gao-Priority Open Recommendations - Small Business Administration-此为英文文档

ComptrollerGeneraloftheUnitedStates

441GSt.N.W.

Washington,DC20548

Page1GAO-24-107299SBAPriorityRecommendations

May31,2024

TheHonorableIsabelCasillasGuzmanAdministrator

U.S.SmallBusinessAdministration4093rdStreet,SW

Washington,D.C.20416

PriorityOpenRecommendations:SmallBusinessAdministration

DearAdministratorGuzman:

ThepurposeofthisletteristoprovideanupdateontheoverallstatusoftheSmallBusinessAdministration’s(SBA)implementationofGAO’srecommendationsandtocallyourcontinuedpersonalattentiontoareaswhereopenrecommendationsshouldbegivenhighpriority.

1

In

November2023,wereportedthat,onagovernment-widebasis,75percentofourrecommendationsmade4yearsagowereimplemented.

2

SBA’srecommendation

implementationratewas100percentforrecommendationsmade4yearsago.

3

AsofMay1,2024,SBAhad31openrecommendations.Fullyimplementingtheseopenrecommendationscouldsignificantlyimproveagencyoperations.

InourMay2023lettertoSBA,wenotedthat13oftheopenrecommendationswerepriority

recommendations.Sincethattime,SBAimplementedfourofthe13openpriorityrecommendations:

•InAugust2023,SBAfinalizedfraudriskstrategiesforthePaycheckProtectionProgramandtheEconomicInjuryDisasterLoanProgramthatidentifiedapproaches—suchastheuseofdataanalytics—toprevent,detect,andrespondtoinstancesofactiveandpotentialfraud.

ThisaddressedtwopriorityrecommendationsfromourMarch2021reportonthese

1PriorityrecommendationsarethosethatGAObelieveswarrantpriorityattentionfromheadsofkeydepartmentsoragencies.Theyarehighlightedbecause,uponimplementation,theymaysignificantlyimprovegovernmentoperations,forexample,byrealizinglargedollarsavings;eliminatingmismanagement,fraud,andabuse;ormakingprogress

towardaddressingahigh-riskorduplicationissue.

2GAO,PerformanceandAccountabilityReport:FiscalYear2023,

GAO-24-900483

(Washington,D.C.:Nov.15,2023).

3Inthelettersweissuedin2021,2022,and2023,wereportedSBA’simplementationratewas100percent.See

GAO,PriorityOpenRecommendations:SmallBusinessAdministration,

GAO-23-106377

(Washington,D.C.:May15,2023);PriorityOpenRecommendations:SmallBusinessAdministration,

GAO-22-105566

(Washington,D.C.:June3,2022);andPriorityOpenRecommendations:SmallBusinessAdministration,

GAO-21-503PR

(Washington,D.C.:

June2,2021).

Page2GAO-24-107299SBAPriorityRecommendations

programs.

4

TheseactionswillhelpSBAbetteridentifyandmanagefraudrisksandinformitsadministrationoffutureemergencylendingandgrantprograms.

•SBAconducteddataanalyticsfortheRestaurantRevitalizationFund(RRF)program(forinstance,cross-checkingRRFrecipientdataagainstdataforotherSBApandemicreliefprograms)toidentifypotentiallyfraudulentrecipients.SBAalsousedenforcementdata,includingfromtheDepartmentofJustice,onsuspectedfraudinotherSBAprograms,toidentifyandflagpotentiallyfraudulentRRFawards.TheseactionsaddressedtwoofthepriorityrecommendationsfromourJuly2022reportandalsowillhelpSBAbetteridentifyandmanagefraudrisks.

5

Weaskforyourcontinuedattentiontotheremainingninepriorityrecommendations.Weare

alsoaddingfournewpriorityrecommendations,whicharerelatedtopandemicresponse,

statutoryreportingrequirements,andveteran-ownedsmallbusinesses.Thisbringsthetotal

numberofpriorityrecommendationsto13.(SeetheEnclosureforthelistofrecommendations.)

