Federal Information Security Modernization Act Audit for Fiscal Year 2022

Report Information

Issue Date
Report Number
22-01576-72
VISN
State
District
VA Office
Information and Technology (OIT)
Office of the Secretary (SVA)
Report Author
Office of Audits and Evaluations
Report Type
Audit
Report Topic
FISMA
Recommendations
26
Questioned Costs
$0
Better Use of Funds
$0
Congressionally Mandated
No

Summary

Summary
Each year agency program officials, chief information officers, and inspectors general must review their agencies’ information security programs and report to the Department of Homeland Security and Congress on the programs’ compliance with the Federal Information Security Modernization Act (FISMA). The OIG contracted with an independent public accounting firm CliftonLarsonAllen LLP (CLA) to evaluate VA’s information security program for FY 2022. After evaluating 47 major applications and general support systems hosted at 23 VA sites and on the VA Enterprise Cloud, CLA concluded that VA continues to face significant challenges meeting FISMA requirements. The audit found continuing significant deficiencies related to access, configuration management, and change management controls, as well as service continuity practices, all of which are designed to protect mission-critical systems from unauthorized access, alteration, or destruction. These deficiencies can be remedied by improving the deployment of security patches, system upgrades, and system configurations to mitigate significant security vulnerabilities; enforcing a consistent process across all field offices and improve performance monitoring to ensure controls operate as intended at all facilities and communicate identified security deficiencies to mitigate significant risks; and addressing security-related issues that contributed to the information technology material weakness reported in the FY 2022 audit of VA’s consolidated financial statements. VA concurred with CLA’s 26 recommendations, some of which addressed repeat deficiencies from previous FISMA reports spanning multiple years. CLA will follow up on the outstanding recommendations and evaluate the adequacy of corrective actions in the FY 2023 audit of VA’s information security program.

Open Recommendation Image, SquareOpenClosed and Implemented Recommendation Image, CheckmarkClosed-ImplementedNot Implemented Recommendation Image, X character'Closed-Not Implemented
No. 1
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology consistently implement an improved continuous monitoring program in accordance with the NIST Risk Management Framework. Specifically, implement an independent security control assessment process to evaluate the effectiveness of security controls prior to granting authorization decisions. (This is a repeat recommendation from prior years.)
No. 2
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology implement improved mechanisms to ensure system stewards and Information System Security Officers follow procedures for establishing, tracking, and updating Plans of Action and Milestones for all known risks and weaknesses including those identified during security control assessments. (This is a repeat recommendation from prior years.)
No. 3
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology implement controls to ensure that system stewards and responsible officials obtain appropriate documentation prior to closing Plans of Action and Milestones. (This is a repeat recommendation from prior years.)
No. 4
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology develop mechanisms to ensure system security plans reflect current operational environments, include an accurate status of the implementation of system security controls, and all applicable security controls are properly evaluated. (This is a repeat recommendation from prior years.)
No. 5
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology implement improved processes for reviewing and updating key security documents such as security plans, risk assessments, and interconnection agreements on an annual basis and ensure the information accurately reflects the current environment. (This is a repeat recommendation from prior years.)
No. 6
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology implement improved processes to ensure compliance with VA password policy and security standards on domain controls, operating systems, databases, applications, and network devices. (This is a repeat recommendation from prior years.)
No. 7
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology implement periodic reviews to minimize access by system users with incompatible roles, permissions in excess of required functional responsibilities, and unauthorized accounts. (This is a repeat recommendation from prior years.)
No. 8
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology enable system audit logs on all critical systems and platforms and conduct centralized reviews of security violations across the enterprise. (This is a repeat recommendation from prior years.)
No. 9
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Office of Personnel Security, Human Resources, and Contract Offices implement improved processes for establishing and maintaining accurate data within VA’s authoritative system of record for background investigations. (This is a modified repeat recommendation from prior years.)
No. 10
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Office of Personnel Security, Human Resources, and Contract Offices strengthen processes to ensure appropriate levels of background investigations are completed for applicable VA employees and contractors. (This is a modified repeat recommendation from prior years.)
No. 11
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology implement more effective automated mechanisms to continuously identify and remediate security deficiencies on VA’s network infrastructure, database platforms, and web application servers. (This is a repeat recommendation from prior years.)
No. 12
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology implement a more effective patch and vulnerability management program to address security deficiencies identified during our assessments of VA’s web applications, database platforms, network infrastructure, and workstations. (This is a repeat recommendation from prior years.)
No. 13
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology maintain a complete and accurate security baseline configuration for all platforms and ensure all baselines are appropriately monitored for compliance with established VA security standards. (This is a repeat recommendation from prior years.)
No. 14
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology implement improved network access controls that restrict medical devices from systems hosted on the general network. (This is a repeat recommendation from prior years.)
No. 15
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology consolidate the security responsibilities for networks not managed by the Office of Information and Technology, under a common control for each site and ensure vulnerabilities are remediated in a timely manner. (This is a repeat recommendation from prior years.)
No. 16
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology implement improved processes to ensure that all devices and platforms are evaluated using credentialed vulnerability assessments. (This is a repeat recommendation from prior years.)
No. 17
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Acting Assistant Secretary for Information and Technology implement improved procedures to enforce standardized system development and change control processes that integrates information security throughout the life cycle of each system. (This is a repeat recommendation from prior years.)
No. 18
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology review system boundaries, recovery priorities, system components, and system interdependencies and implement appropriate mechanisms to ensure that established system recovery objectives can be measured and met. (This is a modified repeat recommendation from prior years.)
No. 19
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology ensure that contingency plans for all systems are updated to include critical inventory components and are tested in accordance with VA requirements. (This is a repeat recommendation from prior years.)
No. 20
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology implement more effective agency-wide incident response procedures to ensure timely notification, reporting, updating, and resolution of computer security incidents in accordance with VA standards. (This is a repeat recommendation from prior years.)
No. 21
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology ensure that VA’s Cybersecurity Operations Center has full access to all security incident data to facilitate an agency-wide awareness of information security events. (This is a repeat recommendation from prior years.)
No. 22
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology implement improved safeguards to identify and prevent unauthorized vulnerability scans on VA networks. (This is a repeat recommendation from prior years.)
No. 23
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology implement improved measures to ensure that all security controls are assessed in accordance with VA policy and that identified issues or weaknesses are adequately documented and tracked within POA&Ms. (This is a repeat recommendation from prior years.)
No. 24
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology fully develop a comprehensive list of approved and unapproved software and implement continuous monitoring processes to prevent the use of prohibited software on agency devices. (This is a repeat recommendation from prior years.)
No. 25
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology develop a comprehensive inventory process to identify connected hardware, software, and firmware used to support VA programs and operations. (This is a repeat recommendation from prior years.)
No. 26
Open Recommendation Image, Square
to Information and Technology (OIT)
We recommended the Assistant Secretary for Information and Technology implement improved procedures for monitoring contractor-managed systems and services and ensure information security controls adequately protect VA sensitive systems and data. (This is a repeat recommendation from prior years.)