An Analysis of Regulatory Compliance Recommendations

The repository of recommendations for project compliance with USAID regulations is a practical tool to prepare Chiefs of Party, Program Managers, COTRs and others for OIG audits. Based on the number of general recommendations maintained by Developmentwork.Net, some interesting trends emerge.

Based on an analysis of 152 general recommendations that were derived from 67 OIG audit reports, the following graph shows that USAID regulations pertaining to "Monitoring and Evaluation" - ADS 203 - represent some 40% of general recommendations in the repository.

Other categories with a relatively high number of audit recommendations include "Awards and Contracts", "Branding and Outreach" and "Asset Management and Transfer".

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Anti-Corruption

Most Frequently Cited Regulations:

FAR 9 - Suspension and Debarment - FAR Clause 52.203–13 - FAR Subpart 9.5 Organizational and Con

USAID’s Handbook on Fighting Corruption

22 CFR 208

Contract Information Bulletin 99-17

Anti-Terrorism

Most Frequently Cited Regulations:

1	Assistance Policy Directive 04-14, Certification Regarding Terrorist Financing Implementing Executive Order 13224 , issued on September 24, 2004

Anti-Trafficking

Most Frequently Cited Regulations:

1	Foreign Assistance Act of 1961, Section 621A
2	22 U.S.C. 2381a
3	Public Law 110-457 - Section 106(g) of the Trafficking Victims Protection Act of 2000 (22 U.S.C. 7104)
4	The William Wilberforce Trafficking Victims Protection Reauthorization Act of 2008 (the Wilberforce Act)
5	FAR Clause 52.222-50

Asset Management and Transfer

Most Frequently Cited Regulations:

22 CFR 211 -22 CFR 226.34

Principle IV-2 of the Generally Accepted Commodity Accountability Principles - 22 CFR 211.10(a) - Principle II-3 of the Generally Accepted Commodity Accountability

Storage Conditions for Food Commodities Need Improvement - Generally Accepted Commodity Accountability Principles - 22 CFR 211.10(c) - 22 CFR 211.5(a)

ADS 596.3.1 - ADS 629.3.3.2 -ADS 324.5

USAID Acquisition Regulation (AIDAR) 752.245-71 - AIDAR 752.245-70

P.L. 480 Handbook

Section 611(e) of the Foreign Assistance Act of 1961

Generally Accepted Commodity Accountability Principles

USAID Commodity Reference Guide

GAO Standards for Internal Control in the Federal Government

Awards and Contracts

Most Frequently Cited Regulations:

1	22 CFR 208 -22 CFR 226
2	Department of State Standardized Regulations, General Provisions, Section 077.3, Granting Allowances and Difficult to Staff Incentive Differential on SF-1190 (Foreign Allowances Application
3	U.S. Global AIDS Coordinator (OGAC) Guidance July 2006
4	ADS 458 - ADS 303 - ADS 621- ADS 502 - ADS 202 - ADS 602 - ADS 302 - ADS Supplemental 317
5	GAO/AIMD-00-21.3.1 (11/99)
6	USAID Acquisition Regulation 742.15 (also known as 48 CFR 742.1502) - FAR 42.1502
7	FAR 9.1 - FAR 9.4 - FAR 4.8 - FAR Part 36, “Construction and Architect-Engineer Contracts”
16
17	Federal Acquisition Regulations 52.216-7 and 52.216-8 USAID Acquisition Regulation 752.7003 FAR Subpart 31.2-Contracts with Commercial Organizations
18	Federal Acquisition Regulation 16.505(a)(2) - supplemental policy to ADS 302, Indefinite Quantity Contract (IQC): Task Order Work Statement Development Checklist - Competition in Contracting Act
19
20	(FAR) 31.201-2(d)
21	USAID Acquisition Regulation (AIDAR) 752.7101, Voluntary Population Planning Activities
22	FAR 52.215-2, Audit and Records – Negotiation
23	ADS 310, Source, Origin, and Nationality of Commodities - the Foreign Assistance Act Section 604 - ADS 310.5.5
24	22 CFR Part 226, Administration of Assistance Awards to U.S. Non-Governmental Organizations, Section 226.25(c)(8)

