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Audit Report 5-17: Audit of the SBA’s Continuity of Operations

Date Issued: 
Wednesday, March 30, 2005
Report Number: 

On March 30, 2005, the OIG issued Audit Report 5-17, Audit of the SBA’s Continuity of Operations.  The objectives of the audit were to determine whether the: (1) SBA was in a position to achieve a timely and orderly recovery from an emergency and resumption to full service, (2) SBA’s COOP and business Resumption Plans (BRP) were sufficient to aid the recovery officials through a step-by-step process that would result in a successful recovery, (3) contingency plans contain all the elements of a viable COOP capability, and (4) SBA’s Information Technology (IT) – System Disaster Recovery Plans (SDRP) were utilized and were adequate to aid in the restoration of SBA IT systems and the plans had been tested.  The OIG had three findings, including:  (1) the SBA’s COOP is not adequate to assure the recovery of essential agency functions, (2) the SBA’s COOP and BRPs were incomplete and could not assure the recovery of essential agency function, and (3) the SBA information technology system disaster recovery plans were not adequate to ensure the recovery of major systems.  The OIG issued 15 recommendations.  The SBA generally agreed with the findings and recommendations of this audit.