An Information-Centric Perspective on Coherence Collaboration: Analyses of Uganda and Ecuador (Penn State)

Bureau of Population, Refugees, and Migration

Project Overview

Knowledge for scalable and effective coherence implementation requires metrics for monitoring and systematic analyses. Coherence frameworks have evolved from linear models to those embracing complexity, such as Connectedness, Early Recovery, Whole of Government and Resilience. These frameworks provide roadmaps for capturing anticipated benefits, including increased efficiency, reduced costs, improved outcomes for beneficiaries, greater involvement of national governments, and delivering on Sustainable Development Goals during protracted crises. Among these, the resilience framework has been embraced by humanitarian and development actors alike. Existing empirical research suggests coherence is fostered by coordination and decentralization, is a greater priority for donors and United Nations agencies as compared with non-governmental organizations, and varies across sectors. Further, in protracted crises, findings from empirical studies of coherence programs provide conflicting results, due in part to the differences in political, security and economic conditions across the examined countries. Implementing coherence requires overcoming both philosophical and practical challenges. Among the former, is the fear that collaboration will result in politicization of humanitarian activities and potentially a breach of humanitarian principles. The latter, practical challenges, are numerous. An analysis of over 30 coherence concept papers identified challenges or gaps in: (1) vision and strategy, (2) planning, (3) funding, (4) institutions, (5) geographic factors, (6) ownership, and (7) sequencing. Penn State’s research, funded by PRM, which includes strategic and operational level efforts, will account for funding, institutional and geographic gaps at the strategic level, and ownership and sequencing gaps at the operational level. It involves policy analyses and defining both strategic and operational metrics for coherence. The research has implications for both humanitarian policies and programs. Improved policy making will result from our linking national coherence policies and strategies to concrete metrics for coherence. Through comparative analyses across countries, the derived insights provide the basis for more impactful policies. Penn State intends to conduct its research in Uganda and Ecuador and expects to finish by the end of August, 2021.

Goals and Objectives

The project will conduct research to define strategic and operational coherence metrics that will enable the identification of new coherence opportunities and provide guidance for improved coherence efforts.

  • Generate insights from policy analyses;
  • Specify strategic coherence metrics;
  • Specify operational coherence metrics;
  • Generate tools for assessing and fostering coherence;
  • Generate impact through dissemination.

 

