Texas State Library and Archives Commission
Audit Committee
October 27, 2016

Minutes

The Texas State Library and Archives Commission Audit Committee met on Thursday, October 27, 2016, at the Stephens Central Library, 333 West Beauregard Avenue, San Angelo, Texas.

Committee Present:

Wm. Scott McAfee, committee chair

Sharon T. Carr

 

Commissioners Present:

Michael C. Waters, commission chair

F. Lynwood Givens

Larry G. Holt

Martha Wong

 

Commissioners Absent:

Romanita Matta-Barrera

 

Staff Present:

Mark Smith, director and librarian

Donna Osborne, chief operations and fiscal officer

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

Tracy Kuhn Lash, executive assistant

Michael Ford, network operations coordiantor

Stephen Siwinski, communications offcer

Sarah Jacobson, manager, Records Management Assistance

 

Guests:

Joe Thrash, Office of the Attorney General

Alice McAfee, Office of the Attorney General

Rene E. Gonzalez, Garza/Gonzalez & Associates

Kimberly Lopez-Gonzales, Garza/Gonzalez & Associates

Jill Donegan, director, Tom Green County Library System

Maurice Fortin, Director of Libraries, Angelo State University

 

Commissioner McAfee called the meeting to order at 8:31 a.m. and welcomed everyone to the meeting.

  1. Annual review of the charter, activities, and organizational structure of the Audit Committee.

    Donna Osborne presented the charter, 2015 Audit Committee activities, and organizational structure of the Audit Committee. Mark Smith noted that the charter had been amended at the committee’s request to require quarterly review of management’s follow-up on audit findings and correction action plans. Commissioner Carr moved to approve the Audit Committee Charter. Commissioner McAfee seconded. Motion passed.
  2. Review and approve Internal Audit on Records Management Assistance Unit.

    Kimberly Lopez-Gonzales presented the internal audit on the Records Management Assistance Unit noting that no material instances of noncompliance were found but recommendations were made by auditors to strengthen compliance with state requirements and agency policies. Commissioner Carr moved to approve the audit. Commissioner McAfee seconded. Motion passed.

  3. Review and approve Internal Audit on Grants Management.

    Kimberly Lopez-Gonzales presented the internal audit on Grants Management and follow up on implementation status of findings from a 2015 Grants Management Audit noting that agency staff found an error during the auditing process involving reports to the federal government regarding Maintenance of Effort. After discussion, Commissioner Carr moved to approve the audit. Commissioner McAfee seconded. Motion passed.

  4. Review and approve Internal Audit Report for Fiscal Year 2016.

    Kimberley Lopez-Gonzales presented the Annual Internal Audit Report for Fiscal Year 2016 prepared by Garza/Gonzalez & Associates which included four internal audits and follow-up audits and reports. Mark Smith said that any partially-implemented actions or delays in implementation will continue to be monitored and quarterly reports given to the committee.

    Commissioner Carr moved adoption of the Internal Audit Report for Fiscal Year 2016. Commissioner McAfee seconded. Motion passed.

  5. Review and approve the Internal Audit Plan for Fiscal Year 2017.

    Kimberley Lopez-Gonzales presented the proposed plan for the agency’s Internal Audit Plan for FY 2017 and responded to questions from the commission. She said Garza/Gonzalez recommended the following areas to be audited:

    • Completion of the FY 2017 Risk Assessment and Preparation of the Internal Audit Plan
    • Sam  Houston Research Center Facilities Security and Cash Handling
    • Purchasing and HUB Compliance
    • Information Resources Technologies compliance with TAC 202
    • Grants Management
    • Follow-Up of Internal Audits Performed in Prior Years

    Commissioner Carr moved adoption of the Internal Audit Plan for Fiscal Year 2017. Commissioner McAfee seconded. Motion passed.

  6. Review the SORM Risk Management Program Review Report.

    Donna Osborne presented the results of a Risk Management Program Review conducted by the State Office of Risk Management and responded to questions from the committee. No action required.

    There being no further business before the committee, Commissioner McAfee adjourned the meeting at 9:29 a.m.

Page last modified: February 7, 2017