Security Assistance: Guidance Needed for Completing Required Impact Assessments Prior to Presidential Drawdowns
Highlights
What GAO Found
In fiscal years 2011 through 2015, the President authorized 13 drawdowns to provide security assistance and build foreign partner capacity to France, Iraq, Syria, Libya, Ukraine, and countries in West and Central Africa (see fig.). According to Department of Defense (DOD) and Department of State (State) data, the total value of articles and services authorized for these drawdowns was $321.5 million.
Authorized Recipients of Presidential Drawdowns, Fiscal Years 2011-2015
State and DOD implemented some, but not all, steps in their stated processes for planning and implementing drawdowns, but the military departments did not conduct required impact assessments. State implemented three steps in the process for which it was responsible, such as preparing justification packages for planned drawdowns. DOD implemented some parts of its stated process. For example, the Defense Security Cooperation Agency (DSCA), which is the lead DOD entity for drawdowns, worked with the military departments to identify resources for the drawdowns from fiscal years 2011 through 2015. However, the Army and Air Force—which together delivered about 96 percent of the dollar amount of drawdown aid during that time—did not conduct required impact assessments. Specifically, the two military departments had not assessed the potential impact of drawdowns on military readiness and budgets during drawdown planning, as required by DOD guidance. Neither of the military departments has assigned responsibility for conducting the assessments, and DSCA did not determine whether the assessments had been completed. Without these assessments, DOD is not in a position to identify and, if needed, mitigate potential negative impacts of a drawdown on military readiness.
Why GAO Did This Study
The President has special legal authorities that allow him to direct the “drawdown” of defense articles and services to provide assistance in response to an international crisis. Examples of this aid include deliveries of vehicles, food, and medical equipment, and the use of military airlift, among other articles and services. The President may authorize up to $325 million each year in drawdowns under three authorities in the Foreign Assistance Act.
A House Armed Services Committee report accompanying a bill for the National Defense Authorization Act for Fiscal Year 2016 included a provision for GAO to review drawdown authorities. This report (1) describes the use of drawdown authorities to provide security assistance and build partner capacity and (2) evaluates the extent to which State and DOD followed their stated processes for planning and implementing drawdowns. GAO reviewed guidance and documents relevant to drawdowns, analyzed drawdown data from fiscal years 2011 through 2015, and interviewed State and DOD officials.
Recommendations
GAO recommends that (1) the Secretaries of the military departments develop guidance that assigns responsibility for the preparation of impact assessments, and (2) the Director, DSCA, develop an internal control mechanism to determine whether the military departments have completed the required impact assessments before moving forward with drawdown planning and execution. DOD concurred with each of GAO's recommendations.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Department of Defense | To implement DOD guidance requiring the military departments to prepare readiness and Operation and Maintenance (O&M) budget impact assessments during drawdown planning, the Secretary of Defense should direct the Secretaries of the military departments to develop guidance that assigns responsibility for the preparation of impact assessments and includes direction on how such assessments should be conducted as part of drawdown planning. |
The Defense Security Cooperation Agency (DSCA) issued a memorandum on April 14, 2021, announcing the modification of Security Assistance Management Manual section C11.2, "Drawdowns," to provide amplifying guidance for required operational readiness impact assessments within the planning process and other administrative updates. Specifically, the updated manual calls for the military departments to prepare an operational readiness impact assessment and an operation and maintenance budget impact assessment based on interagency-proposed drawdown support and provide all data elements to the appropriate DSCA Country Portfolio Director. However, the military departments have not developed guidance that assigns responsibility for the preparation of impact assessments and includes direction on how such assessments should be conducted as part of drawdown planning, as called for in our recommendation. In July 2022, DOD reported to GAO that the military departments are expected to have developed the relevant guidance by December 31, 2023. According to DOD, the military services currently complete operational readiness impact statements prior to presidential drawdown sourcing. In addition, DOD has directed the services to assess the cumulative readiness impacts of all previous presidential drawdowns, which will be used a baseline when assessing the impacts of future drawdown packages.
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| Department of Defense | To implement DOD guidance requiring the military departments to prepare readiness and O&M budget impact assessments during drawdown planning, the Secretary of Defense should direct the Director, DSCA, to develop an internal control mechanism to determine whether the military departments have completed the required impact assessments before moving forward with drawdown planning and execution. |
The Defense Security Cooperation Agency (DSCA) issued a memorandum on April 14, 2021, announcing the modification of Security Assistance Management Manual (SAMM) section C11.2, "Drawdowns," to provide amplifying guidance for required operational readiness impact assessments within the planning process and other administrative updates. Specifically, the updated manual calls for the military departments to prepare an operational readiness impact assessment and an operation and maintenance (O&M) budget impact assessment based on interagency-proposed drawdown support and provide all data elements to the appropriate DSCA Country Portfolio Director (CPD). The DSCA CPD provides the required military department operational readiness assessments and O&M budget impact assessments to the Joint Staff and the interagency. The assessment information is considered when evaluating possible articles and services before the Presidential Determination package for the drawdown is finalized. DSCA CPD refers any interagency concerns regarding operational readiness impact to the Joint Staff to obtain a Secretary of Defense or the Deputy Secretary of Defense response (if required).
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