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    What GAO Found The number of serious accidents involving Army and Marine Corps tactical vehicles, such as tanks and trucks, and the number of resulting deaths, fluctuated from fiscal years 2010 through 2019 (see figure). Driver inattentiveness, lapses in supervision, and lack of training were among the most common causes of these accidents, according to GAO analysis of Army and Marine Corps data. Number of Army and Marine Corps Class A and B Tactical Vehicle Accidents and Resulting Military Deaths, Fiscal Years 2010 through 2019 Note: Class A and B accidents have the most serious injuries and financial costs. The Army and Marine Corps established practices to mitigate and prevent tactical vehicle accidents, but units did not consistently implement these practices. GAO found that issues affecting vehicle commanders and unit safety officers hindered Army and Marine Corps efforts to implement risk management practices. For example, the Army and Marine Corps had not clearly defined the roles or put procedures and mechanisms in place for first-line supervisors, such as vehicle commanders, to effectively perform their role. As a result, implementation of risk management practices, such as following speed limits and using seat belts, was ad hoc among units. The Army and Marine Corps provide training for drivers of tactical vehicles that can include formal instruction, unit licensing, and follow-on training, but their respective programs to build driver skills and experience had gaps. GAO found that factors, such as vehicle type and unit priorities, affected the amount of training that vehicle drivers received. Further, licensing classes were often condensed into shorter periods of time than planned with limited drive time, and unit training focused on other priorities rather than driving, according to the units that GAO interviewed. The Army and Marine Corps have taken steps to improve their driver training programs, but have not developed a well-defined process with performance criteria and measurable standards to train their tactical vehicle drivers from basic qualifications to proficiency in diverse driving conditions, such as driving at night or over varied terrain. Developing performance criteria and measurable standards for training would better assure that Army and Marine Corps drivers have the skills to operate tactical vehicles safely and effectively. Why GAO Did This Study Tactical vehicles are used to train military personnel and to achieve a variety of missions. Both the Army and Marine Corps have experienced tactical vehicle accidents that resulted in deaths of military personnel during non-combat scenarios. GAO was asked to review issues related to the Army's and Marine Corps' use of tactical vehicles. Among other things, this report examines (1) trends from fiscal years 2010 through 2019 in reported Army and Marine Corps tactical vehicle accidents, deaths, and reported causes; and evaluates the extent to which the Army and Marine Corps have (2) taken steps to mitigate and prevent accidents during tactical vehicle operations; and (3) provided personnel with training to build the skills and experience needed to drive tactical vehicles. GAO analyzed accident data from fiscal years 2010 through 2019 (the most recent full year of data at the time of analysis); reviewed documents; and interviewed officials from a non-generalizable sample of units and training ranges selected based on factors, such as locations where accidents occurred.
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  • Superfund: EPA Should Take Additional Actions to Manage Risks from Climate Change Effects
    In U.S GAO News
    What GAO Found In October 2019, GAO reported that available federal data on flooding, storm surge, wildfires, and sea level rise suggested that about 60 percent (945 of 1,571) of all nonfederal Superfund National Priorities List (NPL) sites—which have serious hazardous contamination--are located in areas that may be impacted by these potential climate change effects (see figure). In 2019, GAO released an interactive map and dataset, available with its report (GAO-20-73). Nonfederal NPL Sites Located in Areas That May Be Impacted by Flooding, Storm Surge, Wildfires, or Sea Level Rise, as of 2019 Notes: This map does not display all 1,571 active and deleted nonfederal NPL sites GAO analyzed in 2019, which also include six sites in American Samoa, the Federated States of Micronesia, Guam, the Northern Mariana Islands, and the U.S. Virgin Islands, though they are included in the counts above. Learn more at https://www.gao.gov/products/GAO-20-73. Storm surge data were not available for the West Coast and Pacific islands other than Hawaii, wildfire data were not available outside the contiguous United States, and sea level rise data were not available for Alaska. GAO also reported in 2019 that the Environmental Protection Agency's (EPA) actions to manage risks from climate change effects at these sites aligned with three of GAO's six essential elements of enterprise risk management, partially aligned with two, and did not align with one. For example, EPA had not aligned its process for managing risks with agency-wide goals. Without clarifying this linkage, EPA could not ensure that senior officials would take an active role in strategic planning and accountability for managing these risks. In 2019, GAO found that EPA recognized institutional, resource, and technical challenges in managing risks from climate change effects. For example, some EPA officials told us they do not have the direction they need to manage these risks. Insufficient or changing resources may also make it challenging for EPA to manage these risks, according to EPA documents and officials. Why GAO Did This Study Superfund is the principal federal program for addressing sites contaminated with hazardous substances. EPA administers the program and lists some of the most seriously contaminated sites—most of which are nonfederal—on the NPL. At those sites, EPA has recorded over 500 contaminants, including arsenic and lead. Climate change may make some natural disasters more frequent or more intense, which may damage NPL sites and potentially release contaminants, according to the Fourth National Climate Assessment. This testimony summarizes GAO's October 2019 report (GAO-20-73) on the impact of climate change on nonfederal NPL sites. Specifically, it discusses (1) what available federal data suggest about the number of nonfederal NPL sites that are located in areas that may be impacted by selected climate change effects; (2) the extent to which EPA has managed risks to human health and the environment from the potential impacts of climate change effects at nonfederal NPL sites; and (3) challenges EPA faces in managing these risks.
