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Select Application Controls Review of the Federal Bureau of Prisons's Sentry Database System
Report No. 03-25
Office of the Inspector General
OMB Circular A-130, Appendix III, Section A 3.b.2 (d), requires that a contingency plan be established and periodically tested to perform the agency function supported by the application in the event of failure of its automated support.
GAO's FISCAM recommends the frequency of contingency plan testing should vary depending on the criticality of the entity's operations. Additionally, FISCAM states that generally, contingency plans should be fully tested about once every year or two, whenever significant changes to the plan have been made, or when significant turnover of key personnel has occurred. Industry best practices are more stringent and indicate that a new or revised contingency plan should be fully tested and implemented within 90 days of development.17
Although testing of contingency planning was not part of the FISCAM's application control testing that we performed,18 we noted during our review that SENTRY's contingency plan was last updated in September of 2002 but was not tested. Prior to the issuance of this report, we confirmed with the BOP that testing of the BOP's SENTRY contingency plan was performed on March 27, 2003, and the plan was in the review process. We suggest that BOP continue to test its contingency plan and update the plan as circumstances warrant.
We also contacted the JMD regarding this matter. JMD informed us that the Department's standards (Department of Justice Order 2640.2D) are currently being modified to reflect the industry best practice of the 90-day requirement for testing contingency plans. We agree with JMD in implementing this more stringent requirement.