitation - 20 548,180 - - - 548,180
State Capitol Rehabilitation - 21 3,883 - - - 3,883
Total Capital Development Fund $ 2,552,063 $ - $ - $ - $ 2,552,063
Grand Total - All Funds $ 4,041,563 $ 409,896 $ 839,860 $ 1,249,756 $ 2,791,807
Note 1: Appropriations, expenditures, and lapsed balances were obtained from State Comptroller records and have been reconciled to the Agency's records.
STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
SCHEDULE OF APPROPRIATIONS, EXPENDITURES AND LAPSED BALANCES
Appropriations for Fiscal Year 2010
Fourteen Months Ended August 31, 2010
12
2011 2010 2009
P.A. 96-0035
P.A. 96-0956 P.A. 96-0039
P.A. 96-0957 P.A. 96-0042 P.A. 95-0731
General Revenue Fund - 001
Appropriations (Net of Transfers) $ 1,669,500 $ 1,489,500 $ 1,546,695
Expenditures
Personal Services $ - $ 301,295 $ 193,506
Employee Retirement
Contributions Paid by Employer - - 7,749
State Contribution to State
Employees' Retirement System - - 40,776
State Contributions to Social Security - 22,462 14,456
Contractual Services - - 878,991
Travel - - 453
Commodities - - 1,324
Printing - - 9,032
Equipment - - 2,095
Electronic Data Processing - - 7,817
Telecommunications - - 5,101
Lump Sum: Operating Expenses 1,100,346 925,999 -
Total Expenditures $ 1,100,346 $ 1,249,756 $ 1,161,300
Lapsed Balances $ 569,154 $ 239,744 $ 385,395
Capital Development Fund - 141
Appropriations (Net of Transfers) $ 2,848,298 $ 2,552,063 $ 557,524
Expenditures
Capitol Improvements and Upgrades $ 772,087 $ - $ -
State Capitol Rehabilitation - 20 - - 5,462
State Capitol Rehabilitation - 21 - - -
Total Expenditures $ 772,087 $ - $ 5,462
Balances Reappropriated July 1 $ - $ - $ 552,062
Lapsed Balances $ 2,076,211 $ 2,552,063 $ -
Fiscal Year
OFFICE OF THE ARCHITECT OF THE CAPITOL
For the Fiscal Years Ended June 30,
STATE OF ILLINOIS
COMPARATIVE SCHEDULE OF NET APPROPRIATIONS, EXPENDITURES AND LAPSED BALANCES
13
2011 2010 2009
P.A. 96-0035
P.A. 96-0956 P.A. 96-0039
P.A. 96-0957 P.A. 96-0042 P.A. 95-0731
GRAND TOTAL - ALL FUNDS
Appropriations (Net of Transfers) $ 4,517,798 $ 4,041,563 $ 2,104,219
Total Expenditures $ 1,872,433 $ 1,249,756 $ 1,166,762
Balances Reappropriated July 1 $ - $ - $ 552,062
Lapsed Balances $ 2,645,365 $ 2,791,807 $ 385,395
Note 1: Fiscal Year 2011 expenditures and related lapsed balances do not reflect any interest payments approved for payment by the Agency
and submitted to the Comptroller for payment after August.
Fiscal Year
COMPARATIVE SCHEDULE OF NET APPROPRIATIONS, EXPENDITURES AND LAPSED BALANCES
STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
For the Fiscal Years Ended June 30,
14
Equipment
$ 139,720
Additions 1,341
Deletions (165)
Net Transfers -
$ 140,896
$ 140,896
Additions 12,831
Deletions (147)
Net Transfers -
$ 153,580
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 ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
SCHEDULE OF CHANGES IN STATE PROPERTY
For the Two Years Ended June 30, 2011
Balance at July 1, 2009
Balance at June 30, 2010
Balance at July 1, 2010
Balance at June 30, 2011
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STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
ANALYSIS OF SIGNIFICANT VARIATIONS IN EXPENDITURES
For the Two Years Ended June 30, 2011
ANALYSIS OF SIGNIFICANT VARIATIONS IN EXPENDITURES BETWEEN FISCAL
YEARS 2011 AND 2010
General Revenue Fund (001)
Personal Services and State Contributions to Social Security
The decrease in personal services and State contributions was due to the Office receiving a lump
sum appropriation for all General Revenue Fund expenditures in FY11.
Capitol Development Fund (141)
Capitol Upgrade and Improvements
The increase was due to expenditures related to the phase II upgrade of the State Capitol
Building’s west wing HVAC system.
