Dodig-2014-005)

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For more information about whistleblower protection, please see the inside back cover. October 30, 2013 Finding Continued Objective humanitarian assistance projects we observed in accordance with the sustainment plan. This occurred because USAFRICOM and Our objective was to determine whether Combined CJTF-HOA officials did not develop implementation guidance on how Joint Task Force-Horn of Africa (CJTF-HOA) officials to build host nation capacity with an emphasis on knowledge and were adequately planning and executing civil-military skills transfer. operations (CMO) in accordance with U.S. Africa Command (USAFRICOM) objectives. We reviewed 49 Finally, CJTF-HOA officials are not required to conduct 1-year after of 137 humanitarian assistance and humanitarian and action reports for completed humanitarian and civic assistance civic assistance projects that were planned, ongoing, structure projects above $10,000. This occurred because the Under or completed fromFY 2010 through FY 2014 with an Secretary of Defense for Policy did not include a requirement in estimated value of$8.70 million. guidance to determine whether structures were sustained by the host nation and used as intended. Finding As a result, officials could not provide supporting documentation to CJTF-HOA officialsdid not adequately plan or execute verifywhether $228,971 was properly accounted forand there is a risk CMO in accordance with USAFRICOM objectives. that documentation for other projects was not maintained. In addition, Although CJTF-HOA officials identified how projects DoD lacks assurance that project structures are sustained. supported USAFRICOM objectives for 40 of the 49 projects, officials did not accurately identify how projects supported objectives for the remaining 9 Recommendations projects. This occurred because CMO officialsdid not Among other recommendations, we recommend that the Under effectively use the Overseas Humanitarian Assistance Secretary of Defense for Policy include a sustainment requirement for Shared Information System to identify how projects humanitarian and civic assistance structure projects. We recommend supported USAFRICOM objectives and were not that the Commander, USAFRICOM, and Commander, CJTF-HOA, revise required to receive training on strategic guidance. and issue standard operating procedures. We also recommend that the Commander, CJTF-HOA, conduct a reconciliation of funds for In addition, CJTF-HOA officials did not report actual humanitarian and civic assistance project expenditures and require cost data or could not provide all expenditure strategic guidance training. documentation for fourof six projects nonstatistically selected for funding review. This occurred because both USAFRICOM and CJTF-HOA officials did Managment Comments not develop adequate procedures to account for Comments from the Under Secretary of Defense for Policy were project costs. responsive. We received consolidated comments on the finding from the Acting Chief of Staff, U.S. Africa Command, but he did not respond Also, CJTF-HOA officials could not ensure the host to the recommendations. Therefore, we request comments to the nation would sustain one out of the four completed final report by November 29, 2013. Please see the Recommendations Table on the next page.

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RecŽŵŵĞŶĚĂƟŽŶƐ Table RecommendaƟŽŶƐ No ĚĚŝƟŽŶĂů Management Requiring Comment Comments Required Under Secretary of Defense for Policy 1 Commander, U.S. Africa Command 2.a.i, 2.a.ii, 2.a.iii, and 2.b Commander, Combined Joint Task Force- 3.a, 3.b.i, 3.b.ii, 3.b.iii, 3.c, 3.d.i, Horn of Africa 3.d.ii, 3.e, 3.f, 3.g, 3.h, and 3.i

Please provide comments by November 29, 2013.

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INSPECTOR GENERAL DEPARTMENT OF DEFENSE 4800 MARK CENTER DRIVE ALEXANDRIA, VIRGINIA 22350-1500

October 30, 2013

MEMORANDUM FOR UNDER SECRETARY OF DEFENSE FOR POLICY COMMANDER U.S. AFRICA COMMAND COMMANDER, COMBINED JOINT TASK FORCE-HORN OF AFRICA

SUBJECT: Combined Joint Task Force-Horn of AfricaNeeded Better Guidance and Systems to Adequately Manage Civil-Military Operations (Report No. DODIG-2014-005)

We are providing this report forreview and comment. We considered management comments on a draft of this report when preparing the final report. We reviewed 49 of 13 7 humanitarian assistance and humanitarian and civic assistance projects that were planned, ongoing. or completed fromFY 2010 through FY 2014 with an estimated value of$8.70 million. Combined Joint Task Force-Horn of Africa officialsdid not adequately plan or execute civil-military operations. For example, officials could not provide supporting documentation to verify whether $228,971 was properly accounted for and there is a risk that documentation forother projects was not maintained. In addition, DoD lacks assurance that project structures are sustained. This is one in a series of reports on civil-military operations in the Horn of Africaregion.

DoD Directive 7650.3 requires that recommendations be resolved promptly. Comments from the Under Secretary of Defense for Policy were responsive, and we do not require additional comments. We received consolidated comments from the Acting Chief of Staff, U.S. Africa Command that included consideration of comments from the Commander, Combined Joint Task Force-Horn of Africa. The Acting Chief of Staff, U.S. Africa Command provided comments on the finding, but did not comment on the recommendations. Therefore, we request the Commander, U.S. Africa Command and Commander, Combined Joint Task Force-Hornof Africaprovide comments to the final report by November 29, 2013.

Please send a PDF file containing your comments to [email protected]. Comments provided to the report must be marked and portion-marked, as appropriate, in accordance with DoD Manual 5200.01. Copies of your comments must have the actual signature of the authorizing official foryour organization. We cannot accept the /Signed/ symbol in place of the actual signature. If you arrange to send classified comments electronically, you must send them over the SECRET Lnternet Protocol Router Network (SIPRNET).

We appreciate the courtesies extended to the staff. Please direct questions to (b)(6) at (703) 6041111 (DSN 6641111).

Amy J. Frontz Principal Assistant Inspector General for Auditing cc: Director, JointStaff

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Contents Introduction

Objective ______l Background 1 Review of Internal Controls 4

Finding. Planning and Execution Could Be Improved _6 Projects Not Always Planned in Accordance With Strategic Objectives ______7 EffectiveUse of System and Training Needed to Improve Project Planning 8 Project Fund and Cost Data Not Accurate, Complete, or Maintained 8 Adequate Procedures and Proper Use of System Needed to Improve Oversight of Project Funds and Cost Data ______12 Sustainment Plans Developed, but Emphasis Needed on Knowledge and Skills Transfer ______13 Implementation Guidance Needed to Improve Host Nation Capacity and Sustainment ______15 DoD Requirement Needed to Determine Sustainment for Humanitarian and Civic Assistance Project Structures ______16 SufficientAssessment Data Not Collected or Used 17 Formal Assessment Framework Needed ______18 Activities Not Always Planned or Executed in Accordance With Strategic Objectives ______19 Guidance and Systems Needed to Better Manage Activities 22 Conclusion 23 Management Comments on the Finding and Our Response ______23 Recommendations, Management Comments, and Our Response 25 Appendixes Appendix A. Scope and Methodology ______29 Projects and Activities Reviewed 30 Use of Computer-Processed Data 31 Use of Technical Assistance 32 Prior Coverage ______32

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Appendix B. Projects and Activities Results ______33

Appendix C. Funding Authorities, Approval Process, and Project Guidance 42 Appendix D. Theater Plans 46 Management Comments Under Secretary of Defensefor Policy ______48 U.S. Africa Command 49 Acronyms and Abbreviations ______s1

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FOR OFFICIAL UBE ONLY Introduction

Introduction Objective Our objective was to determine whether Combined Joint Task Force-Horn of Africa (CJTF-HOA) personnel were adequately planning and executing civil-military operations (CMO) in accordance with U.S. AfricaCommand (USAFRICOM) objectives. This is one in a series of reports on CMO in the Horn of Africa. See Appendix A for a discussion of our scope and methodology and prior coverage related to the objective.

Background CMO establish, maintain, or influence relations among military forces, governmental and nongovernmental civilian organizations and authorities, and the host nation to facilitate military operationsand achieve U.S. objectives. CMO can also build confidence and trust with host nations that are vulnerable to violent extremism. Every exchange between U.S. military forces and the host nation can be a CMO activity. CMO can be performed by designated civil affairs (CA) personnel,1 other military forces, or by a combination of CA and other forces. CMO may also include activities that military forces perform and functions that the host nation government provides (such as establishing a safe and secure environment, meeting basic human needs, or providing essential services). For the purposes of this report, we define CMO as humanitarian assistance (HA) projects, humanitarian and civic assistance (HCA) projects, community relations activities, and low cost activities.2

Types ofCivil-Military Operations Reviewed HA projects promote regional stability and improve U.S. visibility, access, and influence with foreign military and civilian counterparts.3 HA projects include construction, renovation, and repair of public structures (such as medical clinics and schools, construction of roads and bridges, excavation forwater wells, and repair and installation of water sanitation, waste treatment, or waste management systems). HCA projects promote the security and foreign policy interests of the United States, interests of the

1 Active and reserve CA component forces and units are organized, trained, and equipped to conduct CA operationsand support CMO. We used "CMO officials" to refer to both CA and CMO officials. 2 We did not review all CMO, such as excess property, humanitarian mine action, or military-to-military engagements which can also have a civil-military benefit. For consistency, we used the term "projects" when referring to both HA and HCA and "activities" when referring to both community relationsand low cost. Each of the four project and activity-typesreviewed were distinct with regard to management, oversight, and applicable guidance. See Appendix C for funding authorities, approval process, and project guidance. 3 Section 2561, title 10, United States Code authorizes HA projects. Projects are funded through the Overseas Humanitarian, Disaster, and Civic Aid appropriation.

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country to which the activities are performed, and the operational readiness skills of the U.S. armed forces.4 HCA projects include medical, dental, and veterinary care; basic construction of roads and bridges; well drilling and construction of basic sanitation structures; and basic construction and repair of public structures. We nonstatistically selected 49 of 137 HA and HCA projects that were planned, ongoing, or completed from FY 2010 through FY 2014 in Djibouti, Ethiopia, Kenya, and Tanzania.5 Of the 49 projects with an estimated value of$8.70 million, 32 were HA and 17 were HCA.6 See Table 8-1 in Appendix 8 for the name, location, estimated cost, and documentation reviewed. Six documents containing HA guidance and six documents containing HCA guidance were in effectduring our review of projects as illustrated by Figures C-1 and C-2 in Appendix C.

Community relations activities are any officially planned program, series of events, or individual action that a DoD Component, unit, or person designed to achieve and maintain good relations with the host nation civilian population. Examples of community relations activities include distribution of sports equipment, trash clean up, and t-shirts for basic sea survival. A CJTF-HOA official stated that CA teams with limited involvement from the command usually perform low cost activities. Examples of low cost activities include generator and solar panel maintenance seminars, English discussion groups, and insecticide net distribution. We reviewed 66 community relations and low cost activities from FY 2012 through FY 2013 in Djibouti, Ethiopia, Kenya, and Tanzania. Of the 66 activities, 15 were community relations with an estimated value of at least $12,078 and 51 were low cost.7 See Tables 8-2 and 8-3 in Appendix 8 for the name, estimated cost, and location of activities reviewed. See Appendix C for a list of CMO project and activity funding authorities and approval process.

