Texas State Library and Archives Commission
Monday, June 8, 2009
Audit Committee Minutes
The Texas State Library and Archives Commission (TSLAC) Audit Committee met on Monday, June 8, 2009, at 11:00 a.m., at the State Records Center, 4400 Shoal Creek Boulevard in Austin, Texas.
Larry G. Holt
Sharon T. Carr
Martha Doty Freeman
Edward Seidenberg, assistant state librarian
Diana Houston, assistant director, Archives and Information Services
Ava Smith, director, Talking Book Program
Deborah Littrell, director, Library Development
Beverley Shirley, director, Library Resource Sharing
Jan Ferrari, director, State and Local Records Management
Manuel Alvarez, director, Information Resources Technologies
Karen Drabek, director, Administrative Services
Derick Hackett, communications officer
Vanessa Siordia, manager, Human Resources
Tracy Kuhn Lash, executive assistant
Dawn Vogler, manager, Continuing Education and Consulting
Jeremiah Barefield, coordinator, Support Services
Susan C. Van Hoozer, Clifton Gunderson, LLP
Gloria Meraz, Texas Library Association
A quorum being present, Chairman Waters convened the meeting at 11:00 a.m.
1. Review and approve the Internal Audit of the Talking Book Program.
Susan Van Hoozer presented the findings of the Internal Audit of the Talking Book Program. Overall, the audit found that the program has most of the necessary management controls in place to ensure that it operates in compliance with policies, rules and regulations. The audit found that the Talking Book Program processes patron applications in accordance with regulations and requirements, protects patron applications against unauthorized disclosure of personal information, performs suspensions and reinstatements in accordance with policies, procedures and state regulations and has processes and procedures in place to track volunteer usage.
The audit findings recommended the program add volunteers in the recording studio and Circulation facility and improve its outreach efforts to increase volunteers.
The audit found that the agency is not adequately documenting its efforts to obtain the necessary repairs to the Circulation facility and recommended maintaining documentation in the project to ensure that all identified problems are addressed, scheduled to be addressed, or if not, documenting the reasons the problems are not addressed and the potential impact of those decisions. Of primary concern, the audit found, is the Circulation facility's leaky roof. Without roof repairs, TSLAC risks damage to the estimated $13.3 million worth of federally owned materials housed in the facility.
The audit also recommended appointing a single person to coordinate the repair and maintenance project with the Texas Facilities Commission (TFC) and recommended that this person maintain contact with TFC at regular intervals, receive status reports, coordinate meetings and on-site work and communicate problems to TFC.
After discussion, Commissioner Waters requested the issue be placed regularly on the commission meeting agenda until resolved. Commissioner McAfee moved to accept the Internal Audit of the Talking Book Program. Commissioner Holt seconded. Motion passed.
2. Review and approve the Internal Audit of the Human Resources Function.
Susan Van Hoozer presented the findings of the Internal Audit of the Human Resources Function and responded to questions about the audit. Auditors found that the HR function has most of the necessary management controls in place to ensure that it operates in compliance with policies, rules and regulations. The audit also found that TSLAC documents disciplinary actions and related counseling and maintains employee records in accordance with best practices and the agency handbook and has employment, recruitment and selection processes that ensure compliance with federal and state regulations.
The audit found that TSLAC supervisors do not always complete employee performance appraisals in accordance with the employee handbook and best practices, but noted that TSLAC management has recently focused efforts on clearing the backlog of employee appraisals. Peggy Rudd informed the commission that agency management and supervisors have committed to clearing the performance appraisal backlog by June 30, 2009. Furthermore, TSLAC has appointed a cross-divisional employee task force to evaluate the process and forms used by the agency in the performance appraisal process.
After discussion, Commissioner McAfee moved to approve the audit. Commissioner Holt seconded. Motion passed.
Responding to a request from the committee, Edward Seidenberg will provide a summary of TSLAC's fiscal controls at the Aug. 3, 2009, meeting.
There being no further business before the Audit Committee, Chairman Waters adjourned the meeting at 11:53 a.m.
Peggy D. Rudd
Director and Librarian