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Institution

Report

Release

Date

Recommendation

Responsible Staff

Date

Management’s

Actions to be

Implemented

Revised Date

Management’s

Actions to be

Implemented

# of Changes to

Date

Management's

Actions to be

Implemented

Initial Date of

Internal Audit

Follow-up

Most Recent

Date of Internal

Audit Follow-up

Status

TBR SWIA - Status Report on Internal Audit Recommendations- Community Colleges

(Reports sorted by Status, Institution, Report Release Date)

ChSCC 13-Jan-17 A self audit of employee keys should be completed by each campus department/division with the assistance of

the Plant Operations staff. The self-audit should include the following tasks:

o Comparison of hardcopy key agreements to the Keystone software database should be completed for

discrepancies noted during the department/divisional reviews.

o An amended Key Agreement form should be obtained for all employees that have keys issued to them as

necessary to update the key documentation file to match the Keystone database and the actual keys issued.

o Any terminated employees should be removed from the Keystone database and hardcopy documentation

should be filed in the terminated employee files. If outstanding keys are known, they should be collected from

the terminated employee if at all possible.

o Any temporary or adjunct employees on the Keystone employee key listing and their supervisor or

department head should be contacted to get their keys issued correctly through their departmental key

coordinator.

o Sub-Master, Master, and Grand Master key assignments should be reviewed by the appropriate Vice-

President or President to ensure that an employee's assigned duties still require this level of access.

Executive Management and

all their corresponding

mangers

31-Mar-17

31-Dec-17

2

11-May-17

13-Oct-17

In Progress

ChSCC 13-Jan-17 ChSCC Keys and Locking Systems policies and procedures should be updated to provide for exceptions such as

vendors noting the level of approval that must be obtained for an exception.

Executive VP Business and

Finance

31-Mar-17

31-Dec-17

3

5-May-17

12-Oct-17

In Progress

ClSCC 13-Feb-17 Clscc Building Access and Keys December2016

Management should update the key listing to show the current keys outstanding.

Assistant VP of Finance

30-Jun-17

31-Dec-17

2

26-Jul-17

22-Sep-17

In Progress

ClSCC 13-Feb-17 ClSCC Building Access and Keys December 2016

Management should issue the correct keys and collect the Grand Master key from the employee.

Assistant VP f Finance

30-Jun-17

31-Dec-17

2

26-Jul-17

22-Sep-17

In Progress

ClSCC 13-Feb-17 ClSCC Building Access and Keys December 2016.

HR should be given access to Keystone software for the purposes of removing keys from the Keystone software

for terminated employees only.

Assistant VP of Finance

3-Jul-17

31-Dec-17

2

26-Jul-17

22-Aug-17

In Progress

ClSCC 21-Jun-17 The Emergency Management Team review the plan and make the necessary changes to as required by TBR

Guideline B-100.

31-Dec-17

0

18-Aug-17

In Progress

CoSCC 19-Feb-16 All instances of the Banner "Tuition and Fees Waiver" should be reviewed to ensure that assessments of fees

and charges occur unless an exception is approved and documented.

Business Manager

1-Apr-16

1-May-17

2

9-Sep-16

19-Jul-17

In Progress

CoSCC 20-May-16 Workforce development could improve reporting accuracy by strengthening segregation of duties, and ensuring

data is independently reviewed and reconciled.

Executive Director, Workforce

Development

1-Jul-16

30-Jun-17

2

30-Aug-16

13-Jun-17

In Progress

JSCC

24-Oct-14 Emergency Preparedness Plan Audit - Observation 1 of 2: Employee Training

The JSCC Emergency Management Plan requires training in emergency procedures and for the proper use of

safety equipment. Several safety drills have been conducted and safety equipment is located campus wide in

designated locations. However, further training is needed in the proper use of the chair lifts, AEDs, and fire

extinguishers. Training should also include first aid procedures and building evacuation procedures.

Darron Billings, Director of

Environmental Health and

Safety/Chief of Police

8-May-15

31-Dec-17

1

30-Mar-17

In Progress

JSCC

24-Oct-14 JSCC - Emergency Preparedness Plan Audit - Observation 2 of 2: Annual Review and Update

According to TBR Guideline B-100 section III.17, the emergency preparedness plan should be reviewed and

updated on an annual basis. The last revision was July 01, 2011.

Darron Billings, Director of

Environmental Health and

Safety/Chief of Police

24-Oct-14

31-Dec-17

2

30-Mar-17

In Progress

JSCC

30-Oct-15 JSCC-Access and Diversity Recommendation 1 0f 4:

The institution should develop Access and Diversity goals for the overall program and ensure that funds are

spent according to established goals.

Director of Human Resources

1-Apr-16

2

24-Apr-17

21-Sep-17

In Progress

JSCC

30-Oct-15 JSCC-Access and Diversity Recommendation 2 of 4:

Scholarships awarded by the Access and Diversity Committee should be reconciled to expenditures.

Director of Human Resources

1-May-16

0

24-Apr-17

11-Sep-17

In Progress

JSCC

30-Oct-15 JSCC - Access and Diversity Recommendation 3 of 4:

Scholarship applications should be maintained for a period of time as supporting documentation. A suggested

time for retention would be 5 years.

Dean of Students/Director of

Human Resources

1-May-16

0

24-Apr-17

11-Sep-17

In Progress

JSCC

30-Oct-15 JSCC-Access and Diversity Recommendation 4 of 4:

The TBR Office of Organizational Effectiveness and Strategic Initiatives should approve scholarship criteria,

salaries, and transfers.

Director of Human Resources

1-May-16

0

24-Apr-17

11-Sep-17

In Progress

5