Finding 10270 (2023-002)

Significant Deficiency
Requirement
N
Questioned Costs
-
Year
2023
Accepted
2024-01-26

AI Summary

  • Core Issue: The College lacks a written comprehensive information security program as required by 16 CFR 314.4.
  • Impacted Requirements: Failure to comply with the Gramm-Leach-Bliley Act due to incomplete policies and procedures.
  • Recommended Follow-Up: Develop and implement a compliant information security program and establish controls to monitor Federal guideline changes.

Finding Text

Criteria: 16 CFR 314.4 requires an institution to develop, implement, and maintain a comprehensive information security program that is written in one or more readily accessible parts and contains administrative, technical, and physical safeguards that are appropriate for the institution’s size and complexity, the nature and scope of activities, and the sensitivity of any customer information at issue. The information security program shall include the elements set forth in §314.4 and shall be reasonably designed to achieve the objectives of this part. Condition/context: The College has not developed or implemented a written comprehensive information security program that addresses all elements as required by 16 CFR 314.4. Cause: The College did not fully develop, implement, or maintain policies in accordance with Federal deadlines. Effect: The College is not compliant with the Gramm-Leach-Bliley Act. Questioned costs: None. Identification as a repeat finding: No. Recommendation: The College should develop, implement, and maintain an information security program that addresses the requirements of the Gramm-Leach-Bliley Act, and the College should develop controls to monitor changes in Federal guidelines in order to update policies timely. Views of responsible officials: Management concurs with the finding. See Exhibit I for the corrective action plan.

Corrective Action Plan

Point of Contact In an email to President’s Cabinet on July 10th, 2023, Dr. Kim Kuster Dale designated Derek Robinson, Chief Information Officer for Western Wyoming Community College as the responsible party for GLBA, replacing the previous owner and coordinator: Financial Aid Director. Contact information: Derek Robinson Chief Information Officer Western Wyoming Community College cio@westernwyoming.edu 307-382-1896 Resource Requirements Correcting the audit findings identified in the 2022-2023 fiscal year audit requires participation from the Chief Information Officer, Vice President for Student Services, Associate Vice President of Finance, Dean of Students, Financial Aid Director, Associate Vice President of Human Resources, and Chief Academic Officer. The budget for any corrective actions and findings is yet unknown. The technical system requirements identified in the GLBA on June 9, 2023 (GENERAL-23-09), were underway and largely completed before the audit including the incorporation of the NIST 800-171 security standards. A draft of the Information Security Program also existed prior to June 30th, 2023. However, the College did not publish or complete the Information Security Program due to staff turnover. Planned Milestones The important milestones for this corrective action plan are aligned with the Information Security Program scope. Successful implementation of these categories and acceptance by the Program Coordinators indicates completion of the milestone. More detailed information about the goals and outcomes for each category can be found in the attached document. 1.Risk identification and assessment and current safeguards. 2.Risk assessment. 3.Information security controls. 4.Security awareness and training. 5.Incident response and data breach notification. 6.Vendor management. 7.Monitoring and auditing. 8.Program evaluation and improvement. 9.Sign the attestation form on the SAIG portal indicating that the College is now fully GLBA compliant. Scheduled Completion Date The Information Security Program will be developed and accepted by the end of December 2023, to be compliant with the requirements of the signature of attestation for the SAIG-FTI enrollment statement, and to be eligible to enroll in the data exchange for the processing systems for ISIR files. The ISIR files need to be processed in January, which require access to the SAIG portal, which requires signing a confirmation that the college meets all GLBA requirements. Status The following tasks and updates have been completed since the President designated the CIO as the responsible party: 1.July 2023 – Information Security Program draft created (attached to this email). 2.August 2023 – Reviewed the policy-defined membership list indicates many people that should not be on this team, and many people that should be on the team and are not included. Proposing new membership to members, then presenting to P&P committee for changes. 3.September 2023 – Goals for Information Security Program drafted. New GLBA requirements reviewed and included in draft Information Security Program. 4.October 2023 – CIO and Information Security Analyst identified and written several protocols to address some initial findings, including account termination procedures, use of AI and related technologies on campus, and authentication mechanisms. 5.November 2023 – Corrective Action Plan identified for previous year’s audit findings. Meeting dates set to finish the Information Security Program. Anticipated Completion Date: December 31, 2023 Contact Person: Derek Robinson, Chief Information Officer

Categories

No categories assigned yet.

Other Findings in this Audit

  • 10269 2023-001
    Significant Deficiency
  • 10271 2023-003
    Significant Deficiency
  • 10272 2023-004
    Significant Deficiency
  • 10273 2023-001
    Significant Deficiency
  • 10274 2023-001
    Significant Deficiency
  • 10275 2023-001
    Significant Deficiency
  • 10276 2023-002
    Significant Deficiency
  • 10277 2023-002
    Significant Deficiency
  • 10278 2023-002
    Significant Deficiency
  • 10279 2023-003
    Significant Deficiency
  • 10280 2023-003
    Significant Deficiency
  • 10281 2023-003
    Significant Deficiency
  • 10282 2023-004
    Significant Deficiency
  • 10283 2023-004
    Significant Deficiency
  • 10284 2023-004
    Significant Deficiency
  • 586711 2023-001
    Significant Deficiency
  • 586712 2023-002
    Significant Deficiency
  • 586713 2023-003
    Significant Deficiency
  • 586714 2023-004
    Significant Deficiency
  • 586715 2023-001
    Significant Deficiency
  • 586716 2023-001
    Significant Deficiency
  • 586717 2023-001
    Significant Deficiency
  • 586718 2023-002
    Significant Deficiency
  • 586719 2023-002
    Significant Deficiency
  • 586720 2023-002
    Significant Deficiency
  • 586721 2023-003
    Significant Deficiency
  • 586722 2023-003
    Significant Deficiency
  • 586723 2023-003
    Significant Deficiency
  • 586724 2023-004
    Significant Deficiency
  • 586725 2023-004
    Significant Deficiency
  • 586726 2023-004
    Significant Deficiency

Programs in Audit

ALN Program Name Expenditures
84.268 Federal Direct Student Loans $2.02M
84.063 Federal Pell Grant Program $1.85M
21.027 Coronavirus State and Local Fiscal Recovery Funds $621,500
84.334 Gaining Early Awareness and Readiness for Undergraduate Programs $544,389
84.425 Education Stabilization Fund $181,556
93.859 Biomedical Research and Research Training $170,466
84.048 Career and Technical Education -- Basic Grants to States $159,704
93.575 Child Care and Development Block Grant $141,824
84.007 Federal Supplemental Educational Opportunity Grants $26,100
84.033 Federal Work-Study Program $16,734
11.307 Economic Adjustment Assistance $9,388
47.076 Education and Human Resources $7,105
84.002 Adult Education - Basic Grants to States $2,446
45.129 Promotion of the Humanities_federal/state Partnership $876
81.089 Fossil Energy Research and Development $634