Foreign Assistance: State Department Foreign Aid Information Systems Have Improved Change Management Practices but Do Not Follow Risk Management Best Practices
Highlights
In January 2006, the Secretary of State announced major changes in the U.S. government's process for directing and managing foreign assistance programs in a reorganization and revision of operational procedures commonly known as the F Process. These changes were intended to ensure the effective use of U.S. foreign assistance to meet broad U.S. foreign policy objectives and more fully align programs carried out by the Department of State and the U.S. Agency for International Development (USAID). To administer the F Process, the Secretary created the new Office of the Director of U.S. Foreign Assistance (State/F) with a Director of Foreign Assistance (DFA), who carries the rank of Deputy Secretary of State and also serves concurrently as USAID Administrator. To support State and USAID planning, budgeting, and reporting of foreign assistance under these reforms, State/F developed two new data information systems, the Foreign Assistance Coordination and Tracking System (FACTS) and FACTS Info. FACTS, which State/F began to develop in mid-2006, is a database used to collect foreign assistance planning and reporting data, including plans for implementing current-year appropriated budgets and performance planning and reporting data. FACTS Info, which State/F created in 2007, is a system used to aggregate, analyze, and report data on U.S. foreign assistance programs under the authority of the DFA. Although State and USAID are the only U.S. agencies currently using both systems, State/F expects the systems to eventually include data from other agencies involved in foreign assistance, including the Millennium Challenge Corporation and the Department of Treasury, among others. In connection with our ongoing work addressing the management of State/F and at Congressional request, we examined (1) the creation and development of FACTS and FACTS Info and (2) whether State/F is following best practices for configuration management--the process of establishing and maintaining control over changes made to a system--and risk management of FACTS and FACTS Info.
Recommendations
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| Department of State | To help ensure that FACTS II and FACTS Info are implemented successfully and perform as designed, the Secretary of State should direct the DFA to better utilize best practices for risk management procedures to both systems. In particular, the Secretary of State should direct the DFA to identify and develop a comprehensive list of system development risks for FACTS and FACTS Info. |
Closed – Implemented
We recommended that, to help ensure the Foreign Assistance Coordination and Tracking System II (FACTS II) and FACTS Info are implemented successfully and perform as designed, the Secretary of State direct the Director of Foreign Assistance (DFA) to better utilize best practices for risk management procedures to both systems. In particular, we recommended that the Director of Foreign Assistance (1) identify and develop a comprehensive list of system development risks for FACTS and FACTS Info. In December 2008, State issued a risk registry that includes 27 systems development risks for both FACTS and FACTS Info and a description of how State had either already addressed or planned to address the risks. Based on our review of the documents and actions taken by State since November 2008, we determined that State had taken appropriate steps to address this recommendation.
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| Department of State | To help ensure that FACTS II and FACTS Info are implemented successfully and perform as designed, the Secretary of State should direct the DFA to better utilize best practices for risk management procedures to both systems. In particular, the Secretary of State should direct the DFA to fully develop and implement formalized risk mitigation plans for FACTS and FACTS Info. |
Closed – Implemented
We recommended that, to help ensure Foreign Assistance Coordination and Tracking System II (FACTS II) and FACTS Info are implemented successfully and perform as designed, the Secretary of State direct the Director of Foreign Assistance (DFA) to better utilize best practices for risk management procedures to both systems. In particular, we recommended that the Director of Foreign Assistance fully develop risk mitigation plans for FACTS and FACTS Info. In April 2009, State approved a combined risk management plan for both FACTS and FACTS Info. Based on our review of the documents and actions taken by State since November 2008, we determined that State had taken appropriate steps to address this recommendation.
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