ANALYSIS OF SIGNIFICANT VARIATIONS IN EXPENDITURES BETWEEN FISCAL
YEARS 2010 AND 2009
General Revenue Fund (001)
Personal Services and State Contributions to Social Security
The increase in personal service expenditures and State contributions were due to the hiring of
the new Architect in November 2009.
Contractual Services, State Contributions to SERS, and other line items
The decrease was due to the Office receiving a lump sum appropriation in FY10 for all items
except personal services and State contributions to Social Security.
Lump Sums – Operating Expenses
The increase was due to the Office receiving a lump sum appropriation in FY10 for the majority
of its line item expenditures.
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STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
ANALYSIS OF SIGNIFICANT LAPSE PERIOD SPENDING
For the Two Years Ended June 30, 2011
FISCAL YEAR 2011
General Revenue Fund (001)
Lump sum lapse expenditures, totaling $627,889, primarily consisted of payments for the
replacement of the air handling unit on the State Capitol building and payments made for work
completed on the ongoing State Capitol HVAC upgrade project. These projects were completed
late in the fiscal year and billed and paid during the lapse period.
Lump Sum: Operational Expenses
FISCAL YEAR 2010
General Revenue Fund (001)
Lump sum lapse expenditures, totaling $839,860, were primarily due to payments for restoration
of decorative paint finishes and marble and granite cleaning around the State Capitol Building,
and a comprehensive assessment of security measures in the Capitol Complex. These projects
were completed late in the fiscal year and billed and paid during the lapse period.
Lump Sum: Operational Expenses
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STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
ANALYSIS OF OPERATIONS
For the Two Years Ended June 30, 2011
FUNCTIONS AND PLANNING PROGRAM
The Office of the Architect of the Capitol (Office) was established by Public Act 93-0632 as the
successor agency to the Legislative Space Needs Commission (LSNC), effective February 1, 2004.
The Office is mandated by statute:
• To prepare and implement a long-range master plan of development for the State Capitol
Building and the remaining portions of the legislative complex that addresses the
improvement, construction, historic preserving, restoration, maintenance, repair and
landscaping needs of the State Capitol Building and remaining portions of the legislative
complex;
• To review, approve and monitor contracts for construction, preservation, restoration,
maintenance, repair and landscaping work in the legislative complex, and all other
activities that alter the historic integrity of the legislative complex;
• To make space allocations in facilities provided for use of the General Assembly and its
related agencies.
• To maintain an inventory and registry of all historic items in the legislative complex;
• To acquire land in the City of Springfield, within the area bounded by Washington, Third,
Cook, and Pasfield Streets for the purpose of providing space for operation and expansion
of the legislative complex or other State facilities; and
• To annually report to the Board of the Office of the Architect of the Capitol, the Capitol
Historic Preservation Board, and the appointing authorities of the Capitol Historic
Preservation Board.
The Office is subject to the Legislative Commission Reorganization Act of 1984 (Act) (25 ILCS
130/1-1 et seq.). The Joint Committee on Legislative Support Services is responsible for
establishing general policy and coordinating activities among the legislative support services
agencies, including the Office.
The Board of the Office of the Architect of the Capitol (Board) is composed of the Secretary of
the Senate, Assistant Secretary of the Senate, Clerk of the House of Representatives and Assistant
Clerk of the House of Representatives. The Secretary and Clerk of the House are the Co-Chairs of
the Board. The Board members do not receive any compensation and their term length is
indefinite.
The Capitol Historic Preservation Board was established to serve as an advisory body to the
Office. As of the end of the examination fieldwork, nine of the ten members have been appointed
while one position remains vacant. The Capitol Historic Preservation Board held no meetings in
FY10 or FY11.
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STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
ANALYSIS OF OPERATIONS
For the Two Years Ended June 30, 2011
The Board of the Office of the Architect of the Capitol Members
 Co-Chairman Jillayne Rock, Secretary of the Senate
Tim Mapes, Clerk of the House
 Members: Scott Kaiser, Assistant Secretary of the Senate
Bradley Bolin, Assistant Clerk of the House of Representatives
Planning Program
The Capitol Master Plan contract was executed by the Capitol Development Board (CDB) for a
complete assessment of the Stratton Building in conjunction with preparation of a comprehensive
long range plan for the entire Capitol Complex. The assessment of the Stratton Building has been
completed by the contractors and a draft report was submitted for review. The master planning
effort has concluded extensive data gathering phase and is currently 75% complete. The schedule
for completion of the final draft of the Capitol Master Plan is currently unknown pending
resolution between legislative and executive branches. Once complete, the Capitol Master Plan
will set long-term goals for the improvement, construction, capital repairs, and landscaping needs
within the Capitol complex.