OrganizationsInvolved in Civil-MilitaryOperations DoD works closely with interagency partners, including U.S. Department of State and U.S. Agency for International Development, to synchronize U.S. efforts to promote peace and security in Africa as part of the whole-of-government approach embodied in the "3D" process-defense, diplomacy, and development. DoD is responsible for coordinating with the U.S. Department of State and U.S. Agency for International Development to synchronize CJTF-HOA projects and activities during CMO planning and execution.

4 Section401, title 10, United States Code authorizes HCA projects. Projects are funded under separate authorities. 5 We used the term "planned" to reflect projects in various Overseas Humanitarian Assistance Shared Information System categories to include submitted, staffed, returned, and resubmitted, but had not yet been approved by USAFRICOM. We used the term "ongoing" to reflect projects in either the funded or in progress category. 6 We used data from the Overseas Humanitarian Assistance Shared InformationSystem to report estimatedproject costs because it is the officialsystem for managing HA and HCA projects. See Appendix A for the reliability of estimatedcost data. 7 The cost data provided does not include indirect costs, such as military personnel labor required to conduct these activities.

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Within the Under Secretary of Defense for Policy, the Assistant Secretary of Defense for Special Operations and Low-Intensity Conflict shapes policy and oversees the development of DoD capabilities to conduct stability, security, and reconstruction operations, including CMO. The Chairman, Joint Chiefs of Staff, is responsible for reviewing HCA guidance and ensuring combatant commanders measure and report on its effectiveness. The Defense Security Cooperation Agency provides oversight and guidance for Overseas Humanitarian, Disaster, and Civic Aid-funded projects, including HA. and manages the funding appropriations. DoD uses the Overseas Humanitarian Assistance Shared Information System (OHASIS) to manage all stages of HA and HCA projects' lifecycles.

USAFRICOM is a geographic combatant command primarily responsible for protecting and defending U.S. security interests by strengthening the defense capabilities of African states and, when directed, conducting military operations to deter and defeat threats and provide a security environment conducive to good governance and development. CJTF-HOA. a subordinate command, is responsible for conducting operations in the Horn of Africa region to enhance partner nation capacity, promote security and stability, dissuade conflict, and protect U.S. and coalition interests. The CJTF-HOA area of responsibilities includes 10 countries: Kenya, Ta nzania, Somalia, Ethiopia, Eritrea, Uganda, Rwanda, Burundi, Seychelles, and Djibouti. See Figure 1 for a map of the region.

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CJTF-HOA is located at Camp Lemonnier, Djibouti, and comprises U.S. service members, civilian employees, and coalition and partner nation representatives. CMO responsibilities are distributed between CJTF-HOA core staff components and a CA battalion. The CJ-5 core staff component is responsible for planning CMO in support of USAFRICOM strategic objectives. The CA battalion commander is responsible for planning and executing CMO projects and activities. As of September 2012, there were 10 CA teams within the battalion.8

Strategic Guidance Strategic guidance, such as the National Defense Strategy and the Guidance for the Global Employment of the Force, is the basis for USAFRICOM plans and operations in the Horn of Africa. USAFRICOM develops and issues strategic guidance through its theater campaign plan, which includes strategic objectives, effects, and lines of effort (LOEs) used to achieve those objectives. Our review of CMO included projects and activities that were planned and executed using the October 2009 or the January 2012 USAFRICOM theater campaign plan. Although the plans were organized differently, both plans included consistent themes across the strategic objectives and LOEs. Consistent themes fromboth plans include the following:

• Counter Violent Extremist Organizations,

• Maintain Strategic Posture, and

• Prepare and Respond to Crisis.

See Appendix D for a list of both the 2009 and 2012 USAFRICOM strategic objectives and LOEs.

Review of Internal Controls DoD Instruction 5010.40, "Managers' Internal Control Program Procedures," May 30, 2013, requires DoD organizations to implement a comprehensive system of internal controls that provides reasonable assurance that programs are operating as intended and to evaluate the effectiveness of the controls. We identified internal control weaknesses concerning management and oversight of CMO projects and activities. Specifically, DoD, USAFRICOM, and CJTF-HOA policies and procedures for conducting CMO projects and activities were insufficient, not developed, or not fully implemented. In addition, CJTF-HOA officials did not effectively use a system to

8 In January 2013, the 411'" CA Battalion replaced the 448'" CA Battalion.

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manage and report CMO. We will provide a copy of the report to the senior officials responsible for internal controls within the Office of the Under Secretary of Defense for Policy, USAFRICOM, and CJTF-HOA.

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Finding Planning and Execution Could Be Improved CJTF-HOA officials did not adequately plan or execute CMO in accordance with USAFRICOM objectives. Of the 49 project nominations reviewed, CJTF-HOA officials identified strategic objectives, effects, or LOEs for 40 projects. For the remaining 9 projects, officials did not accurately identify a strategic objective, effect, or LOE. This occurred because CMO officials did not effectively use OHASIS to identify how projects supported USAFRICOM strategic objectives and were not required to receive training on strategic guidance. In addition, CJTF-HOA officials:

• did not report actual cost data or could not provide expenditure supporting documentation for four of six HA and HCA projects nonstatistically selected for funding review. This occurred because both USAFRICOM and CJTF-HOA officials did not develop adequate procedures to account for project costs. Furthermore, CJTF-HOA officials did not effectively use OHASIS to manage and report cost data.

• identifiedsustainment plans forall 29 ongoing and completed HA projects in accordance with DoD guidance. However, officials could not ensure the host nation would sustain one out of the four completed HA projects we observed in accordance with the sustainment plan. This occurred because USAFRICOM and CJTF-HOA officials did not develop implementation guidance regarding capacity-building activities to emphasize knowledge and skills transfer.

• are not required to conduct 1-year after action reports (AARs) for completed HCA structure projects above $10,000. This occurred because the Under Secretary of Defense for Policy did not include a requirement in HCA guidance to determine whether structures were sustained by the host nation.

• did not collect and use sufficient assessment data in the project nomination and 30-day AARs for 11 of 15 completed projects to determine whether those projects achieved their intended objectives. This occurred because CJTF-HOA officials did not develop or implement a formal assessment framework, including collection plans, standard indicators, and turnover procedures.

Of the 66 community relations and low cost activities reviewed, CJTF-HOA officials identified strategic objectives or LOEs for 25 activities. For the remaining 41 activities, officials did not accurately identify a strategic objective or LOE for 14 activities and

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maintained limited documentation for27 activities. This occurred because USAFRICOM and CJTF-HOA officials did not develop or implement guidance to plan and execute activities and CJTF-HOA officials did not have an effective system to manage and report activities.

As a result, CJTF-HOA officials could not provide supporting documentation to verify whether $228,971 was properly accounted for, and there is a risk that documentation for other projects was not maintained. In addition, DoD lacks assurance that project structures are sustained.

Projects Not Always Planned in Accordance With Strategic Objectives Of the 49 project nominations reviewed, CJTF-HOA officials identified strategic objectives, effects, or LOEs for 40 projects. The remaining 9 project nominations did not accurately reference a strategic objective, effect, or LOE.9 Both USAFRICOM strategic guidance and CJTF-HOA, "Standard Operating Procedure (SOP) for CJTF-HOA Operational Planning Process," December 5, 2011, require conducting CMO in support of USAFRICOM objectives.

(FOUO) Forty of the 49 projects reviewed identified strategic objectives, effects, or LOEs fromeither the 2009 or 2012 USAFRICOM theater campaign plan. For example, in January 2012, CJTF-HOA officials completed HA project Negele Borena Bridge, Ethiopia. This project constructed a bridge across the river dividing the village of Negele Borena, which supported LOE, "Deter and defeat activities which undermine or threaten U.S. interests," and strategic objective, "Military support to comprehensive, holistic, and enduring U.S. Government efforts in designated states has improved security sector governance and has increased stability," from the 2009 Campaign Plan. This project supported the LOE and strategic objective by providing access to education and health care to local citizens periodically cut offfrom these facilitiesby river flooding.

The remaining nine project nominations did not accurately referencea strategic objective, effect, or LOE. For example, in December 2012, the nomination for HCA project Wahil Health Clinic Restoration, Ethiopia, referenced LOE 6, "Prepare and Respond to Crisis." However; the USAFRICOM 2012 LOE 6 was "Strengthen Defense Capabilities." Other examples included project nominations for projects planned for FYs 2012 and 2013 referencingeffects from the 2009 Campaign Plan.

9 Of the 9 projects that were considered inaccurate, 6 identifiedat least 1 accurate strategic objective or LOE.

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Effective Use of System and Training Needed to Improve Project Planning CJTF-HOA officials did not effectively use OHASIS to identify how projects supported USAFRICOM strategic objectives and were not required to receive training on USAFRICOM strategic guidance. Both USAFRICOM and CJTF-HOA guidance require officialsto use OHASIS to nominate projects that support strategic objectives. Although the 2012 Campaign Plan requires CMO officials to have a clear understanding of USAFRICOM objectives, CJTF-HOA officials could not provide evidence of a requirement for strategic guidance training. USAFRICOM officials stated that CJTF-HOA officials were trained on OHASIS and strategic guidance using a train-the-trainer approach and USAFRICOM officials expected those CJTF-HOA officials to train additional personnel. In May 2013, CJTF-HOA officials

stated that 411th Battalion officials had acknowledged more direction was required and had developed a briefing provided to each team since the team's arrival in theater. The briefing included an overview of strategic guidance and provided examples of projects and activities that support specific LOEs. Although training and briefings are beneficial because forces rotate frequently in the Horn of Africa region, a requirement to conduct reoccurring OHASIS and strategic guidance training is necessary. The Commander, CJTF-HOA, should require and conduct reoccurring training so officials responsible for nominating projects have a clear understanding of OHASIS project nomination requirements and USAFRICOM strategic guidance.

Project Fund and Cost Data Not Accurate, Complete, or Maintained CJTF-HOA officials did not report actual cost data or could not provide expenditure supporting documentation for four of six HA and HCA projects nonstatistically selected for funding review. For both HA projects reviewed, valued at $458,000, officials maintained documentation, such as invoices and receipts, to support all expenditures.10 However, for all four HCA projects reviewed, valued at $1.27 million, officials did not report accurate cost data or were unable to provide adequate supporting documentation for all expenditures. USAFRICOM, "FY08, Humanitarian Assistance

Program Standard Operating Procedures," March 1, 2008, (USAFRICOM SOP),11 requires components to update OHASIS with actual project cost and actual funds expended. Furthermore, the CJTF-HOA SOP states that the program manager, from the CJ-5 core

10 One HA project, Nyumbu Primary School, Tanzania, was included in our funding review because officials reported expenditures before the project was canceled. 11 The USAFRICOM SOP was neither signed nor marked as draft.

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staff component, should provide management and oversight of project funds and cost data throughout the project life cycle. The SOP also requires the CJ-8 Comptroller to provide all financial documentation to the program manager who will then upload the documentation into OHASIS. However, CJTF-HOA officials did not accurately report cost data or could not provide expenditure supporting documentation for the Kontali Primary School, Djibouti; Gour'obbous Primary School, Djibouti; Gende Gerade Primary School, Ethiopia; and Kontali Clinic, Djibouti.