The13priorityrecommendationsfallintothefollowingsixareas.

ImprovingoversightandcommunicationforCOVID-19pandemicresponse.SinceMarch2020,SBAhasprovidedbillionsofdollarsinloansandgrantsthroughprogramsdesignedtohelpbusinessesharmedbytheCOVID-19pandemic.OurworksinceJune2020hasidentifiedfraudschemes,improperpayments,andrisksinSBA’spandemicreliefprograms.

Weidentifiedfourpriorityrecommendationsinthisarea.First,werecommendedthatSBA

developacomprehensivestrategyforcommunicatingwithpotentialandactualprogram

applicantsintheeventofalarge-scaledisastersuchastheCOVID-19pandemic.Thiswouldhelpreduceapplicantconfusionanduncertaintyregarding,forexample,applicationprocessesandtimeframes.Second,werecommendedthatSBAdevelopandimplementaplanto

promptlyandconsistentlyrespondtopotentiallyfraudulentandineligibleRRFawardsandalignitseffortswithSBA’sOfficeofInspectorGeneral.ThiswouldhelpSBArecoverpotentially

millionsofdollars.Third,werecommendedthatSBAputmechanismsinplaceandusethemtofacilitatecross-programdataanalytics.ThiswouldhelpSBAstrategicallymanagefraudrisks.Fourth,werecommendedthatSBAidentifyandplantouseexternalsourcesofdatatohelp

verifyapplicantinformation.ThiswouldhelpSBAdetectpotentialfraudacrossprogramsandstrategicallymanagefraudrisks.

FullyimplementingtheserecommendationswouldimproveSBA’sabilitytosafeguardbillionsoftaxpayerdollars,provideassistancetobusinesses,andpreparetoimplementfutureemergencylendingorgrantprograms.

Enhancingdisasterrecoveryefforts.Disastersaffectnumerouscommunitiesandcause

billionsofdollarsofdamage.Somecommunities,suchaslow-incomeones,alsomayface

barriersinaccessingfederalrecoveryassistance.WeidentifiedthreepriorityrecommendationstoSBAinthisarea.First,werecommendedthatSBAdocumentrisksassociatedwithdisaster

4GAO,COVID-19:SustainedFederalActionIsCrucialasPandemicEntersItsSecondYear,

GAO-21-387

(Washington,D.C.:Mar.31,2021).

5GAO,RestaurantRevitalizationFund:OpportunitiesExisttoImproveOversight,

GAO-22-105442

(Washington,D.C.:July14,2022).

Page3GAO-24-107299SBAPriorityRecommendations

responseandplantomitigatetheserisks.ThiswouldhelpimproveSBA’sabilitytorespondtochallengesthatariseduringrecoveryoperations,suchasextendedpoweroutages.

Second,werecommendedthatSBAimplementaninteragencyplantoidentifyaccessbarriersordisparateoutcomesforaffectedcommunitiesandindividuals,includingforvulnerable

populationssuchaslow-incomehouseholds.Third,werecommendedthatSBAcoordinatewithotheragencies,suchastheFederalEmergencyManagementAgency,toestablishprocessesthataddressthebarriersanddisparateoutcomes.Thesetwoactionswouldhelptheagency

moreequitablyservedisastersurvivors.FullyimplementingthesethreerecommendationswouldimproveSBA’sabilitytoassistaffectedcommunities.

Improvingexportpromotionoperations.SmallbusinessesandexportsareimportantinsupportingU.S.economicgrowth.ThefederalgovernmentprovidesassistancetoU.S.

exporters,especiallysmallbusinesses,tohelpthemovercomechallengestosellinggoodsandservicesabroad.OurpriorityrecommendationinthisareacallsforSBAtoincreasethenumberofOfficeofInternationalTradefieldstaff,asrequiredbytheSmallBusinessJobsActof2010.FullyimplementingthisrecommendationwouldallowtheagencytomeettheAct’srequirementsandhelpitmoreeffectivelyassistsmallbusinessexporters.

