An Audit Report on the Texas Board of Architectural Examiners: A Self-directed, Semi-independent Agency Page: 3 of 35
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An Audit Report on
The Texas Board of Architectural Examiners: A Self-directed, Semi-independent Agency
SAO Report No. 12-009
In addition, the Agency implemented policies and procedures in January 2011
regarding its fee-setting process as recommended in An Audit Report on the Texas
Board of Architectural Examiners: A Self-directed, Semi-independent Agency
(State Auditor's Office Report No. 10-003, September 2009). However, the Agency
has not fully documented policies and procedures related to its administrative
penalty assessment process as that audit report recommended.
The Agency reported inaccurate performance measure results in its reports to the
Legislature and the Office of the Governor in fiscal year 2010 for three of four
performance measures tested. Those measures were:
Number of Examination Candidates.
Number of Individual Licenses Renewed and Those Renewed Online.
Number of Complaints Resolved.
The Agency accurately reported performance measure results for the Number of
New Individual Licenses Issued. Auditors followed up on an additional performance
measure-Number of Individuals Examined-that the State Auditor's Office reported
as inaccurate in the September 2009 audit report. The Agency did not report
results for that performance measure in fiscal year 2010.
The Agency lacked adequate policies and procedures to ensure that it accurately
calculated and consistently reviewed and reported performance measures results.
In addition, the Agency had not implemented four of five recommendations related
to performance measures included in the September 2009 audit report. The
Agency had partially implemented one recommendation related to performance
measures.
Auditors communicated other, less significant issues to Agency management
separately in writing.
Summary of Management's Response
Agency management agreed with the recommendations in this report. The
Agency's detailed management responses are presented immediately following
each set of recommendations in the Detailed Results section of this report.
Summary of Information Technology Review
Auditors performed a limited review of general and application controls over the
information technology system that the Agency uses to track licensees' information
(TBAsE) and determined that the data in TBAsE was reliable, except for the closing
dates of enforcement investigation cases. Auditors tested controls over user
access, password configuration, change management, and edit checks and
determined that the TBAsE system contained adequately designed controls toii
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Texas. Office of the State Auditor. An Audit Report on the Texas Board of Architectural Examiners: A Self-directed, Semi-independent Agency, report, December 2011; Austin, Texas. (https://texashistory.unt.edu/ark:/67531/metapth517521/m1/3/: accessed August 15, 2024), University of North Texas Libraries, The Portal to Texas History, https://texashistory.unt.edu.; crediting UNT Libraries Government Documents Department.