KontaliPrimary School For the HCA project at the Kontali Primary School, CJTF-HOA officials did not accurately report cost data and were unable to provide supporting documentation for all expenditures. Although CJTF-HOA officials completed the project on June 21, 2012, they reported in OHASIS actual costs of $452,062.84, but actual funds disbursed were reported at $413,000. For the first military interdepartmental purchase request (MIPR), CJTF-HOA officials expended $226,989.10 of the $314,000 received, but could not provide supporting documentation for the remaining $87,010.90. For the second MIPR, CJTF-HOA officials reported expending $152,869.33 of the $165,000 received and returned $12,130.67 to USAFRICOM. Of the $152,869.33 expended, officials could not provide supporting documentation to account for $1,746.15 in expenditures.

Gour'obbous PrimarySchool For the HCA project at the Gour'obbous Primary School (which was completed on October 11, 2012), CJTF-HOA officials could not provide supporting documentation for all expenditures. For the first MIPR, CJTF-HOA officials expended $99,999.95 of the $150,000 received but could not provide adequate supporting documentation for the remaining $50,000.05. For the second MIPR, CJTF-HOA officials expended $68,330.55 of the $100,000 received but could not provide supporting documentation indicating the status of the remaining $31,669.45

Gende Gerade PrimarySchool For the HCA project at Geode Gerade Primary School (which was completed on August 7, 2012), CJTF-HOA officials could not provide supporting documentation for all expenditures.12 The project included the construction of a four-classroom building, two four-stall latrines, and connection of a water catchment. The project was

12 CJTF-HOA officials completed the project 20 months behind the estimatedcompletion date.

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originally estimated at $200,000. However, CJTF-HOA officials reported completion costs that more than doubled the original estimate. See Table 1 for the original, additional, and total amount of fundsaccepted forthe project.

Table 1. Funds Accepted for the Gen de Gerade PrimarySchool Project I Amount I Date MIPR OC87ET9423 $200,000 12/29/2009 Amendment* 1 110,000 9/7/2010 Amendment 2 100,000 4/28/2011 Amendment 3 7,337 4/4/2012 MIPR Total $417,337 MIPR 0010127937 10,000 1/13/2012 Amendment 1 30,000 4/11/2012 MIPR Total $40,000 Total $457,337

*Amendments add additional funds to the MIPR.

For the first MIPR, CJTF-HOA officials reported expending $349,514.59 of the $417,337.24 received and returned $67,822.65 to USAFRICOM. Of the $349,514.59 expended, officialscould not provide supporting documentation to account for$4,716.38 in expenditures. For the second MIPR, CJTF-HOA officials expended $20,644.99 of the $40,000 received, but could not provide supporting documentation indicating the status of the remaining $19,355.01.

KontaliClinic and Gour'obbous Primary School CJTF-HOA officials did not provide adequate oversight of funds for the HCA projects at the Kontali Clinic and Gour'obbous Primary School. On May 15, 2012, officialsawarded firm-fixed price contract N3654A-12-P-2006, valued at $70,056.80, for construction materials for three projects. The contract lines of accounting authorized $14,074.50 for the Ali Oune Clinic, $45,915.30 for the Kontali Clinic, and $10,067 for Gour'obbous Primary School. However, the contract included incorrect billing of material amounts for two of the three projects: the Kontali Clinic and Gour'obbous Primary School. Specifically, the bill of materials for Kontali Clinic was actually $10,067 whereas the Gour'obbous Primary School was $45,915.30. On August 2, 2012, the contracting officer issued a contract modification to correct the contract line item number, but the modification did not correct the lines of accounting. On August 4, 2012, the contracting officer issued another contract modification to de-obligate funds from the

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Gour'obbous Primary School resulting in an overall materials cost of $44,771. Although the project was completed on October 11, 2012, CJTF-HOA officials could not provide adequate supporting documentation to detem1ine whether the remaining funds for the Gour'obbous Primary School were returned or expended. As of January 2013, CJTF-HOA officials also reported expenditures of $34,473 in excess of the obligated amount on the contract for the Kontali Clinic project. See Table 2 for the difference in amounts authorized and expended forboth projects.

Table 2. Amount Expended Over and Under Contract Value for Kontali Clinic and Gour'obbous PrimarySchool Projects

Odg;nal Mod'l Mod hpended Amount Contract Bill of Project Contract Contract as of Expended (Over) Value Materials I I Value I Value21 January 2013 Under Authorized $ $ $ No $ $ Kontali 45,915 10,067 10,067 change 44,540 I ( 34,473) Gour'obbous $10,067 $45,915 $45,915 $44,771 $8,923 $35,848

*Modification

We discussed the need for CJTF-HOA officials to correct the lines of accounting through a contract modification. However,CJTF-HOA officialsprovided documentation that the contract was completed and closed out on September 29, 2012.

As of April 2013, construction is ongoing at the Kontali Clinic. See Figure 2 for a picture of ongoing construction at the Kontali Clinic.

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Adequate Procedures and Proper Use of System Needed to Improve Oversight of Project Funds and Cost Data USAFRICOM and CJTF-HOA officials did not develop adequate procedures to account for project costs. Both USAFRICOM SOP and USAFRICOM draft SOP, "Guidance forPlanning and Execution of Humanitarian Assistance & Health Activities Programs in the United States Africa Command Area of Responsibility;' January 1, 2011, do not identify the responsible party for reconciling obligation documents, determining whether costs are accurate and properly accounted for, or returning unused funds in a timely manner. The CJTF-HOA SOP does not include specific roles and responsibilities to verify that the program manager conducted management and oversight of project funds and cost data throughout the project life cycle. Instead, the CJTF-HOA SOP states the program manager will notify CJ-8 to return unused project funds to USAFRICOM during project closeout. The Commander, USAFRICOM, should revise and issue "Guidance forPlanning and Execution of Humanitarian Assistance & Health Activities Programs in the United States Africa Command Area of Responsibility," to clearly identifythe specific roles and responsibilities to account forproject costs. The Commander, CJTF-HOA, should revise and issue the "Standard Operating Procedure (SOP) for CJTF-HOA Operational Planning Process," to include specific roles and responsibilities that verify the program manager provides oversight of project fundsand cost data throughout the project lifecycle.

In addition, CJTF-HOA officials did not effectively use OHASIS to manage and report cost data. Officials could not provide an explanation as to why information and documentation was not updated and uploaded into OHASIS. Uploading financial documentation in OHASIS enables CMO officials to use the information, manage projects, and provide project management continuity in the event of turnover. The Commander, CJTF-HOA, should direct the program manager to update and upload OHASIS with all HCA project cost data and financialdocumentation.

As a result of not adequately maintaining cost data during the project life cycle, CJTF-HOA officials could not provide supporting documentation to verify whether $228,971 was properly accounted for, and there is a risk that documentation for other projects was not maintained. The Commander, CJTF-HOA, should request financial assistance from either the U.S. Fleet Forces Command or Defense Finance and Accounting Service to review all 17 HCA projects and verify whether expenditures were properly accounted for and supported and correct errors. If errors cannot be resolved, the Commander, CJTF-HOA, should determine whether a loss of funds investigation is required and, if appropriate, hold individuals accountable for any improper expenditures. Based on these results,

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the Commander, CJTF-HOA, should develop a plan of action to remedy systemic issues identifiedand a methodology to review additional projects, as appropriate.

Sustainment Plans Developed, but Emphasis Needed on Knowledge and Skills Transfer CJTF-HOA officials identified sustainment plans for all 29 ongoing and completed HA projects in accordance with DoD guidance. However, officials could not ensure the host nation would sustain one out of the four completed HA projects we observed in accordance with the sustainment plan.13 Since FY 2008, policy guidance for HA projects required all project nominations to include a sustainment plan of action and demonstrate confirmation that the host nation is both willing and capable of sustaining the project. Officials documented sustainment plans by identifying the host nation official or entity responsible for sustainment within the OHASIS project nomination. Additionally, for some projects, officials used memorandums of understanding with the host nation to document the sustainment plan. Although CJTF-HOA officials documented sustainment plans, in some cases the plans were not enough to ensure project structures were sustained by the host nation. For example, officials used a memorandum of understanding with the Dikhil Regional Council to ensure structures in the Dikhil region would be operational. However, in June 2012, officials reported the host nation did not provide electricity or equipment needed to operate the Dikhil health clinic.14

CJTF-HOA officials could not ensure the host nation would sustain one out of the four completed HA projects we observed in accordance with the documented sustainment plan. In September and October 2012, we observed four completed HA projects (two in Djibouti and two in Tanzania) that were still in use by the host nation. However, one of the projects (Ali Sabieh Community Water Fountains, Djibouti) was in need of maintenance and repairs. CJTF-HOA officials used the project nomination to document a sustainment plan for this project. The nomination identified multiple levels of host nation cooperation to sustain the water fountains.

The United States renovated these fountains in 2010 to minimize disease and other health hazards. However, during our site visit, two of the three fountains' doors, pipes, and faucets

13 See Appendix B projects 1 through 9 for a list of projects we observed. 14 In August 2011, OTF-HOA completed the Dikhil Medical Clinic Cisterns, Djibouti project. The project provided seven cisterns for the Dikhil Hospital and outlying medical clinics of the Dikhil area. Although not required, a 1-year AAR was uploaded into OHASIS for the Dikhil Medical Clinic Cisterns, Djibouti project, which provided a status update on the Dikhil health clinic where OTF-HOA provided a cistern.

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had been removed, and one faucet had a collapsed top, leaving the water exposed to contaminants. See Figures 3 and 4 forpictures of the community water fountains.

Both embassy and CJTF-HOA officials identified the need to further emphasize knowledge and skills transfer and sense of host nation ownership during CMO project planning and execution. One CMO official stated that many of the host nation local community members in his location did not have the knowledge or skills to conduct repairs on U.S.-built structures. For example, a U.S.-built well stopped working because local residents threw rocks into the well. Although throwing rocks in an indigenously built well helps to raise the water level, throwing rocks into a U.S.-built well causes damage. In this case, the CMO official recommended that local residents receive maintenance instructions during construction. A U.S. Agency for International Development official

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also recommended conducting knowledge transfer or best practice activities while simultaneously conducting CMO projects. For example, best practice activities, such as a generator maintenance seminar held with the local residents, should improve the host nation's ability to maintain generators and provide DoD with increased assurance that host nation residents are capable of maintaining and sustaining structures needed to provide essential services. See Figure 5 for an example of a CMO official conducting a generator maintenance seminar in Dikhil, Djibouti.

The Chief of Staff also agreed CJTF-HOA could improve knowledge and skills transfer to enhance project sustainment. However, he stressed that although knowledge transferincreased the host nation's capability to maintain structures, the local community must also be willing to receive that knowledge. This willingness can be generated by planning and executing CMO projects and activities that are partnership intensive, such as coupling HA projects with knowledge and skill transfer activities designed to maintain and sustain those structures. Another official interviewed expressed similar views regarding the importance of creating a host nation sense of ownership with each structure. Without creating what one CMO official termed as "sweat equity" in a project, local communities might not develop a sense of ownership. Subsequently, he stated structures could go unsustained and become "monuments to U.S. failure." Similarly, another official expressed the importance of obtaining host nation "buy-in," such as the host nation providing resources or personnel during project execution.