Addressingcybersecuritychallenges.Thelargeamountofpersonallyidentifiableinformationfederalagenciescollectforgovernmentprogramsandtheincreasingsophisticationofthe

technologyusedtocollectithighlighttheimportanceofstrongprogramsforensuringprivacy

protections.OurpriorityrecommendationinthisareacallsforSBAtofullydefineanddocumentaprocessforensuringitsprivacyofficialisinvolvedinassessingandaddressingtheagency’shiring,training,andprofessionaldevelopmentneedsinrelationtoprivacyprotections.Fully

implementingthisrecommendationwouldhelpSBAmoreconsistentlyandeffectivelyimplementkeypracticesforitsprivacyprogram.

Meetingreportingrequirementsinamoretimelymanner.Annualreportingbyagenciesonfederalprogramscanhelpagenciesmeetstatutoryresponsibilitiesandinformcongressionaldecision-makingandoversight.Weidentifiedthreepriorityrecommendationsinthisarea.First,werecommendedthatSBAassessandaddressdelaysinannualreportingforthe8(a)

BusinessDevelopmentprogram.Second,werecommendedthatSBAimprovethetimelinessofitsannualreportstoCongressontheSmallBusinessInnovationResearchandSmallBusinessTechnologyTransferprograms.Third,werecommendedthatSBAestablishproceduresto

complywithannualreportingrequirementstoCongressontheneedsofveteran-ownedsmallbusinesses.Fullyimplementingthesethreerecommendationswouldallowtheagencytomeetitsstatutoryresponsibilitiesandprovidemoretimelyinformationthatwouldaidcongressionaloversightoftheprograms.

Supportingveteran-ownedsmallbusinesses.Veteranentrepreneurs—particularlythosewhorelocatedtoanewareaaftermilitaryservice—mayfacechallengesinaccessingcapitalfortheirventures,establishingcredit,anddevelopingbusinessrelationships.SBAisstatutorilyrequiredtogivespecialconsiderationtoveteransincarryingoutitslendingprograms.Ourpriority

recommendationinthisareacallsforSBAtodevelopandimplementmeasurestoensureitgivesspecialconsiderationtoveteransinitslendingprograms.Fullyimplementingthis

recommendationwouldhelpSBAbettermeettheneedsofveteran-ownedsmallbusinesses.

-----

AstheauditoroftheconsolidatedfinancialstatementsoftheU.S.government,IhavenoticedthattheSmallBusinessAdministrationwasunabletoreceiveanauditopiniononitsfiscalyears2020through2023financialstatements.SBA’sauditorreported

Page4GAO-24-107299SBAPriorityRecommendations

severalmaterialweaknessesininternalcontrolinfiscalyears2020through2023

relatedtoSBA’sCOVID-19reliefprograms.Theselimitationsontheauditopinionandunderlyinginternalcontrolweaknesses,aswellasrelatedauditorrecommendations,areimportantissuesandIencourageyoutoaddressthem.

InApril2023,weissuedourbiennialupdatetoour

High-RiskList.

Thislistidentifies

governmentoperationswithgreatervulnerabilitiestofraud,waste,abuse,and

mismanagement.Italsoidentifiestheneedfortransformationtoaddresseconomy,

efficiency,oreffectivenesschallenges.

6

Twoofourhigh-riskareas—emergency

loans

forsmallbusinesses

and

ensuringthecybersecurityofthe

nation—applydirectlyto

SBA.

Severalothergovernment-wide,high-riskareasalsohavedirectimplicationsforSBAandits

operations.Theseareasinclude(1)

improvingthemanagementofITacquisitionsand

operations,

(2)

strategichumancapitalmanagement,(

3)

managingfederalrealproperty,

and(4)

government-widepersonnelsecurityclearanceprocess.

