Rule of Law Assistance: State and USAID Could Improve Monitoring Efforts
Fast Facts
Improving the rule of law in countries overseas helps to protect fundamental rights, acts as a foundation for democratic rule and economic growth, and combats crime and extremism. The State Department and the U.S. Agency for International Development allocated over $2.7 billion for rule of law assistance in the past 5 years.
Monitoring how this aid is managed is key to identifying potential issues with projects and knowing when to take corrective action. State and USAID have done so for many assistance projects, but they didn't always identify risks or assess monitoring reports.
We recommended that the agencies better monitor such projects.
Highlights
What GAO Found
The Department of State (State) Bureau of International Narcotics and Law Enforcement Affairs (State/INL) and the U.S. Agency for International Development (USAID) provided sufficient documentation for GAO to conclude that they followed most key practices for monitoring rule of law assistance for the awards we reviewed from selected countries. However, the agencies did not provide sufficient documentation demonstrating that they followed other key practices. Overall, State/INL followed these practices in most cases and USAID did so in almost all cases. Specifically, GAO's review of 19 State/INL and USAID projects found that USAID in all cases, and State/INL in most cases, followed key practices for planning a monitoring approach, such as developing project goals, objectives, and performance indicators. However, State/INL did not consistently demonstrate that project representatives included project goals and objectives in monitoring plans, and did not consistently identify risks in those plans (see fig.). Furthermore, neither agency could demonstrate that project representatives consistently assessed and approved monitoring reports from implementing partners. Following key monitoring practices helps to ensure that agencies stay well-informed of project performance and take corrective action when necessary, and that projects achieve their intended results. Without complete documentation, management cannot be sure that these practices are being followed.
State/INL and USAID Alignment with Key Practices for Monitoring Rule of Law Assistance
State and USAID have various processes to conduct, share, and use rule of law project evaluations to improve future efforts. Both agencies disseminate evaluations through online systems, briefings, and presentations, and have established approaches to track the implementation of evaluation recommendations, such as through spreadsheets or other documentation. The agencies use these evaluations in various ways to inform project design and strategic planning.
Why GAO Did This Study
Rule of law strengthens protection of fundamental rights and serves as a foundation for democratic governance and economic growth. According to State, strengthening judicial and legal systems in certain countries is vital to U.S. national security interests. State and USAID allocated over $2.7 billion for rule of law assistance overseas from fiscal years 2014 through 2018.
GAO was asked to review monitoring and evaluation of U.S. rule of law assistance around the world. This report examines, among other objectives, the extent to which the agencies followed key practices for monitoring rule of law projects in selected countries, and processes agencies have in place to use evaluations to inform future rule of law assistance. GAO analyzed relevant laws and agency policies and other documents, and interviewed officials in Washington, D.C., and four countries—Colombia, Kosovo, Liberia, and the Philippines—selected based on funding amounts and other factors.
