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Office of Inspector General Audits Division Oversight Plan for 2019

Summary

SBA Office of Inspector General 2019 Audits Division Oversight Plan, which sets out the OIG's audit and review priorities for 2019, focusing on programs and operations posing the highest risk to SBA. It notes that supplemental funding, new mandates, congressional requests, hotline complaints or SBA requests may require unplanned work and lead to deferring or modifying planned audits. Audits and reviews in progress include SBA's oversight of the SCORE Association and the All Small Business Mentor-Protégé Program, its suspension and debarment process, the Historically Underutilized Business Zones certification process, the Hurricane Florence disaster assistance response and the Office of Disaster Assistance desktop loss verification process.

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                    OFFICE OF INSPECTOR GENERAL- 2019 AUDITS DIVISION OVERSIGHT PLAN


This work plan outlines the U.S. Small Business Administration’s (SBA’s) Office of Inspector General (OIG) audit and review
priorities for 2019. In addition to our statutory mandates, we focus on those programs and operations that pose the highest
risk to SBA’s ability to achieve its strategic goals, objectives, and priorities; meet budgetary and financial commitments; and
comply with applicable laws, regulations, and guidance.

The plan reflects audits and reviews our office intends to focus resources on within the ensuing 12-month period.
Supplemental funding or new statutory mandates, congressional requests, hotline complaints, or SBA requests may require
unplanned audits or reviews that are not reflected in this plan. Such work, as well as resource constraints, may result in
deferring, canceling, or modifying planned audits and reviews. Our effectiveness depends on our flexibility to address other
priorities as they arise.

AUDITS AND REVIEWS IN PROGRESS
   • SBA’s Oversight of the SCORE Association
   • SBA’s Oversight of the All Small Business Mentor-Protégé Program
   • SBA’s Suspension and Debarment Process
   • SBA’s Historically Underutilized Business Zones Certification Process
   • Hurricane Florence Disaster Assistance Program Response
   • Office of Disaster Assistance Maximum Acceptable Fixed Debt
   • Office of Disaster Assistance Desktop Loss Verification Process
   • SBA’s Oversight of Loans Sold on the Secondary Market
   • SBA’s Oversight of High Risk Lenders
   • High Dollar/Early Defaulted Purchased 7(a) Loans
   • SBA’s Cloud Migration and Oversight

MANDATORY AUDITS AND REVIEWS
   • SBA’s FY 2019 FISMA Reporting Process
   • SBA’s FY 2019 Financial Statements Audit
   • SBA’s Progress in Meeting the DATA Act Requirements
   • Enterprisewide Review of SBA’s Compliance With 2018 Improper Payments Reporting Requirements
   • Reviews of SBA’s Controls Over Cash Gifts
   • Review of SBA’s Implementation of the Charge Card Prevention Act of 2012

OTHER AUDITS AND REVIEWS PLANNED
   • IT Project Investment Controls Over Certify.sba.gov
   • Women Business Centers’ Compliance With Grant Fund Matching Requirements
   • Small Business Development Center’s Compliance With Grant Requirements
   • SBA’s Arsenal Business and Technology Partnership’s Veterans Business Outreach Center
   • 8(a) Business Development Program Effectiveness
   • Mission Critical Occupations Skills Gap Assessment
   • SBA’s Community Advantage Pilot Loan Program
   • Required Borrower’s Equity Injection for SBA 7(a) Loans
   • SBA 7(a) Loans Made in States With Legalized Cannabis
   • Disaster Assistance Improper Payment Appeal Process
   • Disaster Assistance National Debt Resolution Centers
   • The New Disaster Credit Management System (DCMS 2.0)
   • CIGIE Crosscutting Initiative on Disaster Relief Assistance

Some of our most important work has come from tips received on our hotline. If there is any information that you think we
should know, particularly with regard to fraud, waste, abuse, or mismanagement at SBA or within its programs, we encourage
you to go to our website (https://www.sba.gov/oig/hotline) or call us at (800) 767-0385.

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