Texas State Library and Archives Commission
June 5, 2012
The Texas State Library and Archives Commission Audit Committee met on Tuesday, June 5, 2012, at the Lorenzo de Zavala State Archives and Library Building in Austin, Texas.
Sharon T. CarrLarry G. Holt
Michael C. Waters, chairman
Martha Doty Freeman
F. Lynwood Givens
Sandra J. Pickett
Wm. Scott McAfee
Peggy D. Rudd, director and librarian
Edward Seidenberg, assistant state librarian
Manuel Alvarez, director, Information Resources Technologies
Jelain Chubb, director, Archives and Information Services
Craig Kelso, director, State and Local Records Management
Deborah Littrell, director, Library Development and Networking
Ava Smith, director, Talking Book Program
Sarah Jacobson, manager, Records Management AssistanceTracy Kuhn Lash, executive assistant
Marty Parker, CliftonLarsenAllen, LLP
Commissioner Holt called the meeting to order at 9:00 a.m.
- Discussion of the risk assessment process for the FY 2013 Audit.
Edward Seidenberg and Marty Parker presented the agency’s risk assessment timeline and process for commission input. Commissioner Carr suggested that staff review the risk assigned to the State and Local Records Management Division. No action required.
- Review and approve agency’s fraud prevention program.
Edward Seidenberg and Marty Parker presented the agency’s fraud prevention program updated with suggestions provided by the commission at its April 17, 2012, meeting. Commissioner Carr moved to approve the plan. Commissioner Holt seconded. Motion passed.
- Review and approve the Follow-Up Internal Audit of the State Auditor’s Office Audit Report (of the Records Center Services) issued July 2010.
Craig Kelso and Marty Parker presented the Follow-Up Internal Audit of the July 2010 State Auditor’s Office Audit Report of Records Center Services which included three findings with 12 separate recommendations. This follow-up audit conducted by CliftonLarsonAllen found that the agency had fulfilled all 12 recommendations. Commissioner Carr moved to approve. Commissioner Holt seconded. Motion passed.
- Review and approve the Internal Audit of the Records Management Assistance unit of the State and Local Records Management Division.
Craig Kelso and Marty Parker presented results of the Internal Audit of the Records Management Assistance unit of the State and Local Records Management Division which found that the unit is managing the department’s policies and procedures appropriately, that the policies and procedures were found to be adequate and that the program is reporting performance measures accurately. During the audit, testing of the retention schedules database found a 10 percent error rate. As a result of these findings, the unit has included new procedures to conduct random samples to help ensure accuracy. Commissioner Carr moved to approve the audit. Commissioner Holt seconded. Motion passed.
- Review and approve the Internal Audit of the TAC 202 Compliance.
Manuel Alvarez and Marty Parker presented the findings of the annual Internal Audit of the TAC 202 Compliance conducted by CliftonLarsonAllen. Exceptions in Business Continuity Planning, Security Incident, User Security Practices and Removal of Data identified by the audit were corrected during the audit and that all prior year findings were fully corrected. Commissioner Carr moved to approve the audit. Commissioner Holt seconded. Motion passed.
- Information regarding the Audit of Subrecipient Monitoring of the BTOP grant.
Deborah Littrell informed the committee that the agency’s Broadband Technology Opportunities Program (BTOP) Public Computer Center (PCC) grant from the National Telecommunications and Information Administration (NTIA) of the U.S. Department of Commerce has been selected for an audit of sub-recipient monitoring. Ms. Littrell received notification on May 8, 2012, from the Office of Inspector General with a request to provide a number of documents which staff had already provided but no other instructions. The commission will be informed as monitoring activities develop. No action required.
Commissioner Holt adjourned the meeting at 9:49 a.m.
Peggy D. Rudd
Director and Librarian