oversight

Foreign Police Assistance: Defined Roles and Improved Information Sharing Could Enhance Interagency Collaboration

Published by the Government Accountability Office on 2012-05-09.

Below is a raw (and likely hideous) rendition of the original report. (PDF)

             United States Government Accountability Office

GAO          Report to the Ranking Member,
             Subcommittee on National Security,
             Homeland Defense and Foreign Operations,
             Committee on Oversight and Government
             Reform, House of Representatives
MAY 2012
             FOREIGN POLICE
             ASSISTANCE
             Defined Roles and
             Improved Information
             Sharing Could
             Enhance Interagency
             Collaboration




GAO-12-534
                                            May 2012

                                            FOREIGN POLICE ASSISTANCE
                                            Defined Roles and Improved Information Sharing
                                            Could Enhance Interagency Collaboration
Highlights of GAO-12-534, a report to the
Ranking Member, Subcommittee on National
Security, Homeland Defense and Foreign
Operations, Committee on Oversight and
Government Reform, House of
Representatives

Why GAO Did This Study                      What GAO Found
In April 2011, we reported that the         The United States provided an estimated $13.9 billion for foreign police
United States provided an estimated         assistance during fiscal years 2009 through 2011. Funds provided by U.S.
$3.5 billion for foreign police             agencies rose and then fell between fiscal years 2009 and 2011. During fiscal
assistance to 107 countries during          years 2009 through 2011, the United States provided the greatest amount of its
fiscal year 2009. We agreed to follow       foreign police assistance to Afghanistan, Iraq, Pakistan, Colombia, Mexico, and
up that report with a review of the         the Palestinian Territories. Department of Defense (DOD) and State (State) funds
extent to which U.S. agencies               constituted about 97 percent of U.S. funds for police assistance in fiscal year
evaluated and coordinated their foreign     2009 and 98 percent in fiscal years 2010 and 2011.
police assistance activities.
As such, this report (1) updates our        Estimated U.S. Funding for Foreign Police Assistance by Country, Fiscal Years 2009 through
                                            2011
analysis of the funding U.S. agencies
provided for foreign police assistance
during fiscal years 2009 through 2011,
(2) examines the extent to which DOD
and State/INL assess or evaluate their
activities for countries with the largest
programs, and (3) examines the
mechanisms U.S. agencies use to
coordinate foreign police assistance
activities. GAO focused on DOD and
State because they have the largest
foreign police assistance programs.
GAO analyzed program and budget
documents and interviewed officials         DOD and State’s Bureau of International Narcotics and Law Enforcement Affairs
from DOD, State, Energy, the U.S.
                                            (State/INL) have acknowledged limitations in their procedures to assess and
Agency for International Development,
                                            evaluate their foreign police assistance activities and are taking steps to address
Justice, the Treasury, and Homeland
Security.
                                            them. DOD assesses the performance of the police forces it trains and equips in
                                            Afghanistan, Iraq, and Pakistan. However, the assessment process for
                                            Afghanistan does not provide data on civil policing effectiveness. DOD plans to
What GAO Recommends                         expand its assessments to obtain data to assess the ability of these forces to
GAO recommends that (1) NSC                 conduct civil policing operations. In addition, recognizing that it had conducted
complete its efforts to define agency       only one evaluation of its foreign police assistance activities because it lacked
roles and responsibilities, and (2) the     guidelines, State/INL is developing an evaluation plan that is consistent with
Secretaries of Defense and State            State’s February 2012 Evaluation Policy. This evaluation plan includes
establish mechanisms to better share        conducting evaluations for its largest programs in Iraq and Mexico.
and document information among
various U.S. agencies. NSC provided         U.S. agencies have implemented various mechanisms to coordinate their foreign
technical comments, but did not             police assistance activities as part of wider foreign assistance activities, such as
comment on our recommendation. DOD          the National Security Council’s (NSC)-led interagency policy committees that
concurred and State partially concurred,    coordinate policies at a high level and various working groups at the overseas
noting the importance of interagency        posts. However, GAO noted some areas for improvement. Specifically, NSC has
collaboration.                              not defined agencies’ roles and responsibilities for assisting foreign police.
                                            Further, DOD and State do not consistently share and document information. For
                                            example, DOD did not provide copies of its capability assessments of the Iraqi
                                            police to State, which is now responsible for police development in Iraq, because
View GAO-12-534. For more information,      it destroyed the database containing the assessments at the end of its mission to
contact Charles Michael Johnson Jr., at
(202) 512-7331 or johnsoncm@gao.gov.
                                            train the police. Further, some U.S. embassies, including the one in Bogotá,
                                            Colombia, do not publish agendas or minutes of their proceedings.
                                                                                        United States Government Accountability Office
Contents