Implementation Guidance Needed to Improve Host Nation Capacity and Sustainment USAFRICOM and CJTF-HOA officials did not develop implementation guidance for building host nation capacity and sustainment with an emphasis on knowledge and skills transfer. DoD, "Policy Guidance for DoD Overseas Humanitarian Assistance Funded by the Overseas Humanitarian, Disaster, and Civic Aid Appropriation," May 2012, states the most effective HA projects include knowledge and skills transfer to build sustainable local capacity rather than simply performing an action for the host nation

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or offering donations of supplies or equipment. Generally, projects are designed to help the host nation government improve its long-term, independent ability to establish effective policies and deliver competent and effective essential services, such as safe drinking water, sanitation systems, public health, and education. Geographic combatant commanders are responsible for issuing specific HA implementing instructions to subordinate elements. The Defense Security Cooperation Agency Security Assistance Management Manual, April 30, 2012, provides additional guidance to manage and oversee HA projects and reflectsincorporating knowledge and skills transfer into CMO project planning and execution.

Although the USAFRICOM SOP references improving host nation capacity, the USAFRICOM SOP does not provide implementation guidance for how to improve host nation capacity or sustainment, and does not emphasize knowledge and skills transfer. Specifically, the USAFRICOM SOP states, "All HA program projects should improve the host nation's capacity to address humanitarian needs ...by focusing on effectively improving the capacity of the host nation to address future issues ...all HA program projects should be sustainable by the host nation:' The CJTF-HOA SOP also does not provide implementation guidance on HA project sustainment and capacity building, including knowledge and skills transfer. Without implementation guidance, future projects will lack assurance that host nations are both willing and capable of sustaining projects. The Commander, USAFRICOM and CJTF-HOA, should revise and issue SOPs to implement "Policy Guidance for DoD Overseas Humanitarian Assistance Funded by the Overseas Humanitarian, Disaster, and Civic Aid Appropriation," regarding capacity-building activities to emphasize knowledge and skills transfer.

DoD Requirement Needed to Determine Sustainment for Humanitarian and Civic Assistance Project Structures CJTF-HOA officials are not required to conduct 1-year AARs for HCA structure projects above $10,000.15 We reviewed OHASIS project documentation for four HCA completed projects for sustainment.16 All four were completed structures, valued at more than $10,000 each, for a total estimated value of $1.28 million. Previously, the Under Secretary of Defense for Policy issued guidance, such as "Policy Guidance for DoD Overseas Humanitarian Assistance Program (HAP);' which required

15 We used the $10,000 dollar threshold during our analysis based on similar guidance in place for HA projects. 16 See Appendix A for a discussion on the reliability of data from OHASIS.

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HA projects exceeding $10,000 to have a 1-year AAR. The AAR is intended to document sustained outcomes, confirm the project is still operating as intended, and verify that the host nation or other partners are sustaining the project. Unlike HA projects, DoD guidance forHCA projects does not require a 1-year AAR or evaluation.17 Although HCA projects are primarily conducted to support training requirements for units, DoD has minimal assurance that projects (such as the Dire Dawa Regional Water Program, Ethiopia, estimated at $395,000, and the Geode Gerade Primary School, Ethiopia, estimated at $420,000) are being sustained or achieving their objectives. The Under Secretary of Defense for Policy, in coordination with the Chairman, Joint Chiefs of Staff,should develop guidance that requires an AAR to address sustainment of HCA projects. On issuance, the Commander, USAFRlCOM, and Commander, CJTF-HOA should update SOPs to include the AAR requirement forsustainment of HCA projects.

Sufficient Assessment Data Not Collected or Used CJTF-HOA officials did not collect or use sufficient assessment data in the project nomination and 30-day AARs for 11 of 15 completed HA and HCA projects to determine whether those projects achieved their intended objectives. Although all 15 AARs were completed in compliance with applicable guidance, the guidance, such as the USAFRICOM SOP, does not provide further detail on the information to include in each section. Therefore, we used the 2011 RAND Corporation, Center for Military Health Policy Research, "Developing a Prototype Handbook for Monitoring and Evaluating Department of Defense Humanitarian Assistance Projects," as a guide for determining whether CJTF-HOA officials collected and used sufficient assessment data to evaluate CMO. For example, the intended objective of the HA project Manza Bay Dispensary Catchment and Window Screens, Tanzania, included building cisterns and a water catchment system to strengthen health outcomes. The project nomination included information on the number of nurses at the clinic (three nurses) and the daily distance (.62 miles) required to carry water. On project completion, the 30-day AAR stated that the nurses were able to see patients without having to travel (now 3.1 miles) each day for water. Besides the number of nurses and the daily distance, other project assessment data could have been collected and used to determine whether the project achieved its intended objective. For example, the team

17 DoD Instruction 2205.3, "Implementing Procedures for the Humanitarian and Civic Assistance {HCA) Program;' January 27, 1995; DoD Instruction 2205.02, "Humanitarian and Civic Assistance Activities," December 2, 2008; and Defense Security Cooperation Agency, "Policy/Programming Guidance for FY 2008 Humanitarian and Civic Assistance {HCA) Projects and Activities;' May 1, 2007.

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could have used the number of patients treated, number of water sources created, whether the project was built to local standards enabling maintenance over time, or the number of people obtaining water from the source to determine whether the project achieved its intended objective of strengthening health outcomes.

Another example is the HCA project Garissa veterinary civic action program in Kenya. The project nomination stated the intended objective of this project was to improve the host nation's well-being and productivity by investing in livestock health. CJTF-HOA officials planned to increase the proficiency of 30 individuals on how to diagnose and treat 2,000 animals per day for 5 days. However, the 30-day AAR included only general information stating that the partnership between the U.S. military and the Kenya veterinarians provided a positive impression to the population. The AAR did not include specific information, such as the actual number of individuals trained or the number of animals treated.

In addition, two 30-day AARs did not include lessons Without learned and recommendations. Instead, the AARs adequately completing project for the HA project Kigongoi Dispensary Water nominations and 30-day Catchment, Tanzania, and the HA project Manza AARs, CJTF-HOA officials Bay Dispensary Catchment and Window Screens, could not develop lessons learned to benefitfuture Tanzania, stated, "This project was completed by CMO planning and the previous MCAT [Maritime Civil Affairs Team]." execution. CJTF-HOA stated turnover as a continuity challenge that continues to affect the level of institutional knowledge retained. Without adequately completing project nominations and 30-day AARs, CJTF-HOA officials could not develop lessons learned to benefitfuture CMO planning and execution.

Formal Assessment Framework Needed CJTF-HOA officials did not develop or implement a formal assessment framework, including collection plans, standard indicators, and turnover procedures. Instead, officials used other mechanisms to collect and use project assessment data. For example, the Command's response to the Countering Violent Extremism reporting requirement of H.R. 6523, the "Ike Skelton National Defense Authorization Act of Fiscal Year 2011," states that CJTF-HOA officials used pre-deployment site surveys, population assessments, interviews, site visits, and situation reports to collect project assessment data, to ensure operations have a positive impact on achieving USAFRICOM objectives and effects. A CJTF-HOA official also stated they used AARs that are

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required for projects, but AARs did not measure project effectiveness, just that the projects were completed. Although assessment data were collected for projects, additional work is needed to verify that data were collected adequately and consistently. Furthermore, the data should be presented in a formatto better contribute toward achieving strategic objectives and improving futureCMO planning and execution.

A formal assessment framework should include developing and using standard indicators and collection plans. 18 For example, the objective of renovating a school could be to increase the number of children enrolled. In this example, the number of children enrolled before and after the renovation could be established as a standard indicator and used to determine whether the project achieved its objective. The objective of renovating the school could also be to increase host nation capacity to maintain or sustain the structure. In this example, the number of host nation civilians trained to operate equipment or conduct school maintenance could be established as a standard indicator and used to assess the likelihood of the project achieving its objective. A collection plan could then be used to assist personnel in collecting and reporting the assessment data during project planning and execution.

In addition, the assessment framework should include procedures to provide continuity on personnel turnover. Information provided during turnover could include the collection plan, project status, required resources to complete each assessment, and local community leader contact information. Until CJTF-HOA officials develop and implement a framework, they will be unable to fully use project data collected in project nominations and 30-day AARs to plan future CMO projects that contribute toward achieving strategic objectives. The Commander, CJTF-HOA, should develop and implement an assessment framework that includes standard indicators, collection plans, and turnover procedures.

Activities Not Always Planned or Executed in Accordance With Strategic Objectives CJTF-HOA officials identified strategic objectives or LOEs for 25 of the 66 community relations and low cost activities. For the remaining 41 activities, officials did not accurately identify a strategic objective or LOE for 14 activities and maintained limited documentation for 27 activities. USAFRICOM strategic guidance requires

18 A collection plan is a mechanism used to gather data for each indicator to assess project short and long-term outcomes during project planning and execution.

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Ǥ ͵ Ǥ

Table 3. Community Relations and Low Cost Activities

USAFRICOM Strategic KďũĞĐƟǀes Maintained ĐƟǀŝƟĞƐ Limited Total IdenƟĮĞĚ Not Accurately DocumentaƟŽŶ IdenƟĮĞĚ

Community RelaƟŽŶƐ 7- 815

Low Cost 18 14 19 51

Total 25 14 27 66

Note: A dash indicates that data were not available.

Community RĞůĂƟŽŶƐ ĐƟǀŝƟĞƐ ͳͷ ϐ Ǥ ǡ ʹͲͳʹǡ Ǧ ϐ ǡ ǡ ǡ ǡ ǡ ǡ ϐ Ǥ ϐ ʹǡ ǲ ǡǳ Ǥ ʹͲͳʹǡ Ǧ ϐ ǡ ǡ ǡ Ǥ ϐ ʹǡ ǲ Ǥǳ ͸ ϐ Figure 6. ConsƚƌƵĐƟŽŶ of Roof Extension at Dawit Elderly Center Ǥ Source: CJTF-HOA

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Of the remaining eight community relations activities, CJTF-HOA officials maintained limited documentation to determine whether they were conducted in accordance with USAFRICOM objectives. For example, a storyboard for the Fish Civil Affairs Program community relations activity in Kenya did not identify a strategic objective or LOE, and no other documentation was provided for this activity.19 DoD Directive 5410.18, "Public AffairsCommunity Relations Policy," May 30, 2007, requires maintaining sufficient records of community relations activities, including support request forms or letters, disposition of requests, description of events and activities undertaken, type and extent of Military Service participation, and indicators of effectiveness.

