Report Contents
What OIG Audited
To ensure the safety of mission personnel during political instability or other security threats, the Department of State (Department) may evacuate an embassy and establish remote operations in a new location. Often the newly established “remote mission” is co-located with an established embassy in another country, where its mission-essential functions can continue. Examples of such missions include the Yemen Affairs Unit (YAU), the Venezuela Affairs Unit (VAU), the Somalia Unit (SU), and the Libya External Office.
The Office of Inspector General (OIG) conducted this audit to determine whether the Department had instituted protocols to (1) inform the decision to establish a remote diplomatic mission, (2) identify and provide resources to support mission-essential functions, (3) guide daily operations, and (4) evaluate and mitigate risks associated with the execution of foreign assistance programs that are overseen remotely.
What OIG Recommends
OIG made 16 recommendations to the Department that are intended to address challenges impacting remote missions. On the basis of the Department’s responses and planned actions, OIG considers 2 recommendations closed and the remaining 14 recommendations resolved, pending further action. A synopsis of management’s comments and OIG’s reply follow each recommendation in the Audit Results section of this report. Responses received from the Department are reprinted in Appendices B through H.
What OIG Found
The Department has not instituted formal protocols and guidance to inform decisions regarding when and how remote missions should be established, or a methodology to identify and provide resources to support missionessential functions and guide daily operations. Instead, the Department has primarily relied on informal advice from Department personnel that have experience establishing and operating remote missions. According to Department officials, one reason formal protocols and guidance have not been established is because of the infrequency and temporary nature of remote missions. Consequently, there has not been a strong incentive to invest resources to establish and institute formal protocols and guidance for remote missions. However, it is important to consider that the Department currently has three remote missions operating worldwide: the VAU, which has been open for almost 2 years; the YAU, which has been open for more than 6 years; and the Libya External Office, which has been open for almost 7 years. Moreover, the Somalia Unit operated from U.S. Embassy Nairobi, Kenya, for more than 9 years before the Department reestablished a permanent diplomatic presence in Somalia. Some Department officials stated that they believe developing policies, as well as documenting best practices and lessons learned, would help inform how remote missions are established, how best to manage daily operations, and alleviate common challenges inherent to remote missions.
With respect to foreign assistance programs overseen remotely, OIG found that Department bureaus did not always increase risk ratings and develop corresponding mitigation strategies to reflect the changing operating environment. This occurred in part because there is no Department-wide policy requiring bureaus to consider elevating risk ratings in response to significant changes in the security environment such as when operations have been suspended. Until this deficiency is addressed, the Department will have limited assurance foreign assistance funds in countries facing volatile security challenges are positioned to achieve desired results and outcomes.
Report Terms
Report Recommendations
OIG recommends that the Under Secretary for Management, in coordination with the regional bureaus, develop and implement guidance to include criteria, standards, and other direction, as appropriate, for opening and closing those missions that may temporarily establish operations outside of their respective host countries. The guidance should include criteria and standards to inform when, where, and how such missions should be established.
OIG recommends that the Under Secretary for Management, in coordination with the regional bureaus, develop guidance requiring regional bureaus to implement a process to periodically reevaluate the status of those missions that have temporarily established operations outside of their respective host countries to determine whether those missions should continue to exist in their current form.
OIG recommends that the Under Secretary for Management, in coordination with the regional bureaus and the Office of the Legal Adviser, develop and implement guidance regarding the creation, content, and periodic reevaluation of memoranda of understanding to facilitate working relationships and resource sharing agreements between those missions that have temporarily established operations outside of their host countries and their respective host missions.
OIG recommends that the Under Secretary for Management, in coordination with the regional bureaus, develop and implement a template for the memoranda of understanding that can be used to facilitate working relationships and resource sharing agreements between those missions that have temporarily established operations outside of their host countries and their respective host missions.
OIG recommends that the Bureau of Budget and Planning, in coordination with the Office of Foreign Assistance and the regional bureaus, develop and implement guidance to ensure that those missions that have temporarily established operations outside of their respective host countries complete annual Mission Resource Requests that reflect both the ongoing operational needs in the host country as well as those of the remote mission.
OIG recommends that the Bureau of Overseas Buildings Operations develop and implement guidance for (a) shutting down embassy compounds and other facilities and (b) evaluating the feasibility of conducting routine maintenance and repairs following a suspension of operations.
OIG recommends that the Under Secretary for Management, in coordination with the Office of the Legal Adviser and the Bureau of the Comptroller and Global Financial Services, develop and implement guidance in the Foreign Affairs Handbook, 12 FAH-1 Addendum 2.1, for those missions that have temporarily established operations outside of their host countries to consult with the Office of the Legal Adviser, and Bureaus of the Comptroller and Global Financial Services and Overseas Buildings Operations for legal, financial, and operational information to determine retention or disposition of leased property.
OIG recommends that the Bureau of Administration, in coordination with the regional bureaus, establish and implement a process to (a) identify additional internal controls over the procurement of goods and services that can be used to improve oversight and accountability in those countries where there are no U.S. direct-hire staff to oversee the procurement process and (b) share them with those missions that temporarily establish operations outside of their respective host countries.
OIG recommends that the Bureau of Global Talent Management update the Foreign Affairs Manual to include provisions for locally employed staff to telework.
OIG recommends that the Yemen Affairs Unit provide Counterintelligence Awareness briefings in accordance with the Foreign Affairs Manual, 13 FAM 301.1-2, “Counterintelligence and Insider Threat Training,” to locally employed staff based in Yemen or seek a waiver from the Bureau of Diplomatic Security if it is not feasible to provide the briefings.
OIG recommends that the Yemen Affairs Unit provide Annual Cybersecurity Awareness for Users with Restricted Access briefings in accordance with the Foreign Affairs Handbook, 12 FAH-10 H-212, “Cybersecurity Awareness and Training Security Controls,” to locally employed staff based in Yemen or seek a waiver from the Bureau of Diplomatic Security if it is not feasible to provide the briefings.
OIG recommends that the Yemen Affairs Unit, in coordination with the Bureau of Administration, obtain guidance on and implement corrective actions for archiving relevant messages transmitted via locally employed staffs’ unofficial email accounts.
OIG recommends that the Bureau of Administration make records management training mandatory for all Department of State personnel who have responsibilities to create, manage, and preserve records that properly and adequately document the policies, decisions, and essential transactions of the Department of State, regardless of whether they have access to OpenNet.
OIG recommends that the Under Secretary for Management, in coordination with the regional bureaus, develop and implement guidance regarding the day-to-day operations of remote missions with a focus on those functions that may be impacted by operating remotely such as the provision of consular services, security operations, and managing diplomatic relations.
OIG recommends that the Under Secretary for Political Affairs, in coordination with the Bureaus of African Affairs, Western Hemisphere Affairs, and Near Eastern Affairs, develop and implement a process to collect, compile, and share best practices, lessons learned, and advice to inform the establishment and operations of future missions that have temporarily established operations outside of their respective host countries.
OIG recommends that the Bureau of Administration update the Federal Assistance Directive to require that risk assessments for foreign assistance awards be updated within 90 days of a significant change in security circumstances, such as a suspension of operations, in the country where the award is being implemented.