InadditiontoSBA’shigh-riskareas,weurgeyourcontinuedattentiontotheothergovernment-wide,high-riskissuesastheyrelatetoSBA.Progressonhigh-riskissueshasbeenpossible

throughtheconcertedactionsandeffortsofCongress,theOfficeofManagementandBudget(OMB),andtheleadershipandstaffinagencies,includingwithinSBA.InMarch2022,we

issuedareportonkeypracticestosuccessfullyaddresshigh-riskareas,whichcanbeahelpfulresourceasyouragencycontinuestomakeprogresstoaddresshigh-riskissues.

7

WealsorecognizethekeyroleCongressplaysinprovidingoversightandmaintainingfocusonourrecommendationstoensuretheyareimplementedandproducetheirdesiredresults.

LegislationenactedinDecember2022includedaprovisionforGAOtoidentifyanyadditionalcongressionaloversightactionsthatcanhelpagenciesimplementpriorityrecommendationsandaddressanyunderlyingissuesrelatingtosuchimplementation.

8

Congresscanusevariousstrategiestoaddressourrecommendations,suchasincorporating

themintolegislation.Congresscanalsouseitsbudget,appropriations,andoversightprocessestoincentivizeexecutivebranchagenciestoactonourrecommendationsandmonitortheir

progress.Forexample,CongresscanholdhearingsfocusedonSBA’sprogressin

implementingGAO’spriorityrecommendations,withholdfundswhenappropriate,ortakeotheractionstoprovideincentivesforagenciestoact.Moreover,Congresscanfollowupduringtheappropriationsprocessandrequestperiodicupdates.

6GAO,High-RiskSeries:EffortsMadetoAchieveProgressNeedtoBeMaintainedandExpandedtoFullyAddressAllAreas,

GAO-23-106203

(Washington,D.C.:Apr.20,2023).

7GAO,High-RiskSeries:KeyPracticestoSuccessfullyAddressHigh-RiskAreasandRemoveThemfromtheList,

GAO-22-105184

(Washington,D.C.:Mar.3,2022).

8JamesM.InhofeNationalDefenseAuthorizationActforFiscalYear2023,Pub.L.No.117-263,§7211(a)(2),136Stat.2395,3668(2022);H.R.Rep.No.117-389(2022)(accompanyingLegislativeBranchAppropriationsAct,H.R.8237,117thCong.(2022)).

Page5GAO-24-107299SBAPriorityRecommendations

Congressalsoplaysakeyroleinaddressinganyunderlyingissuesrelatedtothe

implementationoftheserecommendations.Forexample,Congresscanpasslegislation

providinganagencyexplicitauthoritytoimplementarecommendationorrequiringanagencytotakecertainactionstoimplementarecommendation.

CopiesofthisreportarebeingsenttotheDirectorofOMBandtheappropriatecongressional

committees.Inaddition,thereportwillbeavailableontheGAOwebsiteat

PriorityOpen

RecommendationLetters|U.S.GAO.

IappreciateSBA’scontinuedcommitmenttotheseimportantissues.Ifyouhaveanyquestionsorwouldliketodiscussanyoftheissuesoutlinedinthisletter,pleasedonothesitatetocontactmeorDanielGarcia-Diaz,ManagingDirector,FinancialMarketsandCommunityInvestment,at(202)512-8678or

garciadiazd@.

ContactpointsforourOfficesofCongressional

RelationsandPublicAffairsmaybefoundonthelastpageofthisreport.Ourteamswill

continuetocoordinatewithyourstaffonall31openrecommendations,aswellasthose

additionalrecommendationsinthehigh-riskareasforwhichSBAhasaleadingrole.Thankyouforyourattentiontothesematters.

Sincerely,

GeneL.Dodaro

ComptrollerGeneraloftheUnitedStates

Enclosure

cc:TheHonorableShalandaYoung,Director,OfficeofManagementandBudgetArthurPlews,ChiefofStaff

DavidBrown,DirectorofPolicyandPlanning,OfficeoftheAdministrator

KateAaby,AssociateAdministratorandChiefFinancialOfficer,OfficeofPerformance,Planning,andtheChiefFinancialOfficer

DeborahChen,DeputyChiefFinancialOfficer,OfficeofPerformance,Planning,andtheChiefFinancialOfficer