Branding and Outreach

Most Frequently Cited Regulations:

1	Branding Requirements Were Not Followed - ADS 320, Branding and Marking - Section 641 of USAID’s framework legislation, the Foreign Assistance Act of 1961
2	Implementing Partner Need to Adhere to Branding and Marking Policy - ADS 320.3.1 - ADS 320.3.2.4
3	Adhering to Branding Requirements - ADS 320
4	USAID Branding and Marking Guidelines Were Not Followed
5	Partner Did Not Adhere to Branding Requirements - ADS 320
6	Branding Policy Not Enforced - Section 641 of the Foreign Assistance Act of 1961 - 22 U.S.C. 2401.
7	Obtain Commitment From Beneficiaries - USAID’s joint Strategic Plan, Fiscal Years 2007–2012 - ADS 596.3.1 - GAO Standards for Internal Control in the Federal Government2 GAO/AIMD-00-21.3.1 (11/99), page 15
8	USAID-Funded Publications Not Properly Marked - 22 CFR 226.91
9	Implementers’ Branding and Public Announcement Efforts Not Monitored - ADS 320.3.1 - ADS 320.2a(3)
10	Locations Lacked USAID Branding - Section 641 of USAID's framework legislation, the Foreign Assistance Act of 1961 - ADS 320, ?Branding and Marking
11	Items Funded by USAID Were Not Properly Marked - ADS 320.3.3
12	Effectiveness of USAID Branding Needs to Be Improved - section 641 of USAID’s framework legislation, the Foreign Assistance Act of 1961, codified as amended in 22 U.S.C. 2401 - ADS 320.3.4.5 - , 22 CFR 211.5(h)
13	Subcontractor Did Not Manage Beneficiary Expectations Effectively - USAID’s Nine Principles of Development and Reconstruction Assistance
14	Public Awareness of U.S. Efforts Needs To Be Improved - ADS 320 - Section 641 of USAID’s framework legislation - the Foreign Assistance Act of 1961, codified as amended in 22 U.S.C. 2401
15	Branding and Marking Plan Not Approved - ADS 320 - Section 641 of the Foreign Assistance Act of 1961 - 22 CFR 226.91
16	Locations Do Not Have Adequate Branding - ADS 320.3.2.4.a-b

Cash Disbursement

Most Frequently Cited Regulations:

1	Cash Disbursements Requirements - Title 22 of the Code of Federal Regulations, Section 226.21(b)(6)

Environmental Assessments

Most Frequently Cited Regulations:

1	Implementing Partner is Not In Compliance With Environmental Procedures - Code of Federal Regulations Title 22 Section 216, “Environmental Procedures - ADS 204
2	Environmental Expertise - ADS 204
3	Improve Environmental Monitoring Procedures and Practices - 22 CFR 216.3.a.8 - ADS 204.3.4.b
4	Incorporate Environmental Assessment Requirements in Solicitations and Awards - ADS 204.3.4.a.6 - ADS 303.3.6.3.e - ADS 204.3.8
5	Environmental Procedures - 22 CFR 216
6	Revisions to Environmental Assessments Delay Agreements - Section 117 of the Foreign Assistance Act of 1961, as amended and as reflected in ADS Chapter 204, Environmental Procedures - ADS 202
7	Environmental Procedures Not Followed - Title 22 of the Code of Federal Regulations, Part 216, “Environmental Procedures” Section 216.2(d)
8	Required Environmental Assessments Were Not Carried Out - Title 22 of the Code of Federal Regulations, Part 216, “Environmental Procedures.” Section 216.2(d)(1) - Section 216.2(d)(2)
9	Environmental Monitoring Was Not Conducted - 22 CFR 216, Environmental Procedures - ADS 204, Environmental Procedures - ADS 204.2.c
10	Awards Without Conducting Required Environmental Assessments - Foreign Assistance Act of 1961, as amended, Section 117 - 22 CFR 216 - ADS 201.3.11.2 - ADS 204.3.4

Financial Management and Budgets

Most Frequently Cited Regulations:

1	Ensure That Costs Are Appropriate - ADS 596.3.1 - 634.3.2
2	Financial Audits of Subrecipients Were Not Completed - ADS 591.3.2.1
3	Mission Could Not Determine Whether Food Storage and Distribution Costs Were Reasonable - ADS 596.3.1 - Food for Peace Act - Office of Management and Budget Circular A-122, “Cost Principles for Non-Profit Organizations,” Attachment A
4	Unreasonable Costs Charged to USAID - Office of Management and Budget Circular A-122
5	Contract Budgeting Did Not Align With Program Areas - ADS 200.3.2
6	Project Funding Was Not Authorized - Title 22 Code of Federal Regulations (CFR) Part 226, Administration of Assistance Awards to U.S. Non-Governmental Organizations, section 226.25, Revision of Budget and Program Plans - (ADS) 303.3.18(a) - ADS 601.3.1

Grants Management

Most Frequently Cited Regulations:

1	Grants With Special Conditions Were Not Monitored and Were Susceptible to Fraud - (22 CFR 226.14, “Special Award Conditions”) - ADS 303.3.9.2, “High Risk Recipients"

Host Country Requirements

Most Frequently Cited Regulations:

1	Develop Negotiation Points for Tax Exemptions for USAID-Funded Property - ADS 155.3.2
2	Program Lacked Approval as Required by Governmental Regulations

Monitoring and Evaluation

Most Frequently Cited Regulations:

1	Reported Results Were Not Verified – ADS 203.3.5.1. - ADS 202.3.6.
2	Partner Implementation Plans Lacked Vital Information – ADS 200.6
3	Lack of a Current Performance Management Plan (PMP) - ADS 203.3.3
4	Thorough Site Visits Were Not Conducted - ADS 202.3.4.6 - ADS 202.3.6
5	Data Quality Assessments Were Not Completed - ADS 203.3.5.2 - Performance and Results Act of 1993
6	Performance Management Plan Was Not Completed - ADS 203.3.3
7	Improve Data Quality and Program Monitoring - ADS 203.3.5.1 - ADS 203.3.5.3.b
8	Performance Management Plans Were Not Approved - ADS 203.3.3
9	Monitoring and Evaluation of Activities Was Weak - ADS 303.2(f) - ADS 203.3.5.2
10	Some Results Reported by Implementing Partners Were Unsupported or Inaccurate - ADS 203.3.5.1. - ADS 203.3.5.2 - ADS 203.3.2.2
11	Performance Targets Were Inconsistent - ADS 203.3.4.5 - ADS 203.3.2.2
12	Impact Indicators Not Tracked - ADS 203.3.4
13	Develop Indicators and Targets to Measure Progress and Achievement of Project Goals - Assistance Act of 1961, Section 621A, 22 U.S.C. 2381a - ADS 203.3.
14	Verify and document reported results periodically for PMP - (ADS) 203.3.4 - ADS 596, Management’s Responsibility for Internal Control
15	Performance Management Plan Needs to Be Improved - ADS 203.3.3 - ADS 203.3.4.6
16	Verify Reported Data - ADS 303.2
17	Management of Performance Data Needs to Be Improved - ADS 203.3.5.1
18	Performance Management Plan Was Not Updated ADS 203.3
19	Partners Set Unrealistic Targets for Development Programs - ADS 200.2 - ADS 203
20	Performance Targets Set Too Low - ADS 203.3.4.5
21	Too Much Credit Claimed for the Results Achieved - ADS 203.3.4.2
22	Improve Reporting on Activities - USAID’s guidance for the FY 2009 Performance Plan and Report (PPR)
23	Fiscal Year [...] Performance Management Plan Not Developed - ADS 203.3.3 - USAID’s Performance Management Toolkit
24	An Evaluation May Help Determine Program Impact - ADS 203.3.6
25	Reported Results Are Not Useful for Program Management - ADS 203.3.2.1.c - ADS 203.3.5.1 - ADS 203.3.5.2
26	Field Activities Do Not Correlate Well With Program Indicators - ADS 203.3.4.1 - ADS 203.3.4.2.e
27	Strengthen Data Reporting - ADS 203.3.5.1 - USAID’s Performance Management Toolkit
28	Data Collection and Reporting Did Not Always Yield Useful Information - ADS 203.
29	Program Targets Were Not Clearly Defined - ADS 203
30	Data Reported for a Key Indicator Were Not Consistent With the Indicator Definition - ADS 203
31	Some Reported Results Were Not Reliable - ADS 203
32	Impact Indicators Were Not Measured - ADS 203.3.2 - ADS 203.3.4.5
33	Data Quality Assessment Recommendations Were Not Fully Implemented - ADS 203.3.5.1
34	The Reliability of Performance Data Is Unknown - ADS 202.3.6 - USAID’s Performance Management Toolkit
35	Reporting on Key Indicators Needs to Be Improved - ADS 203.3.5.1
36	Performance Targets Were Not Disaggregated by Gender - ADS 200.5
37	Performance Indicators and Targets Are Inappropriate Measures of Program Progress - (ADS) 203.3.5.1 - ADS 203.3.4.5
38	TraiNet Reporting Not Accurate - ADS 253.3 - ADS 253.3.4.5 (b)
39	Inaccurate Performance Data Reported - ADS 203.3.2.1 - ADS 203.3.5.1 - Government Performance and Results Act of 1993
40	Late Submission of Performance Management Plan - ADS 203.3 - 203.3.3.1 - ADS 203.5.1
41	Some Main Indicators Were Not Included in Monitoring Plans - ADS 203.3.2 - ADS 203.3.8.3
42	Outdated Results - ADS 203.3.5.1
43	Missing Baselines, Targets, and Cumulative Results - ADS 203.3.4.5
44	Performance Measurements Did Not Reflect Project Impact - (ADS) 203.3.4
45	Did Not Conduct Data Quality Assessments for Key Data Reported to USAID Headquarters - ADS 203.3.5.2
46	Performance Management Plan Was Not Current, Not Realistic, Not Aligned With Implemented Projects, and Not Used - ADS 200.6 - ADS 203.3.3
47	Program Evaluation by Mission Was Not Shared With Contractor - ADS 203.3.6.7
48	Performance Results Were Not Measured, Reported, or Supported - (ADS) 203.3.5.1
49	Contractor Data Did Not Accurately Reflected Outreach Efforts - (ADS) Chapter 203 - section 203.3.5.2 - ADS 203.3.5.1
50	Program Did Not Conduct Required Gender Analysis
51	Coverage of Gender in HIV/AIDS Programming Left Gaps - The Lantos-Hyde Act
52	Partner Results Were Not Verifiable - ADS 203.3.5.1 - ADS 203.3.5.2
53	Program Targets Were Imprecise - ADS 203.3.4.5 - ADS 203.3.7.1
54	Targets for Key Interventions Were Not Sufficient to Track Progress - Automated Directives System 203.3.4.5
55	Program Performance Reporting Needs Improvement - Automated Directives System 203.3.2.
56	Monitoring and Evaluation Plan Was Not in Compliance With the Task Order
57	Unrealistic Annual Performance Targets - ADS 203.3.4.5
58	Inaccuracy of the Reported Performance Data - Automated Directives System (ADS) 203.3.5.1
59	Unrealistic Performance Targets - ADS 203.3.2.2.b
60	Reported Results Are Not Verifiable - Automated Directives System (ADS) 203.3.5.2
61	Tracked Too Many Indicators, Some Loosely Defined - ADS 200.6 - ADS 203.3.4.2 - ADS 203.3.3.1

Per Diem and Allowances

Most Frequently Cited Regulations:

1	Beneficiaries Received Incorrect Per Diem Payments - ADS 596.3.1 - ADS 596.3.2 - Government Accountability Office’s Standards for Internal Control in the Federal Government

Religious Organizations

Most Frequently Cited Regulations:

1	Building of Religious Structures - Title 22 of the Code of Federal Regulations, Section 205(d), “Participation by Religious Organizations in USAID Programs”

Training

Most Frequently Cited Regulations:

1	Participant Training Requirement Not In Place - ADS 253.3.1
2	Process for Evaluating Training Effectiveness is Inadequate - ADS 253.3 - ADS 203.3.2
3	Training Effectiveness is not Evaluated - ADS 253.3 - ADS 203.3.2

International Development and Programs (Development Work) - International Development and Programs (Development Work)