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  • Weapon Systems Cybersecurity: Guidance Would Help DOD Programs Better Communicate Requirements to Contractors
    In U.S GAO News
    Since GAO's 2018 report, the Department of Defense (DOD) has taken action to make its network of high-tech weapon systems less vulnerable to cyberattacks. DOD and military service officials highlighted areas of progress, including increased access to expertise, enhanced cyber testing, and additional guidance. For example, GAO found that selected acquisition programs have conducted, or planned to conduct, more cybersecurity testing during development than past acquisition programs. It is important that DOD sustain its efforts as it works to improve weapon systems cybersecurity. Contracting for cybersecurity requirements is key. DOD guidance states that these requirements should be treated like other types of system requirements and, more simply, “if it is not in the contract, do not expect to get it.” Specifically, cybersecurity requirements should be defined in acquisition program contracts, and criteria should be established for accepting or rejecting the work and for how the government will verify that requirements have been met. However, GAO found examples of program contracts omitting cybersecurity requirements, acceptance criteria, or verification processes. For example, GAO found that contracts for three of the five programs did not include any cybersecurity requirements when they were awarded. A senior DOD official said standardizing cybersecurity requirements is difficult and the department needs to better communicate cybersecurity requirements and systems engineering to the users that will decide whether or not a cybersecurity risk is acceptable. Incorporating Cybersecurity in Contracts DOD and the military services have developed a range of policy and guidance documents to improve weapon systems cybersecurity, but the guidance usually does not specifically address how acquisition programs should include cybersecurity requirements, acceptance criteria, and verification processes in contracts. Among the four military services GAO reviewed, only the Air Force has issued service-wide guidance that details how acquisition programs should define cybersecurity requirements and incorporate those requirements in contracts. The other services could benefit from a similar approach in developing their own guidance that helps ensure that DOD appropriately addresses cybersecurity requirements in contracts. DOD's network of sophisticated, expensive weapon systems must work when needed, without being incapacitated by cyberattacks. However, GAO reported in 2018 that DOD was routinely finding cyber vulnerabilities late in its development process. A Senate report accompanying the National Defense Authorization Act for Fiscal Year 2020 included a provision for GAO to review DOD's implementation of cybersecurity for weapon systems in development. GAO's report addresses (1) the extent to which DOD has made progress in implementing cybersecurity for weapon systems during development, and (2) the extent to which DOD and the military services have developed guidance for incorporating weapon systems cybersecurity requirements into contracts. GAO reviewed DOD and service guidance and policies related to cybersecurity for weapon systems in development, interviewed DOD and program officials, and reviewed supporting documentation for five acquisition programs. GAO also interviewed defense contractors about their experiences with weapon systems cybersecurity. GAO is recommending that the Army, Navy, and Marine Corps provide guidance on how programs should incorporate tailored cybersecurity requirements into contracts. DOD concurred with two recommendations, and stated that the third—to the Marine Corps—should be merged with the one to the Navy. DOD's response aligns with the intent of the recommendation. For more information, contact W. William Russell at (202) 512-4841 or russellw@gao.gov.
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  • Management Report: Preliminary Information on Potential Racial and Ethnic Disparities in the Receipt of Unemployment Insurance Benefits during the COVID-19 Pandemic
    In U.S GAO News
    What GAO Found As part of ongoing work on unemployment insurance (UI) benefits during the COVID-19 pandemic, GAO found potential racial and ethnic disparities in the receipt of UI benefits, including Pandemic Unemployment Assistance (PUA) benefits. Specifically, according to data from the U.S. Census Bureau's COVID-19 Household Pulse Survey, a higher percentage of White, non-Hispanic/Latino applicants received benefits from UI programs during the pandemic than certain other racial and ethnic groups. In addition, our preliminary analysis of data obtained from five selected states in our ongoing review of the PUA program—a temporary program providing benefits to individuals not otherwise eligible for UI—identified some racial and ethnic disparities in the receipt of PUA benefits. In two of the five states, for example, the percentage of White PUA claimants who received benefits in 2020 was considerably higher than the percentage of Black PUA claimants who received benefits that year (both groups consist of non-Hispanic/Latino claimants). This analysis of state-provided data is preliminary and we are continuing to examine these data, including their reliability and potential explanations for disparities. Various factors could explain the disparities we identified in our preliminary analyses, such as differences in UI eligibility that may be correlated with race and ethnicity. However, another potential explanation is that states could be approving or processing UI claims differently for applicants in different racial and ethnic groups. Why GAO Did This Study The UI system provides a vital safety net for individuals who become unemployed through no fault of their own, and this support is essential during widespread economic downturns. During the pandemic, the CARES Act supplemented the regular UI program by creating three federally funded temporary UI programs, including the PUA program, which expanded benefit eligibility and enhanced benefits. As part of our ongoing work on the various UI programs during the pandemic, we analyzed the extent to which there have been differences in the receipt of benefits by race and ethnicity. The purpose of this report is to inform DOL about potential racial and ethnic disparities in the receipt of UI benefits. According to DOL, ensuring equitable access to UI benefits is a top priority for the agency. We recognize that the complexity of these issues may take time to examine in depth. However, given that PUA and the other temporary UI programs are scheduled to expire in September 2021, we are sharing this preliminary information for DOL to consider in determining whether it needs to engage with states at this point to ensure equitable access to the UI system. For more information, contact Thomas M. Costa at (202) 512-7215 orcostat@gao.gov.
