Finding 2117 (2023-003)

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Requirement
N
Questioned Costs
-
Year
2023
Accepted
2023-11-19
Audit: 3665
Organization: Dallas Christian College (TX)
Auditor: Capincrouse LLP

AI Summary

  • Core Issue: The College is not fully compliant with the updated GLBA requirements, specifically lacking multi-factor authentication (MFA) for systems with personally identifiable information (PII).
  • Impacted Requirements: Failure to meet 16 CFR 314.4, which mandates security measures for protecting PII.
  • Recommended Follow-Up: Allocate resources to implement MFA and enhance vendor management documentation, ensuring compliance with GLBA.

Finding Text

Gramm-Leach-Bliley Act (GLBA) Compliance DEPARTMENT OF EDUCATION ALN #: 84.268, 84.063, 84.007, 84.033, and 84.379-Student Financial Assistance Cluster Federal Award Identification #: 2022-2023 Financial Aid Year Condition: The College did not sufficiently comply with the updated requirements of GLBA. Criteria: 16 CFR 314.4 Questioned Costs: $-0- Context: The College has not implemented multi-factor authentication (MFA) on all systems containing personally identifiable information (PII) and fully documented its vendor management program, including updates to the board on vendors that do not meet the College’s security requirements. Cause: The College has put forth significant effort to comply with the updated regulations. One system does not allow MFA natively, and the College is exploring options to improve its security related to this system. As part of this review, the College is working to vet all potential vendors related to this system's business functions and will be providing updates to the board. Effect: The College may have unintended exposure of student information to security risks. Identification as repeat finding, if applicable: Not applicable. Recommendation: We recommend the College allocate sufficient resources to address all requirements of GLBA. Views of Responsible Officials and Planned Corrective Action: Management agrees with the finding. See corrective action plan.

Corrective Action Plan

Gramm-Leach-Bliley Act (GLBA) Compliance Planned Corrective Action: We are working towards MFA with SIS (Anthology), as SIS does not currently have MFA in the built-in security. We are exploring a scope of work to move to MS SSO with Anthology Support. Our hope is to finish this by the 2nd Quarter 2024, or sooner. We are also evaluating other SIS systems and are evaluating whether those systems have SSO and MFA capabilities. Furthermore, we will review vendor contracts to include the required GLBA language and fully complete the Annual Vendor Review Checklist as specified in our Information Security Program and Incident Response Plan. We will provide an annual report to the Board of Trustees to include addressing service provider arrangements and any events or violations and management’s response to each one. We have had no breaches during the 2022-2023 and continue to monitor existing Microsoft platforms, AD Security groups, policies including MS 365 integrations, and Identity (formerly Azure) SSO integration with continual testing and reviews against potential threats. Future projects include potentially adding a Cyber security MDR on the endpoints of all DCC workstations and servers to close any gaps or potential areas of weakness, including Dark Web scans. Person Responsible for Corrective Action Plan: Stephen Cobb, Director of Technology and Christopher Winslow, VP of Finance and Operations Anticipated Date of Completion: June 2024

Categories

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Other Findings in this Audit

Programs in Audit

ALN Program Name Expenditures
84.268 Federal Direct Student Loans $1.59M
84.063 Federal Pell Grant Program $611,435
84.425 Covid-19 Education Stabilization Fund Heerf - Institutional Portion $25,523
84.033 Federal Work-Study Program $23,199
84.007 Federal Supplemental Educational Opportunity Grants $14,625
84.379 Teacher Education Assistance for College and Higher Education Grants (teach Grants) $3,772
84.425 Covid-19 Education Stabilization Fund Heerf - Strengthening Institutions $1,169