Letter                                                                                      1
               Background                                                                   2
               The United States Made Available an Estimated $13.9 Billion for
                 Foreign Police Assistance during Fiscal Years 2009 through 2011            4
               DOD and State Are Taking Steps to Address Limitations in Their
                 Procedures for Assessing and Evaluating Foreign Police
                 Assistance Activities                                                    12
               U.S. Agencies Coordinate Foreign Police Assistance Activities, but
                 Some Areas for Improvement Exist                                         20
               Conclusions                                                                25
               Recommendations for Executive Action                                       26
               Agency Comments and our Evaluation                                         26

Appendix I     Scope and Methodology                                                      28



Appendix II    DOD and State Funds Made Available for Police Assistance,
               by Region and Country, Fiscal Years 2010 and 2011                          33



Appendix III   DOD and State Amounts Made Available for Police Assistance, by
               Account, Fiscal Years 2010 and 2011                                        46



Appendix IV    Profiles of Selected Countries Receiving Foreign Police Assistance,
               Fiscal Year 2010 and Fiscal Year 2011                                      48



Appendix V     Supplemental Information on DOD Assessment Process for the
               Iraqi and Afghan National Police Forces                                    55



Appendix VI    Comments from the Department of Homeland Security                          57



Appendix VII   Comments from the Department of State                                      58




               Page i                                     GAO-12-534 Foreign Police Assistance
Appendix VIII   GAO Contact and Staff Acknowledgments                                       61



Tables
                Table 1: Other Agency Funding Made Available for Police
                         Assistance, Fiscal Year 2011                                       12
                Table 2: Examples of Proposed DOD Reporting Questions and
                         Metrics for ANP Units                                              16
                Table 3: Examples of Coordination Mechanisms for Activities That
                         Include U.S. Foreign Police Assistance                             22
                Table 4: Descriptions of Select U.S. Accounts Used to Fund
                         Foreign Police Assistance                                          46
                Table 5: Estimated DOD and State Funds Made Available for
                         Foreign Police Assistance Activities, Fiscal Years 2010 and
                         2011                                                               47
                Table 6: DOD Capability Milestone Rating Definitions for the
                         Afghan Ministry of Defense and Ministry of Interior                56


Figures
                Figure 1: Estimated U.S. Funding for Foreign Police Assistance, by
                          Region, Fiscal Years 2009 through 2011                              5
                Figure 2: Estimated U.S. Funding for Foreign Police Assistance, by
                          Country, Fiscal Years 2009 through 2011                             6
                Figure 3: Estimated Funds Made Available for Foreign Police, by
                          Agency, Fiscal Years 2009 through 2011                              8
                Figure 4: Estimated DOD and State Amounts Made Available for
                          the Six Largest Recipients of U.S. Foreign Police
                          Assistance, Fiscal Years 2009 through 2011                          9
                Figure 5: Estimated DOD and State Funds Made Available for
                          Police Assistance in South and Central Asia, by Country,
                          Fiscal Years 2010 and 2011                                        34
                Figure 6: Estimated DOD and State Funds Made Available for
                          Police Assistance in the Near East, by Country, Fiscal
                          Years 2010 and 2011                                               36
                Figure 7: Estimated DOD and State Funds Made Available for
                          Police Assistance in the Western Hemisphere, by Country,
                          Fiscal Years 2010 and 2011                                        38
                Figure 8: Estimated DOD and State Funding for Police Assistance in
                          Europe and Eurasia, by Country, Fiscal Years 2010 and 2011        40



