Texas State Library and Archives Commission
Audit Committee
September 6, 2019


The Texas State Library and Archives Commission Audit Committee met on Friday, September 6, 2019, in the Lorenzo de Zavala State Archives and Library Building, 1201 Brazos Street, Austin, Texas.

Committee Present:

Lynwood Givens, Chair

Darryl Tocker

Arthur T. Mann, via teleconference

Commissioners Present:

Michael C. Waters, Commission Chairman

Commissioners Absent:

David Garza

Larry G. Holt

Martha Wong 

Staff Present:

Mark Smith, Director and Librarian

Donna Osborne, Chief Operations and Fiscal Officer

Sarah Swanson, General Counsel

Jelain Chubb, Director, Archives and Information Services

Craig Kelso, Director, State and Local Records Management

Michael Ford, Director, Information Technology Services

Tracy Kuhn Lash, Executive Assistant

Stacey Malek, Program Coordinator, LDN

Erica McCormick, Grants Coordinator, LDN


Daniel Graves, Weaver and Tidwell

  1. Welcome, introductions, and general announcements.

    Commissioner Givens called the meeting to order at 10:30 a.m. and welcomed everyone to the meeting. Sarah Swanson said because of technical difficulties Commissioner Mann was not able to join the meeting via videoconference so will not participate in the meeting except for information gathering under the provisions of the Open Meetings Act. Mark Smith noted that Ms. Swanson joined the agency September 1.
  2. Internal audit follow-up and reports.

    Daniel Graves presented Weaver and Tidwell’s internal audit follow-up report on audits outstanding from the agency’s previous internal auditor and responded to commissioners’ questions. Mr. Graves said there were 23 open items from the previous audits with 10 items partially remediated and three items remaining open. Responding to a question from Commissioner Givens, Mr. Graves said that partially remediated and open items which are multi-year projects could be closed if staff prepared plans to address those issues and reported on progress in subsequent years. Commissioner Givens said this report is for information only and no committee action is required.
  3. Grants Management Report.

    Daniel Graves presented Weaver and Tidwell’s report on an audit of TSLAC’s grants management and responded to committee members’ questions. He said the audit scope looked at the whole grant cycle of the agency receiving funds from the federal government and disbursing those funds as a grantor to recipients throughout Texas. He said the audit found satisfactory results and identified areas to strengthen controls. Of the six findings, he said one remains open. Commissioner Givens suggested preparing a report for the top grants with information on how the money was used and highlights of the grants’ impacts to share with the commission. No action required.

    At this point in the meeting, Commissioner Givens closed the public meeting and at 11:30 a.m. called the committee into executive session to discuss certain confidential portions of the internal audit follow-up reports. At 12:04 p.m. Commissioner Givens returned to the public meeting and took up Agenda Item 4. He said no action was taken in the executive session.

  4. Audit Plan and risk assessment.

    Daniel Graves presented an internal audit plan for fiscal years 2020, 2021 and 2022 with recommendations for audits in the agency’s areas of highest risk. During discussion it was noted that at the August 2, 2019 commission meeting, the commission unanimously approved giving the Audit Committee authority to approve an audit plan for the upcoming fiscal year. Commissioner Tocker moved to approve the audit plan as presented for FY 2020 and seek confirmation for FY 2021 and 2022 from the full commission at the November 1, 2019 commission meeting. Commissioner Givens seconded. Motion passed.

  5. 2019 Internal audit report.

    Daniel Graves presented the 2019 Internal Audit Report. Commissioner Tocker moved to approve the report and Commissioner Givens seconded. Motion passed. Commissioner Givens said the committee will recommend the commission approve the report at the November 1, 2019 commission meeting. He complimented Mr. Graves on the internal audit report noting that it was thorough and well written. Mr. Graves thanked agency staff for putting in a great deal of work in a short timeframe and for staff cooperation. Commissioner Givens said the report was very good and asked Mark Smith to pass his compliments to the staff for their hard work.

    There being no further business before the committee, Commissioner Givens adjourned the meeting at 12:43 p.m.


Page last modified: April 30, 2020