Low CostActivities Eighteen of the 51 low cost activities reviewed identified how the activities contributed to achieving USAFRICOM objectives. For example, in August 2012, CJTF-HOA officials conducted a low cost activity in Oromiya, Ethiopia, to distribute insecticide treated nets to prevent malaria. This low cost activity supported three LOEs from the 2012 Campaign Plan (Counter Violent Extremist Organizations, Prepare and Respond to Crisis, and Maintain Strategic Posture). In August 2012, CJTF-HOA officials also conducted a low cost activity (English Discussion Groups, Ali Sabieh, Djibouti) to build relationships and develop language skills with the Djiboutian Army. CJTF-HOA officials conducted this low cost activity to support 2012 Campaign Plan LOE 2, "Maintain Strategic Posture," and LOE 6, "Strengthen DefenseCapabilities." Of the remaining 33 low cost activities:

• 14 did not accurately identifya strategic objective or LOE, and

• 19 did not have sufficient documentation to determine whether they were conducted in accordance with USAFRICOM strategic objectives.

Fourteen low cost activities did not accurately identify a strategic objective or LOE. For example, in December 2012, CMO officials conducted a low cost activity (Solar Panel Maintenance Seminar, Yoboki, Djibouti) to provide a forum for solar guardians to discuss maintaining their systems and share best practices. Officials conducted this low cost activity in support of LOE 4, but the 2012 Campaign Plan LOE 4 is "Counter Piracy:' Other examples include activities referencedto a LOE from the 2009 Campaign Plan despite planning and executing those activities during FYs 2012 and 2013.

19 CJTF-HOAofficials develop storyboards (slides with figuresand captions) to depict an event.

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CJTF-HOA officials maintained limited documentation for 19 low cost activities to determine whether they were conducted in accordance with USAFRICOM strategic objectives. For example, a storyboard for the Skype session low cost activity in Kenya did not identify a strategic objective or LOE, and CJTF-HOA officials were unable to provide additional documentation forthis activity.

Guidance and Systems Needed to Better Manage Activities USAFRICOM and CJTF-HOA officials did not develop or implement guidance to plan and execute community relations and low cost activities. DoD Directive 5410.18 states Combatant Commanders should also provide policy direction and guidance for community relations activities in their respective overseas areas for which they have command responsibility. USAFRICOM officials were unable to provide community relations guidance. CJTF-HOA officials stated they used Commander; U.S. Fleet Forces Command Instruction 5726.3, "Policy for Community Relations (COMREL) Activities and Funding," May 4, 2010, as guidance forconducting community relations activities; however, CJTF-HOA officials were in the process of developing internal guidance. Specifically, CJTF-HOA officials developed draft guidance, CJTF-HOA Instruction 7300.1, "Policy for Community Relations (COMREL) Funding," June 8, 2012. As of May 2013, CJTF-HOA officials confirmed they had not issued this guidance. CJTF-HOA officials also confirmed no formal guidance or process was in place for planning, coordinating, and executing low cost activities. Without adequate guidance, community relations and low cost activities will continue to be conducted with limited oversight and visibility. The Commander; USAFRICOM, should develop and implement procedures to include documentation requirements and roles and responsibilities for planning and reporting community relations activities and direct CJTF-HOA to implement the guidance. The Commander, CJTF-HOA, should develop and implement procedures to include documentation requirements and roles and responsibilities forplanning and reporting low cost activities.

In addition, CJTF-HOA officialsdid not have an effectivesystem to manage and accurately report community relations and low cost activities. One official stated that before his arrival, no known database of community relations and low cost activities existed. After his arrival, a battalion official began maintaining several Microsoft Excel spreadsheets in an attempt to track CMO activities, but spreadsheet data were insufficient and incomplete. For community relations, officials provided a list of 13 activities for FYs 2012 and 2013, but 2 activities were not reported. For low cost activities, officials

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provided a list of 29 activities for FYs 2012 and 2013, but 22 activities were not reported. For example, CJTF-HOA officials provided supporting documentation on completed activities, such as the Basic Sea Survival School, Manza Bay, Kenya, and Cheshire Walk, Savannah, Ethiopia. However, these activities did not appear on the applicable spreadsheet. Although the spreadsheets also included activity data, such as the activity's title, country, and team responsible, the spreadsheets did not include sufficient information to determine whether the activities were ongoing or completed. Maintaining complete and adequate documentation enables CMO officials to use the information to manage activities and to provide for continuity as forces rotate frequently in the Horn of Africa region. The Commander, CJTF-HOA, should designate and use an official system to maintain sufficient documentation and effectively manage and report community relations and low cost activities.

Conclusion CJTF-HOA's ability to conduct CMO in this region provides an excellent opportunity for DoD to further illustrate the importance of the U.S. military in a noncombatant role and to assess strategy effectiveness in addressing today's security and stability challenges. USAFRICOM and CJTF-HOA should work together to continually reassess CMO effectiveness and adjust future planning and execution. USAFRICOM and CJTF-HOA should also revise and develop CMO policies and procedures to account for project cost and emphasize knowledge transfer. In addition, CJTF-HOA should consider coupling HA projects with low cost activities to increase assurance host nations are willing and capable of sustaining projects. Furthermore, CJTF-HOA should conduct strategic guidance and project nomination training. Without these actions, CJTF-HOA officials will miss future opportunities to build capacity, trust, and confidence with host nation populations vulnerable to violent extremism and further contribute to achieving USAFRICOM objectives. For example, futureprojects might not be sustained or used forits intended purpose, resulting in wasted funds.

Management Comments on the Finding and Our Response Management Comments on Our Assessment of Civil-Military Operations (�) The Acting Chief of Staff, responding for Commander, USAFRICOM, provided comments to the officialdraft report on September 20, 2013. The Acting Chief of Staffstated USAFRICOM officials reviewed the draft report and had several major areas of concern.

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(¥900) Specifically, he stated that USAFRICOM can address only findings related to HA and HCA projects and not on community relations and low cost activities. He said a lack of clear differentiationon specificprograms contributed to findingsthat the general public could construe as misleading. The Acting Chief of Staffalso expressed concern about the use of a nonstatistical sample and that subject matter experts were not used during the audit. Furthermore, he stated the report excludes examples of projects that were executed well by CJTF-HOA. Finally, he noted that USAFRICOM input to the discussion draft was not included in the draft report, and the report comingled requirements with opinions of things that are "nice to do" given greater resources.

(¥900) Finally, the Acting Chief of Staffstated that USAFRICOM recently addressed many of the report's recommendations by publishing the Africa Command Manual (ACM) 3900.03, "Humanitarian and Health Activities Branch Programs:' However, USAFRICOM expects that HA and HCA activities in the CJTF-H OA area ofresponsibilitywill be nominated through the Officesof Security Cooperation and in partnership with country teams.

Our Response Although USAFRICOM may not have day-to-day oversight of CJTF-HOA community relations and low cost activities, USAFRICOM is still the major command responsible for CJTF-HOA, and should have working knowledge of CJTF-HOA operations. Furthermore, as discussed in the report, the Commander is responsible for establishing community relations policy in accordance with DoD guidance.

CMO has a broad definition; therefore, as stated in the report, we define our scope of review as HA and HCA projects and community relations and low cost activities. We use the term "projects" when referring to both HA and HCA, and "activities" when referring to community relations and low cost. For clarity, we intentionally separate the discussion of projects and activities throughout the report. We also discuss the different authorities, guidance, and approval processes for projects and activities in the Background section and Appendix C.

As outlined in Appendix A paragraph "Projects and Activities Reviewed," we developed our methodology of reviewing projects based on discussions with CJTF-HOA officials on security and travel considerations. In addition, we worked with the DoD OIG Quantitative Methods Division to develop a sample plan from a universe that included HA and HCA projects above and below the minimal cost threshold from four countries. We applied a methodology to select a nonstatistical sample to ensure each project

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type and cost threshold fromall fourcountries were included. Consequently,no statistical projections were used in our findings.

Regarding subject matter experts, we held meetings with subject matter experts from Defense Security Cooperation Agency, USAFRICOM, and CJTF-HOA to include HA and HCA Program Managers. Additionally, we researched applicable laws, policy, and guidance, as well as thoroughly reviewed the nomination processes involved for each project or activity.

Throughout the report, we identify areas where we discuss criteria and areas where we discuss things that are "nice to do." For example, we acknowledge that 15 AARs we reviewed were in compliance with applicable guidance, but that the guidance was vague. Therefore, we used the RAND study, as suggested in the 2011 Draft USAFRICOM SOP, which states, "The draft RAND Manual is an excellent source for developing metrics and indicators."

We commend USAFRICOM for updating its Africa Command Manual 3900.03, "Humanitarian and Health Activities Branch Programs." Although we acknowledge the expectation of a change to CJTF-HOA nominating CMO, until a formalized decision is made our findingsand recommendations are still applicable.

Recommendations, Management Comments, and Our Response 1. We recommend the Under Secretary of Defense for Policy, in coordination with the Chairman, Joint Chiefs of Staff, develop guidance to include an after action report requirement that addresses sustainment forhumanitarian and civic assistance projects.

Under Secretary of Defense forPolicy Comments The Deputy Assistant Secretary of Defense, Partnership Strategy & Stability Operations, responding for the Under Secretary of Defense for Policy, agreed. The Deputy Assistant Secretary stated that the Office of the Secretary of Defense for Policy and Joint Staff previously identified a need to better address HCA project assessments and added language into a revision of the DoDI 2205.02, "Humanitarian Civic Assistance (HCA) Activities." The revision includes guidance on both 30-day and 1-year after action reports and places additional emphasis on project sustainability.

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Our Response Comments from the Deputy Assistant Secretary of Defense, Partnership Strategy & Stability Operations were responsive and met the intent of the recommendation. No furthercomments are required.

2. We recommend the Commander, U.S. AfricaCommand:

a. Revise and issue "Guidance for Planning and Execution of Humanitarian Assistance & Health Activities Programs in the United States Africa Command Area of Responsibility," to:

i. Identifythe specificroles and responsibilities to account forproject costs.

ii. Implement "Policy Guidance for DoD Overseas Humanitarian Assistance Funded by the Overseas Humanitarian, Disaster, and Civic Aid Appropriation," regarding sustainment and capacity-building activities to emphasize knowledge and skills transfer.

iii. On implementation of Recommendation 1, include the after action report requirement to address sustainment for humanitarian and civic assistance projects.

b. Develop and implement procedures to include documentation requirements and roles and responsibilities for planning and reporting community relations activities.

Management Comments Required The Acting Chief of Staff, USAFRICOM provided general comments to the finding, but did not comment on the recommendations in a draft of this report. Therefore, we request that the Commander provide comments on the finalreport by November 29, 2013.