Recommendations
GAO recommends that State/INL establish procedures to ensure project goals, objectives, and risks are identified in monitoring plans. GAO also recommends that State/INL establish and USAID enhance procedures to ensure project staff assess and approve monitoring reports. State and USAID concurred with GAO's recommendations.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Department of State | The Secretary of State should ensure that State/INL establishes procedures to ensure that monitoring officials for rule of law projects develop monitoring plans that identify project goals and objectives, and address risks. (Recommendation 1) |
In November 2020, GAO reported that the Department of State (State) is a primary funder of U.S. rule of law assistance. We also reported that managing rule of law assistance funds effectively requires reliable monitoring systems to assess and help improve program results and noted that we previously identified eight key practices for monitoring the performance of foreign assistance projects. We reported that State provided documentation for GAO to conclude that the agency followed most key practices for monitoring rule of law assistance for the awards we reviewed from four selected countries. However, State did not provide sufficient documentation demonstrating that the agency followed other key practices, including related to planning a monitoring approach. Consistently following key practices for planning a monitoring approach allows agencies to focus monitoring efforts on assessing outcomes through a project's life cycle and on those aspects of the project most likely to threaten its ability to meet goals. GAO recommended that State should ensure that State's Bureau of International Narcotics and Law Enforcement Affairs (INL) establishes procedures to ensure that monitoring officials for rule of law projects develop monitoring plans that identify project goals and objectives, and address risks. State concurred with the recommendation and described actions it plans to take to address them. In January 2021, State issued updated INL Monitoring Guidance that summarizes the Department's requirements for monitoring bureau-level results captured in the Foreign Affairs Manual (FAM) 18 FAM 300, and explains how INL will comply with them. The guidance states that in addition to complying with the Department's monitoring requirements, it also provides resources and tools to support good monitoring practices. For example, the guidance specifies that a monitoring plan should, among other things, detail an intervention's strategic goal, objectives, activities, and indicators; and include a risk analysis and mitigation plan, including various types of risk, their potential impact, and INL's plans to mitigate the highest risks. The guidance also contains annexes that provide additional resources and tools for monitoring INL's projects. For example, one annex contains detailed guidance for developing a monitoring plan, and two others contain a monitoring plan checklist and template. The guidance and annexes have been circulated and are officially established as procedures. They should enhance the ability of State/INL to ensure that monitoring officials for rule of law projects develop monitoring plans that identify project goals and objectives, and address risks.
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| Department of State | The Secretary of State should ensure that State/INL establishes procedures to ensure that monitoring officials for rule of law projects assess and approve monitoring reports from implementing partners. (Recommendation 2) |
In November 2020, GAO reported that the Department of State (State) is a primary funder of U.S. rule of law assistance intended to help countries establish their political and justice sectors and address such challenges as terrorism and transnational crime, among others. We also reported that managing rule of law assistance funds effectively requires reliable monitoring systems to assess and help improve program results and noted that we previously identified eight key practices for monitoring the performance of foreign assistance projects. We reported that State provided sufficient documentation for GAO to conclude that the agency followed most key practices for monitoring rule of law assistance for the awards we reviewed from four selected countries. However, State did not provide sufficient documentation demonstrating that the agency followed other key practices, including related to monitoring project implementation. In particular, State did not demonstrate that project representatives consistently assessed and approved monitoring reports from implementing partners. Consistently following key practices for project implementation ensures that monitoring staff stay well-informed of project performance and take corrective action when necessary, and that projects achieve their intended results. GAO recommended that State should ensure that State's Bureau of International Narcotics and Law Enforcement Affairs (INL) establishes procedures to ensure that monitoring officials for rule of law projects assess and approve monitoring reports from implementing partners. In its comments on our report, State concurred with the recommendation and described actions it planned to take to address it. In January 2021, State issued updated INL Monitoring Guidance that summarizes the Department's requirements for monitoring bureau-level results captured in the Foreign Affairs Manual (FAM) 18 FAM 300, and explains how INL will comply with them. The guidance specifies that good practices for monitoring should include INL staff review of periodic reports by implementers. In addition, an annex to the guidance outlines INL's revised monitoring roles and responsibilities, and details how designated program officers are expected to ensure that implementing partners collect baseline data, and analyze and provide feedback on the data in a timely fashion. According to agency officials, the guidance and annexes have been circulated and are officially established as procedures. This guidance and the related annexes should enhance the ability of State to ensure that monitoring officials for rule of law projects stay well-informed of project performance and take corrective action when necessary, so that projects achieve their intended results.
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| U.S. Agency for International Development | The USAID Administrator should enhance procedures to ensure that monitoring officials for rule of law projects assess and approve monitoring reports from implementing partners. (Recommendation 3) |
USAID concurred with this recommendation. In June 2021, USAID communicated to GAO its planned actions responsive to the recommendation. USAID stated that the agency had modified its guidance in its Automated Directives System to include a clear requirement that site visit reports must be uploaded into the Agency Secure Image and Storage Tracking system. In February 2022, USAID provided us with documentation showing the system updates to its Automated Directives System that allow for the assessment and approval of monitoring reports within the system. This guidance and system update should enhance the ability of USAID to ensure that monitoring officials for rule of law projects assess and approve monitoring reports from implementing partners.
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