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  • Defense Real Property: DOD-Wide Strategy Needed to Address Control Issues and Improve Reliability of Records
    In U.S GAO News
    As required by the National Defense Authorization Act for Fiscal Year 2018, the Department of Defense (DOD) for fiscal year 2019 underwent a financial statement audit. In the military services' full financial statement audit reports for fiscal year 2019, the independent public accountants reported serious control issues related to events that occur during the life cycle of real property, consisting of adding, disposing, reconciling, valuing, and performing physical inventory counts. These control issues affect not only the reliability of financial statement reporting but also the quality of property record data that DOD officials need to make decisions for budget and mission planning, space management, and buying versus leasing options. Further, with DOD having almost half of the government's buildings, better data could help the federal government identify opportunities to dispose of unneeded buildings and reduce lease costs, thus potentially saving it millions of dollars. DOD has not yet developed a comprehensive, department-wide strategy—an element of leading practices for enterprise-wide real property management—to address the reported real property issues. Instead, each of the military services is independently developing corrective actions to address control issues, without applying common solutions among the services or department-wide. A department-wide strategy for remediating control issues would better position DOD to develop sustainable, routine processes that help ensure accurate real property records and, ultimately, auditable information for financial reporting for the department. Additionally, a DOD-wide strategy could help the military services more effectively and efficiently address reported control issues, particularly for those categorized as DOD-wide issues. The Acting Secretary, noting that the services had not accurately accounted for DOD's buildings and structures, required existence and completeness (E&C) verifications to be performed for all real property for fiscal year 2019. Given the lack of department-wide instructions for how to carry out the requirement, the military services independently developed approaches for performing the E&C verifications. Their approaches differed in both scope (what assets were verified) and methodology (how the assets were verified), including the extent to which instructions were written. Reporting and monitoring of the results by service and department-level management also differed. Without department-wide instructions for performing the fiscal year 2019 E&C verifications, the results were not comparable among the military services. Further, DOD and the military services did not obtain the complete and consistent information needed to create a DOD real property baseline or to help ensure that the department's real property records are reliable. DOD-wide instructions would help DOD obtain complete and comparable E&C verifications results, which would help DOD achieve an auditable real property baseline and, ultimately, its objective of an unmodified (“clean”) audit opinion. DOD manages one of the federal government's largest portfolios of real property. This engagement was initiated in connection with the statutory requirement for GAO to audit the U.S. government's consolidated financial statements. DOD's uncorrected deficiencies, including those affecting real property, prevent DOD from having auditable financial statements, one of the three major impediments preventing GAO from expressing an opinion on the accrual-based consolidated financial statements of the U.S. government. This report (1) identifies the real property control issues that independent public accountants reported that may affect the ability of the military services to establish and maintain accurate and complete real property records, (2) examines the extent to which DOD had a strategy to address the control issues, and (3) assesses the extent to which DOD provided guidance for the required E&C verifications during fiscal year 2019 and how each military service implemented the directive. GAO analyzed fiscal year 2019 audit findings, reviewed key DOD documents, and interviewed DOD and military service officials. GAO is recommending that DOD (1) develop and implement an enterprise-wide strategy to remediate real property control issues and (2) issue DOD-wide instructions for the E&C verifications. DOD concurred with GAO's recommendations. For more information, contact Kristen Kociolek at (202) 512-2989 or kociolekk@gao.gov.
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    Both the executive branch and congressional committees need evaluative information to help them make decisions about the programs they oversee—information that tells them whether, and why, a program is working well or not. The Government Performance and Results Act of 1993 (GPRA) and GPRA Modernization Act of 2010 (GPRAMA) established a framework for performance management and accountability within the federal government. Building on that foundation, Congress has since passed, among other laws, the Foundations for Evidence-Based Policymaking Act of 2018 (Evidence Act) to strengthen the evidence-building efforts of executive branch agencies. This product updates our previous glossary (GAO-11-646SP) to highlight different types of evaluations for answering questions about program performance, as well as relevant issues to ensure study quality. This glossary can help agency officials better understand fundamental concepts related to evaluation and enhance their evidence-building capacity. For more information, contact Lawrance Evans, Jr. at 202-512-2700 or EvansL@gao.gov.
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