3. We recommend the Commander, Combined Joint Task Force-Horn of Africa:

a. Require and conduct reoccurring training so officials responsible for nominating projects have a clear understanding of Overseas Humanitarian Assistance Shared InformationSystem project nomination requirements and U.S. AfricaCommand strategic guidance.

b. Revise and issue "Standard Operating Procedure (SOP) for CJTF-HOA Operational Planning Process," December 5, 2011, to:

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i. Include specific roles and responsibilities that verify the program manager provides oversight of project funds and cost data throughout the project lifecycle.

ii. Implement "Policy Guidance for DoD Overseas Humanitarian Assistance Funded by the Overseas Humanitarian, Disaster, and Civic Aid Appropriation;' regarding capacity-building activities to emphasize knowledge and skills transfer.

iii. On implementation of Recommendation 1, include the after action report requirement to address sustainment for humanitarian and civic assistance projects. c. Request financial assistance from either the U.S. Fleet Forces Command or Defense Finance and Accounting Service, to review all 17 humanitarian and civic assistance projects to verify whether expenditures were properly accounted for and supported and correct errors. If errors cannot be resolved, determine whether a loss of funds investigation is required and, if appropriate, hold individuals accountable forany improper expenditures. d. Based on the results of Recommendation 3(c):

i. Develop a plan of action to remedy systemic issues identified.

ii. Develop a methodology to review additional projects, as appropriate. e. Direct the program manager to update and upload the Overseas Humanitarian Assistance Shared Information System with all humanitarian and civic assistance project cost data and financialdocumentation. f. Develop and implement an assessment framework that includes standard indicators, collection plans, and turnover procedures. g. Develop and implement procedures to include documentation requirements and roles and responsibilities for planning and reporting community relations activities. h. Develop and implement procedures to include documentation requirements and roles and responsibilities forplanning and reporting low cost activities. i. Designate and use an officialsystem to maintain sufficientdocumentation and effectivelymanage and report community relations and low cost activities.

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Management Comments Required A USAFRICOM official stated that they considered CJTF-HOA's comments in responding to the draft report and issued a consolidated response. The Acting Chief of Staff, USAFRICOM responding for CJTF-HOA provided general comments to the finding, but did not comment on the recommendations in a draft of this report. Therefore, we request that the Commander, CJTF-HOA provide comments on the final report by November 29, 2013.

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Appendix A Scope and Methodology We conducted this performance audit from July 2012 through August 2013 in accordance with generally accepted government auditing standards. Those standards require that we plan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions based on our audit objectives. We believe that the evidence obtained provides a reasonable basis for our findingsand conclusions based on our audit objectives.

To accomplish our objective, we reviewed project and activity documents dated from May 2008 through May 2013 related to CMO in the Horn of Africa, including project nominations, activity proposals, AARs, situation and progress reports, storyboards, contracts, contract modifications, purchase requests, invoices, receipts, and campaign plans.

We contacted staff and conducted interviews, as appropriate, with officials from Assistant Secretary of Defensefor Special Operations/Low-Intensity Conflict, Joint Staff, Defense Security Cooperation Agency, USAFRICOM, CJTF-HOA, and U.S. Agency for International Development. We conducted site visits to Djibouti and Tanzania, obtained source documentation, and observed and examined project statuses.

We reviewed the followingdocuments.

• Sections 401 and 2561, title 10, United States Code;

• DoD 5105.38-M, "Security Assistance Management Manual," October 3, 2003;

• DoD Directive 5410.18, "Public Affairs Community Relations Policy," May 30, 2007;

• DoD Instruction 2205.3, "Implementing Procedures forthe Humanitarian and Civic Assistance (HCA) Program," January 27, 1995;

• DoD Instruction 2205.02, "Humanitarian and Civic Assistance (HCA) Activities," December 2, 2008;

• Defense Security Cooperation Agency Manual 5105.38-M, "Security Assistance Management Manual," April 30, 2012;

• Joint Publication 3-57, "Civil-Military Operations," July 8, 2008;

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• Defense Security Cooperation Agency, "Policy /Programming Guidance for FY 2008 Humanitarian and Civic Assistance (HCA) Projects and Activities," May 1, 2007;

• "Policy Guidance for FY08 Overseas Humanitarian Assistance," September 19, 2007;

• "Policy Guidance forDoD Overseas Humanitarian Assistance Program (HAP)," November 18, 2009;

• Draft "Guidance for Planning and Execution of Humanitarian Assistance & Health Activities Programs in the United States Africa Command Area of Responsibility,"January 1, 2011;

• "Policy Guidance for DoD Humanitarian Assistance Funded by the Overseas Humanitarian, Disaster,and Civic Aid Appropriation;' May 7, 2012;

• "FY08 - Humanitarian Assistance Program Standard Operating Procedures," March 1, 2008;

• "Standard Operating Procedure (SOP) for CJTF-HOA Operational Planning Process," December 5, 2011;

• CJTF-HOA Instruction 7300.1, "Policy for Community Relations (COMREL) Funding," June 8, 2012 (draft);

• Commander, U.S. Fleet Forces Command Instruction 5726.3, "Policy for Community Relations (COMREL) Activities and Funding," May 4, 2010; and

• 2011 RAND Corporation, Center for Military Health Policy Research, "Developing a Prototype Handbook for Monitoring and Evaluating Department of DefenseHumanitarian Assistance Projects."

Projects and Activities Reviewed USAFRICOM officials provided a list with 75 HA and HCA projects. Then we generated a list out of OHASIS with 115 projects. We identified an additional two projects on-site which were not part of the provided or generated population. There were 55 common projects in both the provided and generated populations, resulting in a total of 137 HA and HCA projects. Of the 137 projects, we reviewed a nonstatistical sample of 49 and all 66 activities in Djibouti, Ethiopia, Kenya, and Tanzania.

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HA and HCA Projects In August 2012, USAFRICOM officials provided a list of 75 projects in Djibouti and Tanzania for FY 2010 through FY 2014. We identified 19 projects that were ongoing and completed between the required 30-day and 1-year AAR period and after the required 1-year AAR period. Working with CJTF-HOA officials and security considerations and travel restrictions, 7 of the 19 projects were selected forobservation and review. During our site visit, we also identified two additional projects for observation and review. In Table B-1, projects 1 through 9 were observed during our site visit.

In October and November 2012, we generated a list of 115 projects in Djibouti, Ethiopia, Kenya, and Tanzania from FY 2010 through FY 2014 using OHASIS. We selected a nonstatistical sample of 40 of 115 projects to review based on the project costs. Specifically, fromeach of the fourcountries, we selected all minimal cost projects (less than or equal to $10,000) and about 25 percent of the higher cost projects that were not included in the provided population. See Table B-1 in Appendix B forresults of the projects reviewed.

Community Relations and Low CostActivities In January 2013, CJTF-HOA officials provided a list of 13 community relations and 29 low cost activities in Djibouti, Ethiopia, Kenya, and Tanzania forFYs 2012 and 2013. Subsequently, CJTF-HOA officials provided documentation to support an additional 2 community relations and 22 low cost activities. See Appendix B, Table B-2, forresults of the community relations activities reviewed and Table B-3 for results of the low cost activities reviewed.

Use of Computer-Processed Data We used OHASIS to determine the universe of HA and HCA projects from FY 2010 through FY 2014. To determine the reliability of OHASIS as a means to obtain a universe of projects, we compared reports from OHASIS to data provided by CJTF-HOA officials. We did not identifyany major discrepancies. Based on this comparison, we determined OHASIS was reliable forproviding a universe of HA and HCA projects.

We used OHASIS project nominations and compared that data with the applicable theater plan. We interviewed officials and drew auditor conclusions whether the intended objective contributed toward achieving USAFRICOM strategic objectives.

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We compared project status data in OHASIS to other sections in the nomination, such as the comments section, and determined that the project status reported in OHASIS was inconsistent and unreliable. For example, HA project 8918, Nyumbu Primary School, Tanzania, was canceled by the U.S. Embassy, but OHASIS reported the project as "planned."

We identified all projects in our sample required to have an AAR and verified whether an AAR was uploaded into OHASIS. When we identified discrepancies, such as missing AARs, we notified CJTF-HOA officials and worked with them to correct the omissions before conducting our analyses. To determine whether CJTF-HOA officials provided adequate oversight of project funds and cost data, we assessed the reliabilityof OHASIS estimated and actual cost data by comparing them with data in MIPRs, check registers, invoices, purchase requests, receipts, and contracts. We determined the data were inconsistent and unreliable and discussed these concerns in the report.

Use of Technical Assistance We consulted with the DoD Office of Inspector General Quantitative Methods Division regarding the sampling support forHA and HCA projects in specificcountries.

Prior Coverage During the last 5 years, the Government Accountability Office (GAO) issued three reports on USAFRICOM and CJTF-HOA efforts to achieve U.S. security objectives. Unrestricted GAO reports can be accessed over the Internet at http://www.gao.gov.

GAO GA0-12-359, "Project Evaluations and Better InformationSharing Needed to Manage the Military's Efforts;'February 8, 2012

GA0-10-794, "Improved Planning, Training, and Interagency Collaboration Could Strengthen DO D's Effortsin Africa," July 28, 2010

GA0-10-504, "DoD Needs to Determine the Future of Its Horn of Africa Task Force," April 15, 2010

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AppendixB Projects and Activities Results The following table contains the name, location, estimated cost, documentation reviewed, and results for HA and HCA projects. Projects 1 through 9 were observed during our site visit. Tables 8-2 and 8-3 contain the name, estimated cost, location, and results of community relations and low cost activities reviewed.

Table B-1. Resultsof HA and HCA ProjectsObserved and Reviewed

HA Ongoing USAFRICOM and Completed OHASIS HA/ Project Estimated Strategic Adequate HCA Name Country Cost in Objectives Completed 30-Day Structure Number HCA Status' Documented Z Dollars Accurately Sustainment AAR Project Identified Plans Above $10,000 Dikhil Medical Clinic 1 12533 Cisterns Djibouti HA Completed $10,000 Yes Yes Yes N/A Tawalani School 2 13237 Refurbishment and Tanzania HA Ongoing 23,500 Yes Yes N/A N/A Rain Water System 3 12417 You Water Catchment Tanzania HA Completed 6,000 Yes Yes No N/A Manza Bay Dispensary 12126 Catchment and Tanzania HA Completed 2,996 Yes Yes No N/A Window Screens 5 10584 Ali Oune Clinic Djibouti HCA Ongoing 325,000 Yes N/A N/A N/A

6 10586 Kontali Clinic Djibouti HCA Ongoing 385,000 Yes N/A N/A N/A

Gour'obbous Primary 7 10592 School Djibouti HCA Completed 150,000 Yes N/A No Yes Ali Sabieh Hospital 8 20961 SepticTank Repair' Djibouti HA Canceled 2,500 Yes N/A N/A N/A

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Sankel, Dikhil Medical HA N/A N/A 11 12753 Clinic Djibouti Ongoing 490,000 Yes Yes Dikhil Primary School 12 21266 Renovation Djibouti HA Ongoing 490,000 Yes Yes N/A N/A Dikhil Provence 13 20951 Community Water Djibouti HA Ongoing 10,000 No Yes N/A N/A Distribution Point 1 Dikhil Provence 14 21897 Community Water Djibouti HA Ongoing 10,000 No Yes N/A N/A Distribution Point 2 Dikhil Provence 15 21898 Community Water Djibouti HA Ongoing 10,000 No Yes N/A N/A Distribution Point 3 Baya Adde Medical 16 22633 Clinic Djibouti HA Ongoing 490,000 Yes Yes N/A N/A 17 10601 Negele Borena Bridge Ethiopia HA Completed 417,746 Yes Yes Yes N/A Library and Latrines 18 10778 for Mignon Lorraine Ethiopia HA Ongoing 325,000 Yes Yes N/A N/A Innis Ford School