                Page ii                                     GAO-12-534 Foreign Police Assistance
Figure 9: Estimated DOD and State Funds Made Available for Police
          Assistance in Africa, by Country, Fiscal Years 2010 and 2011                    42
Figure 10: Estimated DOD and State Funds Made Available for
          Police Assistance in East Asia and the Pacific, by Country,
          Fiscal Years 2010 and 2011                                                      45




Abbreviations
ANA                   Afghan National Army
ANP                   Afghan National Police
DASD-CN&GT            Office of the Deputy Assistant Secretary of Defense for
                      Counternarcotics and Global Threats
DEA                   Drug Enforcement Administration
DHS                   Department of Homeland Security
DOD                   Department of Defense
DOE                   Department of Energy
DOJ                   Department of Justice
FBI                   Federal Bureau of Investigation
INCLE                 International Narcotics Control and Law Enforcement
INL                   Bureau of Narcotics and International Law
                      Enforcement Affairs
IPCB                  International Police Coordination Board
NSC                   National Security Council
USAID                 U.S. Agency for International Development

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Page iii                                             GAO-12-534 Foreign Police Assistance
United States Government Accountability Office
Washington, DC 20548




                                   May 9, 2012

                                   The Honorable John F. Tierney
                                   Ranking Member
                                   Subcommittee on National Security,
                                   Homeland Defense and Foreign Operations
                                   Committee on Oversight and Government Reform
                                   House of Representatives

                                   Dear Mr. Tierney:

                                   It is important to U.S. national security objectives that the United States
                                   effectively work with the security forces of other countries. The United
                                   States has devoted significant resources to training and equipping foreign
                                   police units in some of the most unstable countries in the world to build
                                   their counterinsurgency, counternarcotics, counterterrorism, and anticrime
                                   capabilities. As such, assessments or evaluations of U.S. efforts to train
                                   foreign police forces are critical to the ability of agencies to make
                                   informed decisions about future programming. The first phase of our work
                                   in response to your request focused on funding and agencies providing
                                   foreign police assistance in fiscal year 2009. In April 2011, we reported
                                   that the United States provided an estimated $3.5 billion for foreign police
                                   assistance to 107 countries during fiscal year 2009. 1 We agreed to follow
                                   up that report with a review of the extent to which U.S agencies evaluated
                                   and coordinated their foreign police assistance activities.

                                   This report (1) provides an updated analysis of the amount and type of
                                   assistance U.S. agencies provided for foreign police assistance
                                   worldwide during fiscal years 2009 through 2011, (2) examines the extent
                                   to which the Department of Defense (DOD) and the Department of State’s
                                   (State) Bureau of International Narcotics and Law Enforcement Affairs
                                   (State/INL) assess or evaluate their foreign police assistance activities for
                                   countries with their largest programs, and (3) examines the mechanisms
                                   U.S. agencies use to coordinate their foreign police assistance activities.



                                   1
                                    GAO, Multiple U.S. Agencies Provided Billions of Dollars to Train and Equip Foreign
                                   Police Forces, GAO-11-402R (Washington, D.C.: Apr. 27, 2011). We defined “police” as
                                   all foreign law enforcement units or personnel with arrest, investigative, or interdiction
                                   authorities. We included all training—regardless of content—and equipment.




                                   Page 1                                                GAO-12-534 Foreign Police Assistance
             For objective 2, we focused on DOD and State/INL because they have
             the largest programs that provide assistance to foreign police forces.