The Board met periodically to consider proposed and ongoing projects.
The Office worked in conjunction with CDB to develop projects necessary to maintain the State
Buildings in the legislative complex. The planning process began with building surveys, architect
and engineer studies, facility analysis, and proposed costs. The Office and CDB scheduled
planning meetings and discussed bid proposals. The Office was required to approve all
construction contracts for the legislative complex.
Monitoring
The Architect of the Capitol and the Senior Project Manager routinely monitored the progress on
individual projects. The Office staff met regularly to review the status of the projects and to
approve work in process payments to the contractors. The projects were monitored from planning
to completion.
The Board held meetings on an intermittent basis to monitor the status of on-going projects and
review and approve contracts for new projects.
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STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
AVERAGE NUMBER OF EMPLOYEES
For the Years Ended June 30,
AVERAGE NUMBER OF EMPLOYEES
The following table, prepared from Agency records, presents the average number of employees,
by function, for the Fiscal Years ended June 30,
Position 2011 2010 2009
Architect of the Capitol 1 1 0
Acting Executive Director 0 0 1
Senior Project Manager 1 1 1
Administrative Assistant/Fiscal Officer 1 1 1
Total average full-time employees 3 3 3
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STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
SERVICE EFFORTS AND ACCOMPLISHMENTS (Not Examined)
For the Two Years Ended June 30, 2011
The Office of the Architect of the Capitol (Office) continues to oversee the improvements,
construction, historical preservation, restoration, maintenance, repairs and landscaping for the
Capitol Complex. The Office of the Architect of the Capitol reported the following
accomplishments during the examination period:
FY10
During FY10, the following projects were completed or continued:
• Capitol HVAC Upgrade efforts were continued by adding additional services to replace
antiquated and inefficient plumbing and electrical systems as well as architectural
restorations and improvements to many public areas of the building.
• Restoration of decorative paint finishes in the South Wing of the second floor and the
second floor elevator vestibules in the Capitol Building to restore interior finishes
throughout the Capitol to their historically documented detailing and colors.
• Restoration of decorative hinges throughout the Capitol Building.
• The Statues on the first and second floor in the rotunda and eight statues in the rotunda drum
were hand cleaned.
• Design efforts to improve and provide long term wear solutions to the northeast exterior
emergency egress stairs, and new doors were designed to fit in the current egress door
opening.
• North and South fountains in the East lawn were painted to protect existing finishes.
Fountain maintenance was also continued to remove leaves and other foreign debris at both
fountains.
• Stone floors and walls on the first, second, and third floor public areas of the Capitol
Building were stripped, honed, and polished.
• A security assessment and vulnerability study was completed on the Capitol Complex. The
report addressed: improving the safety and security of the Capitol Complex’s people,
operations and assets; ensuring the ability of the public to access functions of the
government openly and easily; controlling security-related costs in a sustainable manner
without increasing risk and; enhancing the overall security posture to create a best practices
model.
• The Office of the Architect worked with a structural engineer and several contractors in
order to strengthen the framed opening for the House and the Senate door chambers.
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STATE OF ILLINOIS
OFFICE OF THE ARCHITECT OF THE CAPITOL
SERVICE EFFORTS AND ACCOMPLISHMENTS (Not Examined)
For the Two Years Ended June 30, 2011
FY11
The Office completed several projects during FY11, including:
 Engineering design services to develop construction documents of work needed for the
renovation of the replacement of Air Handling Unit (AHU) Number 11.
 Installation of a new AHU and humidifier in the east attic of the State Capitol Building.
 Repair and maintenance of the avian waste, failing wall finish and insulation from the north
porch attic and reinstallation of the insulation and wall finish in the State Capitol Building.
 Asbestos abatement services in the east attic of the State Capitol Building associated with a
new HVAC unit.
 Engineering design services of the South Parking Lot and North Drive to the Capitol
Building to gather information regarding allowable changes.
 Design services for electric, data and communication upgrade on first floor, north/south
corridor and rotunda (center area) of the State Capitol Building.
 Design services for southeast exterior exit stairway and exit door improvements at the State
Capitol Building.
 Design services of an OSHA approved exterior support system for the Capitol Building to
be used by window washers and general maintenance crews.
 Restoration of hinges (large and small) and window pulley sets throughout the State Capitol
Building. This will be an ongoing project as hinges need replaced.
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