Negele Girls Student HA N/A N/A 19 20963 Hostel Improvements Ethiopia Ongoing 10,000 Yes Yes Zurumbaka Alternative 20 21244 Basic EducationCenter Ethiopia HA Ongoing 10,000 Yes Yes N/A N/A TEACH II Argbamenda Primary 21 21278 School Repair TEACH I Ethiopia HA Ongoing 10,000 Yes Yes N/A N/A

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23 20064 lshakani Primary 250,000 School Construction Kenya HA Ongoing Yes Yes N/A N/A Ndau Primary School 24 21204 Renovationand Kenya HA Ongoing 290,000 Yes Yes N/A N/A Construction Msambweni, Nganja 25 21101 Perani Primary School 294,000 Renovationand Kenya HA Ongoing Yes Yes N/A N/A Construction KizingitiniYouth 26 22491 Polytechnic Kenya HA Planned 261,797 Yes N/A N/A N/A Renovation

27 11895 Fundo Island Water 6,892 Reservoirs Tanzania HA Completed Yes Yes Yes N/A

28 12123 Kigongoi Dispensary 1,996 Water Catchment Tanzania HA Completed Yes Yes No N/A Vitongoji Primary and 29 20057 Secondary School Tanzania HA Ongoing 240,000 No Yes N/A N/A Augment

30 20058 Matale Primary School 348,615 N/A Addition Tanzania HA Ongoing Yes Yes N/A Berna Dispensary 31 21125 Repairs and Water Tanzania HA Ongoing 10,000 No Yes N/A N/A Catchment Manza Bay Secondary 32 22495 School Water Tanzania HA Ongoing 10,000 Yes Yes N/A N/A Catchment

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USAFRICOM HA Ongoing Completed Estimated Strategic and Adequate HCA OHASIS Name Country HA/ Project Cost in Objectives Completed 30-Day Structure Number HCA Status' Documented 2 Dollars Accurately Sustainment AAR Project Identified Plans Above $10,000 Ndaoya School Water 33 22497 Catchment Tanzania HA Ongoing 10,000 Yes Yes N/A N/A Gombero Medical 34 22498 Dispensary Renovation Tanzania HA Ongoing 10,000 Yes Yes N/A N/A and Water Catchment Nyumbu Primary 35 8918 School Construction Tanzania HA Planned' 448,000 Yes N/A N/A N/A Kontali Primary School 36 7493 Renovation Djibouti HCA Completed 314,000 Yes N/A No Yes 37 12760 KalaffMedical Clinic Djibouti HCA Ongoing 490,000 Yes N/A N/A N/A Dikhil Primary School 38 21243 #1 Renovation Djibouti HCA Planned 200,000 Yes N/A N/A N/A Gende Gerade Primary 39 9423 School Ethiopia HCA Completed 420,000 Yes N/A No Yes Dire Dawa Regional 40 9431 Water Program Ethiopia HCA Completed 395,000 Yes N/A No Yes Challulamsa, Dube 41 13951 & Hu Ila Water Well Ethiopia HCA Ongoing 138,000 Yes N/A N/A N/A Drilling

42 20969 Wahil Health Clinic HCA N/A N/A N/A Restoration Ethiopia Planned 120,000 No Dire Dawa Veterinary 43 22449 Civic Action Project Ethiopia HCA Planned 100,000 No N/A N/A N/A Garissa Veterinary 44 12779 Civic ActionProgram Kenya HCA Completed 100,000 Yes N/A No N/A Military Tropical 45 14199 Medicine 2012 Kenya HCA Completed 110,000 Yes N/A No N/A Mission

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46 21456 Bargoni Medical Civic 100,000 Action Project Kenya HCA Planned No N/A N/A N/A

47 12792 Mkinga Veterinary 100,000 Civic Action Project Tanzania HCA Completed Yes N/A No N/A Pemba Island 48 11896 Veterinary Civic Tanzania HCA Completed 100,000 Yes N/A Yes N/A Action Project Southern Coast 49 22445 Veterinary Civic Action HCA 150,000 N/A N/A N/A Project/ Medical Civic Tanzania Planned No Action Project Total $8,701,542 40 29 4 4

1 We use the term "planned" to reflectprojects which had not yet been approved by USAFRICOM. We use the term "ongoing" to reflectprojects that were funded or in progress. 2 We determined whether AARs were adequate by comparing the informationcontained in the nominations and the AARs to the type of information the RAND suggests and verifiedwhether all fields of the template were complete. Specific informationwe reviewed included standard indicators, lessons learned, measures of performance, and measures of effect. 3 One project was subsequently canceled and completed as a low cost activityusing excess material from other projects. 4 HA completed project observed and not maintained. s At the timeof our review, the project status in OHASIS was 11planned;11 however, the project status should have been 11canceled.11

Note: Under HA Ongoing and Completed Documented Sustainment Plans column, "N/A11 indicates planned, canceled, or not an HA project. Under Adequate 30-0ay AAR column, 11N/A11 indicates that the project was yet to be completed and, therefore,did not a require 30-day AAR at the timeof review. Under Completed HCA Structure Project Above $10,000 column, 11N/A11 indicated the project was planned, ongoing, canceled, or an HA project, or a non-structure project.

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TableB-2. Resultsof CommunityRelations Activities Reviewed

USAFRICOM Estimated Strategic Name Country Activity Cost Objectives Status in Dollars Accurately I I I I I Identified 1 Dikhil Community Cleanup Djibouti Completed $1,000 Yes Day Association to Combat 2 Juvenile Delinquency Djibouti Completed 1,000 Yes Sports Equipment

3 Karabti San Community Djibouti Ongoing - - Center 4 Soldier in the Classroom Djibouti - - -

T-shirts for Basic Sea - - 5 Survival Djibouti 1,000

Latrine Renovation of the Ethiopia - 546 Yes 6 Ubune Endrias Orphanage 7 Chito Health Center Well Ethiopia - - - 8 Dire Dawa Youth Center Ethiopia - 1,000 -

Dawit Aid for Aged Persons Ethiopia - Yes 9 Association Brick Oven 865 10 New Hope Orphanage Ethiopia - 1,000 - Dawit Elderly Center 11 Construction Ethiopia Completed 967 Yes

12 Wiyoni Primary School Kenya - 1,000 Yes Water Pump and Pipe 13 Fish Civil Affairs Program Kenya - - - 14 Mombasa Vendor Day Kenya - 2,700 - 15 Mpirani Dispensary Wall Tanzania Completed 1,000 Yes Total $12,078 7

Note: A dash indicates that data were not available.

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Table B-3. Resultsof Low CostActivities Reviewed

USAFRICOM Activity Strategic Objectives Name Country Status Accurately I I I I Identified First Generator Maintenance 1 Seminar at Dikhil Technical Djibouti Completed Yes School Solar Panel Maintenance Djibouti Completed 2 Seminar No English Discussion Group for Djibouti Completed Yes 3 Dikhil Teachers

4 Movie Night in Mouloud Djibouti Completed No Second Generator Djibouti Yes 5 Maintenance Seminar Completed English Discussion Group at Djibouti 6 Dikhil Vocational High School Completed No First Aid Training for Dikhil Djibouti 7 Primary School Teachers Completed No 8 Movie Night Djibouti - - - - 9 Soldier in the Classroom Djibouti 10 First Responder TCT Djibouti - - - - 11 Firefighter Best Practices Djibouti - - 12 English Discussion Group Djibouti English Discussion Group Ali Djibouti Completed 13 Sabieh Middle School No Agricultural Workshop Djibouti - 14 Exchange Completed - - 15 Anti-Juvenile Delinquency Djibouti 16 Medical Best Practice Session Djibouti Completed Yes Movie Night at Abilene Djibouti No 17 Library Completed

English Discussion Groups at - 18 Abilene Library Djibouti Planned - 19 Female Engagement Djibouti Completed English Discussion Groups Djibouti 20 with Djiboutian Army Completed Yes

21 First Aid Training for Teachers Ethiopia Completed Yes Firefighterand First Ethiopia Planned Yes 22 Responder Training

Progetto English Discussion Ethiopia Completed 23 Group No

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USAFRICOM Activity Strategic Objectives Name Country Status Accurately I I I I Identified Awassa Children's Center 24 English Discussion Group Ethiopia Completed Yes Cheshire Services 25 Wheelchair Assembly and Ethiopia Completed No Distribution 26 Shiny Day Social Services Ethiopia Completed Yes Insecticide Treated Net 27 Distribution in Oromiya Ethiopia Completed Yes Region

28 Cheshire Fundraiser Walk Ethiopia Completed Yes 21 Kilometer Hike to Support 29 Ethiopia Completed Cheshire Services No 30 Skype Sessions Ethiopia Planned - 31 Flip Flop Distribution Ethiopia Planned -

Cheshire Services - - 32 Wheelchair Ethiopia Tree Planting at Cheshire 33 Services Ethiopia Completed Yes

34 St. Augustine Orphanage Ethiopia Completed Yes Book Donation at Dire Dawa Ethiopia Completed 35 Disability Resource Center No

Book Donation at Teacher's - 36 Technical College Ethiopia Completed Female Train the Trainer 37 Program Ethiopia Planned Yes Emergency Response 38 Coalition Training Ethiopia Completed Yes

39 New Hope Orphanage Ethiopia Completed No 40 University Engagement Ethiopia Planned Yes Nongovernmental Ethiopia Completed - 41 Organization Umbrella

42 Movie Night at Orphanage Ethiopia Completed Yes 43 Female Police Ethiopia Completed Yes - - 44 Harar Technical College Ethiopia Insecticide Treated Net 45 Distribution in Chiro and Ethiopia Completed No Doba 46 Haramaya FET Ethiopia Planned -

Cheshire Services 7 Ethiopia Completed 47 Kilometer Walk No

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Movie Night and Soccer 48 Games at Chito Well Ethiopia Completed

49 Movie Night Kenya so Skype with U.S. students Kenya Completed 51 Basic Sea Survival Class Kenya Completed No Total 18

Note: A dash indicates that data were not available.

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AppendixC Funding Authorities, Approval Process, and Project Guidance Funding Authorities CJTF-HOA plans and executes CMO projects and activities using various authorities and funding mechanisms. Section 2561, title 10, United States Code, authorizes HA projects, and the Overseas Humanitarian, Disaster and Civic Aid appropriation funds HA projects. Section 401, title 10, United States Code authorizes HCA projects, and separate authorities fund HCA projects. For community relations activities, the Assistant Secretary of the Navy provides operations and maintenance funds to U.S. Fleet Forces Command. The command then distributes those funds to CJTF-HOA. USAFRICOM and CJTF-HOA officials stated low cost activities do not have a specificfunding authority.

