1. 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

2. AbOUT COMPLIANCE MONITORING
Compliance Monitoring was created by the 83RD Legislature; Texas Education Code Section 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

3. 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.

4. TEXAS HIGHER EDUCATION COORDINATING BOARD INTERNAL AUDIT AND COMPLIANCE

5. 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

8. QUESTIONS/DISCUSSION?