HomeResourcesUSAID ResourcesAn Analysis of Regulatory Compliance Recommendations

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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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

 

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

 

 

 

The recommendations are derived from audit reports of the Office of the Inspector General. The source refers to the audit report, which is available on this site as part of the Audit Database Project: an educational tool for compliance with USAID regulations.  Please see the disclaimer of this site before using recommendations.


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