             To address our objectives, we analyzed agency program documents and
             past GAO reports, relevant legislation, and agency and congressional
             budget documents. We also interviewed officials from DOD, State, the
             U.S. Agency for International Development (USAID); the Departments of
             the Treasury (Treasury), Justice (DOJ), Energy (DOE), and Homeland
             Security (DHS); and the U.S. embassies in Colombia and Peru, two
             countries with large foreign police assistance programs. We focused on
             Afghanistan, Iraq, Pakistan, Colombia, Mexico, and the Palestinian
             Territories because they had the largest programs between fiscal years
             2009 and 2011. To obtain total U.S. government funding, we analyzed
             estimated funding data provided by DOD, State, DOE, USAID, Treasury,
             and DOJ. According to agency officials, these amounts are estimates
             because activities to train and equip police are not generally categories
             the agencies use to track funding. Appendix I provides a detailed
             discussion of our scope and methodology.

             We conducted this performance audit from April 2011 through May 2012
             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 findings and
             conclusions based on our work objectives.


             Although numerous U.S. agencies are engaged in U.S. efforts to provide
Background   assistance to foreign police forces, DOD and State are the major
             providers—providing police training around the world through a variety of
             authorities. DOD trains and equips foreign police forces to support its
             counterinsurgency operations. It also provides support for the
             counterdrug activities of foreign law enforcement agencies for purposes
             including counterdrug training of foreign law enforcement personnel. DOD
             provides such assistance around the world through a variety of
             authorities. For example, section 1004 of the NDAA for Fiscal Year 1991,
             as amended, authorizes DOD to provide support for the counterdrug
             activities of foreign law-enforcement agencies for purposes including
             counterdrug training of foreign law-enforcement personnel, if requested




             Page 2                                     GAO-12-534 Foreign Police Assistance
by an appropriate official of a federal agency with counterdrug
responsibilities. 2

State trains and equips foreign police to support a variety of U.S. foreign
policy objectives, including suppressing international narcotics trafficking,
combating terrorism, and developing and implementing U.S. policies to
curb the proliferation of all types of weapons of mass destruction. Different
State bureaus carry out police assistance under different authorities. For
example, according to State/INL officials, State/INL carries out its mission
under authorities in Chapter 8 of the Foreign Assistance Act, as amended, 3
which among other things, authorizes the provision of law-enforcement
training. DOE provides training and equipment to overseas law
enforcement, both at national borders and to police and security forces, as
part of the mission of its National Nuclear Security Administration’s Second
Line of Defense program to strengthen the capability of foreign
governments to deter, detect and interdict illicit trafficking in nuclear and
other radioactive materials across international borders, through the global
maritime shipping system, and by equipping teams to be deployed
throughout their countries. USAID provides community-based police
assistance as part of its role in promoting the rule of law through assistance
to the justice sector. Treasury provides training as part of its mission to
support the development of strong financial sectors and sound financial
management overseas. DOJ and DHS implement foreign police assistance
activities primarily funded by State. Treasury also receives some funds
from State.

The U.S. agencies use a variety of mechanisms to implement their
foreign assistance activities. State and DOD may work through
contractors to provide the assistance. For example, State managed a
contract funded by DOD to provide training to Afghan security forces,
including police. State contracted for training and aviation support in
Afghanistan, Pakistan, and Colombia, the Palestinian Territories, Haiti,
and Peru. DOD and State may also enter into agreements with U.S.
agencies to provide foreign police assistance. For example, State has
interagency agreements with DOJ and DHS. Training is provided at a
variety of locations in the United States, such as the Federal Law
Enforcement Training Center in Georgia and the Federal Bureau of


2
Pub. Law No. 101-510, as amended.
3
Pub. Law No. 87-195, as amended.




Page 3                                       GAO-12-534 Foreign Police Assistance
                           Investigation (FBI) Academy in Virginia, and at various DOD training
                           facilities. Trainers provided by various U.S. agencies also travel overseas
                           to provide instruction. Foreign law enforcement personnel are also trained
                           at State-funded international law enforcement academies located in El
                           Salvador, Thailand, Hungary, Botswana, and Peru. The training covers a
                           variety of subject matter, including crime scene investigation, postblast
                           investigations, forensics, and behavioral analysis.


