Dell Executive Briefing Center Discussion of Compliance Monitoring Information Security Considerations Presentation to the Texas Association of Community Colleges Chief Information Officers Dell Executive Briefing Center February 17, 2017

AbOUT COMPLIANCE MONITORING Compliance Monitoring was created by the 83RD Legislature; Texas Education Code Section 61.035 and Texas Administrative Code Rule 1.13…we schedule work at all types and sizes of institutions that receive formula funding or state student financial assistance Engagements assess if reported enrollment and courses were authentic and can be supported by: Official transcripts; Class Rosters Residency data; Student payment history Engagements verify if student financial assistance funds were awarded in compliance with laws and program eligibility & award requirements such as: Texas Residency; Satisfactory Academic Progress Enrollment hour requirements Fund award amounts & allocation/disbursement reconciliations

Information security provides the foundation for a Compliance monitoring assessment Why? Government Auditing Standards Information systems controls are often an integral part of an entity’s internal control. The effectiveness of significant internal controls is frequently dependent on the effectiveness of information systems controls. Thus, when obtaining an understanding of internal control significant to the audit objectives, auditors should also determine whether it is necessary to evaluate information systems controls.

TEXAS HIGHER EDUCATION COORDINATING BOARD INTERNAL AUDIT AND COMPLIANCE

Institutions with Reported Information Security Issues Information security issues, including: permissions not matching job responsibilities and a process needed to routinely review permissions Users no longer employed by the institution No audit log or ability to track changes made to key data elements Central Texas College Texas Southern University South Plains College Weatherford College Howard College Texas State Technical College Lamar State College Port Arthur Del Mar College Texas Southmost College Blinn College Grayson College

QUESTIONS/DISCUSSION?