AnnaCalcagno,Director,OfficeofStrategicManagementandEnterpriseIntegrity,OfficeofPerformance,Planning,andtheChiefFinancialOfficer

WalterB.Hill,Jr.,ChiefRiskOfficer,Director,OfficeofEnterpriseIntegrity,OfficeofStrategicManagementandEnterpriseIntegrity,OfficeofPerformance,Planning,andtheChiefFinancialOfficer

Page6GAO-24-107299SBAPriorityRecommendations

SteveKucharski,ActingChiefInformationOfficer,OfficeoftheChiefInformationOfficerKatieFrost,AssociateAdministrator,OfficeofCapitalAccess

FranciscoSanchezJr.,AssociateAdministrator,OfficeofDisasterRecoveryandResilience

DanielKrupnick,AssociateAdministrator,OfficeofInternationalTrade

JackieRobinson-Burnette,AssociateAdministrator,OfficeofGovernmentContractingandBusinessDevelopment

RichardVogler,GAOLiaison,OfficeofEnterpriseIntegrity,OfficeofStrategic

ManagementandEnterpriseIntegrity,OfficeofPerformance,Planning,andtheChiefFinancialOfficer

Page7GAO-24-107299SBAPriorityRecommendations

Enclosure

PriorityOpenRecommendationstotheSmallBusinessAdministration

ImprovingOversightandCommunicationforCOVID-19PandemicResponse

EconomicInjuryDisasterLoanProgram:AdditionalActionsNeededtoImproveCommunicationwithApplicantsandAddressFraudRisks.

GAO-21-589.

Washington,D.C.:July30,2021.

YearRecommendationMade:2021

Recommendation:TheAssociateAdministratoroftheSmallBusinessAdministration’s(SBA)OfficeofDisasterAssistanceshoulddevelopacomprehensivestrategyforcommunicatingwithpotentialandactualprogramapplicantsintheeventofadisaster.Suchastrategyshould

provideguidelinesforthetypesofinformationandtimingofinformationtobeprovidedto

programparticipantsthroughoutadisaster.Thetypesofinformationtobeaddressedinthestrategycouldincludeprocessingstepsandtimeframesapplicantsmightexperiencethroughdifferentstagesoftheloanprocess.

ActionsNeeded:SBAagreedwiththerecommendation.SBAofficialstoldusinFebruary2023theagencyhadstarteddevelopinganewdisasterloanapplicationportalthatwouldinclude

improvedmessagingfeatures,suchasimmediatestatusupdates.InMarch2024,SBAstatedthattheagencyanticipatedcompletingtheprojectbyfiscalyear2025.

Tofullyimplementthisrecommendation,SBAwouldhavetocompleteandlaunchtheportal

andprovidedocumentationofacomprehensivestrategyforcommunicatingwithpotentialandactualdisasterloanapplicants.Sucheffortstoenhancecommunicationwouldhelpreduce

applicantconfusion(forexample,aboutapplicationprocesses)andlessentheburdenonSBA’sresourcestoaddressthisconfusion.

ActingDirector:CourtneyLaFountain,FinancialMarketsandCommunityInvestmentContactInformation:

lafountainc@

or(202)512-8678

RestaurantRevitalizationFund:OpportunitiesExisttoImproveOversight.

GAO-22-105442.

Washington,D.C.:July14,2022.

YearRecommendationMade:2022

Recommendation:TheAssociateAdministratorfortheOfficeofCapitalAccessshoulddevelop

andimplementaplantorespondtopotentiallyfraudulentandineligibleRestaurant

RevitalizationFundawardsinapromptandconsistentmanner.Thisplanshouldinclude

coordinatingwiththeSBAOfficeofInspectorGeneral(OIG)toaligneffortstoaddressfraud.

ActionsNeeded:SBAdisagreedwiththisrecommendation.SBAindicatedthatitsplanned

effortsweresufficient.However,inApril2024,SBAstatedthatithadprioritizedreviewing

awardsflaggedforpotentialfraudandconductedinitialreviewsofallflaggedawardsforwhichrecipientssubmittedpost-awardreports.