                           We estimate the U.S. government made available $13.9 billion for foreign
The United States          police assistance during fiscal years 2009 through 2011. 4 Most U.S.
Made Available an          funding made available for foreign police assistance during fiscal years
Estimated $13.9            2009 through 2011 provided training and equipment to Afghanistan, Iraq,
                           Pakistan, Colombia, Mexico, and the Palestinian Territories. DOD and
Billion for Foreign        State funds constituted about 97 percent of the U.S. funds for police
Police Assistance          assistance in fiscal year 2009 and 98 percent of U.S. funds for police
                           assistance in fiscal years 2010 and 2011. Four other agencies provided the
during Fiscal Years        remaining amount.
2009 through 2011

Funds Made Available for   On the basis of data provided by DOD, State, DOE, USAID, Treasury,
U.S. Foreign Police        and DOJ, we estimate that the U.S. government made available $3.5
Assistance Rose and Then   billion in foreign police assistance in fiscal year 2009, $5.7 billion in fiscal
                           year 2010, and $4.7 billion in fiscal year 2011 (see fig. 1). 5 The funds
Fell during Fiscal Years
                           made available focused on sustaining the counternarcotics,
2009 through 2011          counterterrorism, anticrime, and other civilian policing efforts of police
                           forces around the world.




                           4
                            We use the term “made available” to mean that funds were appropriated, allotted, or
                           obligated during the specified fiscal years.
                           5
                            Funding estimates for fiscal years 2009 through 2011 include DOD appropriations,
                           allotments, and obligations; State appropriations, allotments, allocations, and obligations;
                           DOE allotments, obligations, and disbursements; USAID allotments; Treasury
                           appropriations; and DOJ obligations that were disbursed. DOD funding may include some
                           assistance provided to military personnel.




                           Page 4                                                GAO-12-534 Foreign Police Assistance
Figure 1: Estimated U.S. Funding for Foreign Police Assistance, by Region, Fiscal Years 2009 through 2011




                                         Note: (1) “Unspecified” funding for fiscal years 2009 through 2011 included funding that supported
                                         multiple countries and regions. (2) N/A = not applicable. (3) Numbers may not sum because of
                                         rounding. (4) This figure includes countries receiving police training and equipment from DOD, State,
                                         DOE, USAID, Treasury, and DOJ. Appendix II provides information on DOD and State funds, by
                                         country.




                                         Page 5                                                     GAO-12-534 Foreign Police Assistance
As figure 1 shows, nearly $3.7 billion, or 78 percent, of the estimated
foreign police assistance funds that the United States made available in
fiscal year 2011 supported activities in 12 South and Central Asian
countries. Agencies reported making assistance available to at least 107
countries in fiscal year 2009, 127 countries in fiscal year 2010, and 125
countries in fiscal year 2011.

Of the estimated $13.9 billion in foreign police assistance funds that the
United States made available during fiscal years 2009 through 2011, an
estimated $12.0 billion, or 86 percent of the total, went to the 5 largest
recipient countries and the Palestinian Territories (see fig. 2). As shown in
figure 2, $8.3 billion of these funds went to Afghanistan (about 60 percent
of the total), followed by Iraq, Pakistan, Colombia, Mexico, and the
Palestinian Territories.

Figure 2: Estimated U.S. Funding for Foreign Police Assistance, by Country, Fiscal
Years 2009 through 2011




Note: Unspecified funding for fiscal years 2009 through 2011 included funding that supported multiple
countries and regions, funding made available by DOJ not separated by country, and funding made
available by DOE not separated by country for fiscal year 2009.




