Pre-Award Risk Management: USAID and IAF Missed Opportunities to Enhance Risk Management of Local Entities in Latin America and the Caribbean

Recommendation
1

We recommend that USAID's Deputy Administrator for Policy and Programming: Direct the Bureau for Latin America and the Caribbean to develop and implement an action plan to ensure missions' compliance with Automated Directives System Chapter 206 and 303 requirements for pre-award risk management procedures that includes steps to make sure (a) overseas leadership at posts designated as covered countries are aware of their responsibility to implement and document compliance with Automated Directives System Chapter 206, including the determination process (i.e., post advance review), and (b) all signed certification and assurance statements required by Automated Directives System Chapter 303 Section 3.8, "Pre-Award Certifications, Assurances, Representations, and Other Statements of the Recipient and Pre-Award Terms," are obtained for all assistance awards to local entities, as applicable.

Questioned Cost
0
Funds for Better Use
0
Recommendation
2

We recommend that USAID's Assistant Administrator for the Bureau for Management: Direct the Office of Acquisition and Assistance to incorporate reference to USAID's Risk Appetite Statement and enterprise risk management guidance, including the seven-step risk management process found in Automated Directives System 596, into the agency's pre-award risk management procedures in Automated Directives System Chapter 303.

Questioned Cost
0
Funds for Better Use
0
Recommendation
3

We recommend that USAID's Assistant Administrator for the Bureau for Management: Direct the Office of Management Policy, Budget, and Performance to review Automated Directives System Chapter 206 to capture organizational and technical updates and ensure it is accurate and in full compliance with Title 22 of the Code of Federal Regulations Part 140 and the most recent Presidential Determination on Major Drug Transit or Major Illicit Drug-Producing Countries memo, as applicable.

Questioned Cost
0
Funds for Better Use
0
Close Date
Recommendation
4

Interagency report USAID and IAF** Recommendation 4: We recommend that IAF's President and Chief Executive Officer: Develop and implement an enterprise risk management framework.

Questioned Cost
0
Funds for Better Use
0
Recommendation
5

Interagency report USAID and IAF** Recommendation 5: We recommend that IAF's President and Chief Executive Officer: Incorporate the enterprise risk management framework into IAF's pre-award risk management procedures.

Questioned Cost
0
Funds for Better Use
0
Recommendation
6

Interagency report USAID and IAF** Recommendation 6: We recommend that IAF's President and Chief Executive Officer: Develop and issue written guidance on drug-trafficking prohibition requirements in Section 487 of the Foreign Assistance Act and Title 22 of the Code of Federal Regulations Part 140.

Questioned Cost
0
Funds for Better Use
0
Close Date