Page8GAO-24-107299SBAPriorityRecommendations

Tofullyimplementthisrecommendation,SBAneedstodocumentitsplansandproceduresforprioritizingreviewsofflaggedawards.SBAalsowouldneedtodevelopproceduresforreferringsuspiciousactivitytoitsOIGinamannerthatisusefultotheOIG.DoingsowouldhelpSBAtorecoverfundsfrompotentiallyfraudulentorineligibleawardrecipientsinatimelymannerandhelpensuretheefficientuseofOIGresources.

PotentialFinancialBenefitIfImplemented:Millionsofdollars

ActingDirector:CourtneyLaFountain,FinancialMarketsandCommunityInvestmentContactInformation:

lafountainc@

or(202)512-8678

COVIDRelief:FraudSchemesandIndicatorsinSBAPandemicPrograms.

GAO-23-105331.

Washington,D.C.:May18,2023.

YearRecommendationsMade:2023

Recommendation:TheAdministratorofSBA,incoordinationwiththeFraudRiskManagementBoard,shouldensurethatSBAhasmechanismsinplaceandutilizesthemtofacilitatecross-programdataanalytics.

ActionsNeeded:SBAagreedwiththisrecommendation.SBAofficialstoldusinNovember

2023thattheyhadstartedacomprehensivereviewoffraudpreventionandmitigationtools,

activities,andanalytics.Thereviewincludedinformationoninternalandexternaldatausedforfraudmitigation,anyinternallydevelopedorexternallyprocuredtools,andanydata-drivenfraudcontrolsinplaceorplanned.Inaddition,accordingtoSBA,itsFraudRiskManagementBoard,inconjunctionwiththerelevantprogramoffices,plannedtodeveloppoliciesrelatedtocross-

programfrauddataanalytics.AsofFebruary2024,SBAwasdevelopingtheseefforts.

Tofullyimplementthisrecommendation,SBAwouldhavetoidentifymechanismsforcross-

programdataanalyticsandprogramsthatutilizethem.Implementingthisrecommendation

couldhelpSBAenhanceitsdataanalyticsandmorestrategicallymanagefraudrisksinongoingandfutureprograms.

Recommendation:TheAdministratorofSBA,incoordinationwiththeFraudRiskManagementBoard,shouldensurethatSBAhasidentifiedexternalsourcesofdatathatcanfacilitatethe

verificationofapplicantinformationandthedetectionofpotentialfraudacrossitsprograms.Itshouldthendevelopaplanforobtainingaccesstothosesources,whichmayinvolvepursuingstatutoryauthorityorenteringintodata-sharingagreementstoobtainsuchaccess.

ActionsNeeded:SBAagreedwiththisrecommendation.InNovember2023,SBAofficialstoldustheagencyhadprocuredthird-partyservicestohelpvalidatecustomeridentity.Theyalso

saidtheyhadengagedwithotherfederalagenciesondatasharingtoimproveSBA’sfraudrisk-

managementcapabilities.AsofFebruary2024,SBAwasidentifyingdatasourcesanddevelopingaplantoobtainaccesstoexternaldata.

Tofullyimplementthisrecommendation,SBAwouldhavetoidentifyexternaldatasourcesanddevelopaplanforobtainingaccesstothosesources.ImplementingthisrecommendationcouldhelpSBAenhanceitsdataanalyticsandmorestrategicallymanagefraudrisksinongoingandfutureprograms.

High-RiskArea:

EmergencyLoansforSmallBusinesses

Page9GAO-24-107299SBAPriorityRecommendations

ManagingDirector:JohanaAyers,ForensicAuditsandInvestigativeService

ContactInformation:

ayersj@

or(202)512-6722EnhancingDisasterRecoveryEfforts

SmallBusinessAdministration:DisasterLoanProcessingWasTimelier,butPlanning

ImprovementsandPilotProgramEvaluationNeeded.

GAO-20-168.

Washington,D.C.:February7,2020.