Approval Process USAFRICOM and CJTF-HOA officials stated both HA and HCA projects have a similar nomination and approval process. The process begins with a demand signal by a CMO official, interagency partner, or host nation representative. Once the demand signal is identified, the battalion and core staff vet the project internally. Subsequently or concurrently, battalion personnel enter project nomination information into OHASIS for USAFRICOM coordination and approval. The USAFRICOM project manager will perform a review and coordinate the project through the appropriate staff, such as the country desk officers, legal, and engineers. After a project is vetted through USAFRICOM, the project manager can either approve both HA and HCA minimal cost projects or forward HA projects above a specified dollar threshold to Defense Security Cooperation Agency. HCA projects are forwardedto Joint Staff. Once approved, the project is prioritized, funded,and scheduled forexecution.

For community relations activities, CJTF-HOA officials stated the community relations working group meets formally or informally, as scheduled by the public affairs office, to discuss and consider for approval requests and prioritization for community relations funds. The community relations working group consists of one representative fromthe public affairsoffice, CJ-8, CA community relations project manager,and CJTF-HOA staffjudge advocate. A CJTF-HOA official stated thatCA teams performlow cost activities. Also, officials stated that embassy, battalion, and command officials vet and approve low cost activities.

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Figure C-1 illustrates the timeframe for HA guidance, and Figure C-2 illustrates the timeframe for HCA guidance. Six documents were in effect during our review of HA projects. Six documents were in effect during our review of HCA projects. DoD instructions and cable guidance, Defense Security Cooperation Agency Manual, and SOPs served as guidance.

FOR OFFICIALUBE ONLY DODIG-2014-005 I 43 ran orr1cro I IISFonnJr AJlpenrliXe.s

' 2011.

�f:artb Nov•mber DKe-mbr,r .'.\fay 2008 2009 2011 �012

.- - - - - ... I I r I I . .

2009-2011 20 � Cabll' Cable Guid:ul CJ'IF.BOA SOP

USAFRJC0!\1 SOP

l.eg

Figure C· l. HA Guidance Source: DonOIG

44 I DDD!G-2014-005 F8R 8FFT@blzL8!31?2 81 rLY Appendixes

M.,y MM·cb Df'c#mber December 2007 2008 !008 20ll

- .l ... J. .l J. - - I I - ... :?008 Cabl� Guidance USAFRICOM 1loll 5lo;..38-!U SOP csunt> , - Od:!Oll! ] DoD losn·qcc:iou :!Z05�0: CJU-BOAl : DoD Insn·uclion SOP :?205.3 Jaou ary 1995 Leread - s ...... I! --+ C +-- F CA C A SA s A so s 0

FigureC-2. HCA Guidance Source: DoD OIG

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AppendixD Theater Plans U.S. guidance, such as the National DefenseStrategy and the Guidance forthe Employment of the Force, form the basis for USAFRICOM plans and operations in the Horn of Africa region. USAFRICOM develops and issues strategic guidance, such as its theater campaign plan, which includes strategic objectives, effects,and LOEs. CJTF-HOA uses this guidance to develop its campaign and individual country plans.

2009 USAFRICOM Theater Campaign Plan (�) USAFRICOM organized the October 2009 USAFRICOM Theater Campaign Plan by five LOEs and six theater strategic objectives. The command used LOEs to group activities, which could lead to accomplishing one or more theater strategic objectives.

• (�) LOE 1. Deter or defeat activities which undermine or threaten U.S. interests.

• (FOUO) LOE 2. Develop and improve the security capabilities and capacities of designated Africanstates, the AfricanUnion, and regional organizations.

• (FOUO) LOE 3. Support U.S. Government agencies in implementing security diplomatic and development policies.

• (�) LOE 4. Strengthen existing relationships and expand USAFRICOMs network of partners on the continent.

• (�) LOE 5. Continue evolution of the command, develop and adapt the commands subordinate command structure, systems, processes, and theater posture to enable AFRICOMs activities and its cooperation with partners.

For each theater strategic objective, there were 1 or more strategic effects for a total of 30. These objectives and their associated strategic effectswere more specificand guided effortsto comply with priorities.

• (�) Theater Strategic Objective 1. Al-Qaida Network is defeated in the USAFRICOM area of responsibility.

• (�) Theater Strategic Objective 2. The United States and designated Africanstates maintain assured access throughout the area of responsibility.

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• (FeOO) Theater Strategic Objective 3. The American population is protected fromdeadly contagion emanating fromAfrica.

• (FeOO) Theater Strategic Objective 4. IdentifiedAfrican states cooperate in the creation of an environment inhospitable to unsanctioned possession and proliferationof weapons of mass destruction capabilities and expertise.

• (FeOO) Theater Strategic Objective 5. Military support to comprehensive, holistic, and enduring U.S. Government efforts in designated states has improved security sector governance and has increased stability.

• (FOUO) Theater Strategic Objective 6. Continental peace support operations effectively meet mission requirements; peace operations capacity exists to respond to emerging crisis.

2012 USAFRICOM TheaterCampaign Plan The January 2012 Theater Campaign Plan included six LOEs. Within the LOEs, there were 1 or more theater security objectives for a total of 17. Theater strategic objectives articulate achievable goals beyond 5 years, which allow the command to nest its support plans and synchronize its activities with interagency partners. Following are the six LOEs, which link objectives and tasks.

• LOE 1: Counter Violent Extremist Organizations.

• LOE 2: Maintain Strategic Posture.

• LOE 3: Counter Elicit Trafficking.

• LOE 4: Counter Piracy.

• LOE 5: Prepare and Respond to Crisis.

• LOE 6: Strengthen DefenseCapabilities.

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Management Comments Under Secretary of Defense for Policy

OFFICE OF THE ASSISTANT SECRETARY OF DEFENSE 2500 DEFENSEPENTAGON WASHINGTON, O.C 20301-2�0

iPe<:l,t• OPl:RAllONS/ 10W"!ll1SN5'T'ICONFLICT

MEMORANDUM FOR I SPECTOR G6NERAL OF THE DEPARTMENT OF DEFENSE

SLJBJECT: Response to DoD Or!'ice ol'Lhe Inspector General Oran Report on ··combii1ed Joint Task florce-Hom of Africa ceded B ttcrGuidance and Systems to Adequately Manafl,l? Civil-Military Op rnt!Ol"ls'' dated August 19. 2013 (Project No. 02012- DOOOJA-0182.000)

As requested, f am providing respon e to the general content and rec rnmendations contafoed tn the subject report.

Recommendation j: We recommend the ndcr Secretary of DcferuicP for olicy, in coordination with the Chairman . .loint Chiefs ofStafi� develop guidance to include an after action rcpon rcquircmcoL that addresses sustainment for hummni1urian and civic assistancer p c,jects.

Response: Concur. OSO, in coordinati n with the Joint taff, pre ·ously identifiud ihe need to better address assessments ofhumnnit,1ria11 and civic assistance projects. As a resul addiiional language regarding proj.:ct as ·essmenis was included as part or a revision to DODI :!2.05.02 /111111 mil

Please contact fadditional information i · required.

Performing the Duties of Deputy A:,;si tant Secretary of Defense, Partnership Strateg & Stability Operations

tiachmenis: As stated

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U.S. Africa Command

UNCLASS1FIED//F8l:l8

HEADQUARTERS UNITED STATES AFRICA COMMAND Office of the Chief of Staff UNIT 29951 APO AE 09751-9951

20 September 2013

MEMORANDUM FOR DEPARTMENT OF DEFENSE INSPECTOR GENERAL

SUBJECT: Response to the Draft Department of Defense Inspector General Audit of Civilian Military Operations in the Hom of Africa

I. Reference: (a) Department of Defense Inspector General Draft Report. Audit of Civilian Military Operations in the Hom of Africa Project No. D2012-DOOOJ A- 0182.000

2. We have reviewed the draft report from the Department of Defense Inspector General (DoD JG) on U1e Audit of Civilian Military Operations in the Hom of Africa. There are several major areas ofconcern with the report as written and outlined below:

a. As the scope of this report is more broadly defined to assess civil-military operations as conducted by Combined Joint Task Force Horn of Africa (CJTF-HOA), USAFRJCOM will only be able to address those findings which relate directly to Humanitarian Assistance (HA) and Humanitarian Civic Assistance (HCA) projects and not on community relations and low cost activities. Lack ofa clear differentiation of findings on a specific program(s) has contributed to findings which can be construed ro be misleading.

b. We remain concerned about the methodoloi;,,y used to carry out the evaluation, namely the use of non-representative and non-statistical sampling. Additionally. the team did not include a subject matter expert familiar with HA. HCA and the Oversea Humanitarian Assistance Shared Information System. From the overall reporting and management perspective. the report omits those functions and projects which CJTF-HOA executed well which provide less than an accurate view on their overall implementation. Lastly. much of the detailed input which the USAFRICOM Humanitarian and Health Activities (flHA) Brauch provided to the initial draft of the report was not incl udcd i a the report.

c. The report routinely comingles requirements directed by law. regulation. and policy with elements of opinion that are ··nice lo do" items if given greater resources. Many of the findings and recommendations outlined in the report address areas that certainly would be useful and might provide greater impact but are not requi.rcmcnts by any law. regulation. or policy. Tbc report should clearly differentiate areas which are outside requirements versus areas wnich the team thought could be improved.

UNCLASS1FIED//F8W8

FOR OFFICIAL USE ONLY DODIG-2014-005 I 49 Management Comments FOR OFFICIAL USE ONLY

U.S. Africa Command Cont'd

UNCLASSIFIEO/l'fel::19-

d. USAFRICOM bas recently addressed many oflhe report·s rcconunendations with the publication of the Africa Command Manual (ACM) 3900.03, Humanitarian and Health Activities Branch Programs.

e. The expectation is that HA and HCA activities in the CJTF HOA Area of Responsibility (AOR) will now be nominated th.rough the Offices of Security Cooperation and in partnership with the respective country teams, as is the existing practice on the rest of the continent.

3. USAFRlCOM appreciates the DoD JG review of the programs and the effort to provide feedback lo the command and to CJTF-HOA for future improvements.

�tel�Colonel. U.S. Marine Corps Acting Chief of Staff

2 UNCLASS1FIEDHF8W8

f?OKOf?f?ICIAL U�E ONLY 50 I DODIG-2014-005 FOR OFFICIAL USE ONLY Acronyms and Abbreviations

Acronyms and Abbreviations

AAR AfterAction Report CA Civil Affairs CJTF-HOA Combined Joint Task Force-Horn of Africa CMO Civil-Military Operations HA Humanitarian Assistance HCA Humanitarian and Civic Assistance LOE Line of Effort MIPR Military Interdepartmental Purchase Request OHASIS Overseas Humanitarian Assistance Shared Information System SOP Standard Operating Procedure USAFRICOM U.S. Africa Command

FOR OFFICIALU5E O�JLY DODIG-2014-005 I 51 WhistleblowerProtection U.S. DEPARTMENT OF DEFENSE The Whistleblower Protection Enhancement Act of 2012 requires the Inspector General to designate a Whistleblower Protection Ombudsman to educate agency employees about prohibitions on retaliation, and rights and remedies against retaliation for protected disclosures. The designated ombudsman is the DoD IG Director for Whistleblowing & Transparency. For more information on your rights and remedies against retaliation, go to the Whistleblower webpage at www.dodig.mil/programs/whistleblower.

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