YearRecommendationMade:2020

Recommendation:TheAssociateAdministratorfortheOfficeofDisasterAssistanceshouldidentifyanddocumentrisksassociatedwithitsdisasterresponseandplanstomitigatetheserisksinitsdisasterplanningdocumentation.

ActionsNeeded:SBAagreedwiththerecommendation.InFebruary2024,SBAprovidedan

updatedDisasterPreparednessandRecoveryPlan,whichincludedanappendixthatpresentstheresultsofregionalriskassessmentsandidentifieshazardsmostlikelytoaffectSBAdisasterrecoveryoperations.

Tofullyimplementthisrecommendation,SBAwouldneedtoprovidedocumentationofeffortstoidentifyoperationalrisks(suchasthoserelatedtobusinesscontinuity,businessprocesses,

humancapital,andtechnology)andinformationonSBA’splanstomitigatetherisksitidentified.ImplementingthisrecommendationwouldhelpSBAbetterrespondtochallengesthatarise

duringitsdisasterresponseefforts.

ActingDirector:CourtneyLaFountain,FinancialMarketsandCommunityInvestmentContactInformation:

lafountainc@

or(202)512-8678

DisasterRecovery:AdditionalActionsNeededtoIdentifyandAddressPotentialRecoveryBarriers.

GAO-22-104039.

Washington,D.C.:December15,2021.

YearRecommendationsMade:2022

Recommendation:TheSBAAssociateAdministratoroftheOfficeofDisasterAssistance

should,incoordinationwiththeFederalEmergencyManagementAgency(FEMA)AdministratorandtheHousingandUrbanDevelopment(HUD)AssistantSecretaryforCommunityPlanningandDevelopment,develop,withinputfromkeyrecoverypartners,andimplementan

interagencyplantohelpensuretheavailabilityanduseofqualityinformationthatincludes(1)informationrequirements,(2)datasourcesandmethods,and(3)strategiesforovercoming

informationchallenges—tosupportfederalagenciesinvolvedindisasterrecoveryinidentifyingaccessbarriersordisparateoutcomes.

ActionsNeeded:SBAagreedwiththisrecommendation.SBAofficialstoldusinFebruary2024

thattheywereworkingwithFEMAandHUDtodevelopsuchaninteragencyplanandthatitshouldbecompletedbyJune2024.SBAofficialsalsonotedthattheywererenewing

interagencyagreementswithFEMAandHUDtocoordinatedatasharing.

Page10GAO-24-107299SBAPriorityRecommendations

Tofullyimplementthisrecommendation,SBA(withFEMAandHUD)wouldneedtoimplementtheinteragencyplan,whichincludesspecifyingthedataneeded,andsourcesandmethodsforobtainingthedata.ImplementingthisrecommendationwouldprovideSBA(andtheother

agencies)withmorecomprehensiveinformationtoidentifypotentialsocialandinstitutionalbarriersintheirprograms.

Recommendation:TheSBAAssociateAdministratoroftheOfficeofDisasterAssistanceshouldcoordinatewiththeFEMAAdministratorandtheHUDAssistantSecretaryfor

CommunityPlanningandDevelopmenttodesignandestablishroutineprocessestobeused

withinandacrossfederalrecoveryprogramstoaddressidentifiedaccessbarriersanddisparateoutcomesonanongoingbasis.

ActionsNeeded:SBAagreedwiththisrecommendation.SBAofficialstoldusinFebruary2024thattheywereworkingwithFEMAandHUDtodevelopsuchprocesses,whicharetobe

incorporatedinaforthcominginteragencyplan(describedabove).SBAofficialsalsotoldus

aboutotherstepstheytooktohelpaddressidentifiedaccessbarriersanddisparateoutcomes.Forexample,theysimplifiedtheprocessfordeclaringdisastersinruralcommunitiesundertheDisasterAssistanceforRuralCommunitiesActandestablishedPortableLoanOutreach

Centersthatcanbesetupinhard-to-reachareasoroneswithlimitedservices.

Tofullyimplementthisrecomme