Page 6                                                     GAO-12-534 Foreign Police Assistance
                             The remaining $1.9 billion, or about 14 percent, of the estimated total
                             U.S. assistance to foreign police supported more than 100 other countries
                             during fiscal years 2009 through 2011. Appendix II lists all countries that
                             received U.S. foreign police assistance from DOD and State during fiscal
                             years 2010 and 2011.


DOD and State Funds          DOD and State funds constituted an estimated 97 percent of total funding
Constituted Nearly All of    in fiscal year 2009 and 98 percent of total funding in fiscal years 2010 and
the Funds for U.S. Police    2011 (see fig. 3). DOD funded its foreign police assistance through a
                             variety of appropriations—including the Afghanistan Security Forces Fund,
Assistance in Fiscal Years   the Iraq Security Forces Fund, the Pakistan Counterinsurgency Fund—as
2009 through 2011            well as the Drug Interdiction and Counter-Drug Activities Defense Fund,
                             and its operations and maintenance funds. State funded its foreign police
                             assistance through the International Narcotics Control and Law
                             Enforcement account (INCLE); the Pakistan Counterinsurgency Capability
                             Fund; the Nonproliferation, Antiterrorism, Demining, and Related Programs
                             account; the Assistance for Europe, Eurasia and Central Asia account; and
                             the Section 1207 program. 6 See appendix III for additional information on
                             DOD and State funds by account for fiscal years 2010 and 2011.




                             6
                              Section 1207 of the fiscal year 2006 National Defense Authorization Act (Pub. L. No. 109-
                             163) provided authority for DOD to transfer up to $100 million per fiscal year to State to
                             support reconstruction, stabilization, and security activities in foreign countries. This
                             authority has expired.




                             Page 7                                              GAO-12-534 Foreign Police Assistance
Figure 3: Estimated Funds Made Available for Foreign Police, by Agency, Fiscal Years 2009 through 2011




                                        Note: (1) Numbers may not sum because of rounding. (2) “Other” includes funds made available by
                                        DOE, USAID, Treasury, and DOJ. (3) DOD based its funding estimates on appropriations, allotments,
                                        and obligations. (4) State based its funding estimates on appropriations, allocations, allotments, and
                                        obligations.


                                        As shown in figure 3, DOD’s funding made available for foreign police
                                        assistance increased from an estimated $1.9 billion in fiscal year 2009 to
                                        an estimated $3.5 billion in fiscal years 2010 and 2011, primarily because
                                        of increased funding for the Afghan National Police (ANP). Over that
                                        same period, State’s funding made available for foreign police assistance
                                        increased from an estimated $1.5 billion in fiscal year 2009 to an
                                        estimated $2.1 billion in fiscal year 2010 before decreasing to an
                                        estimated $1.2 billion in fiscal year 2011.

                                        As noted earlier, DOD and State made available the majority of U.S.
                                        foreign police assistance to Afghanistan, Iraq, Pakistan, Colombia, Mexico,
                                        and the Palestinian Territories. From fiscal years 2009 through 2011, DOD
                                        provided the majority of U.S. foreign police assistance to Afghanistan.
                                        DOD’s funding for foreign police assistance to Afghanistan more than
                                        doubled, from $1.3 billion in fiscal year 2009 to over $3 billion in fiscal years
                                        2010 and 2011. This increase supported U.S. efforts to accelerate the
                                        development of the ANP. In addition, State provided assistance to the 6
                                        largest recipients of U.S. foreign police assistance, and made between
                                        $169 million and $260 million available during fiscal years 2009 through



                                        Page 8                                                     GAO-12-534 Foreign Police Assistance
                                        2011 to Afghanistan for aviation support, police mentors, and antiterrorism
                                        assistance, among other activities (see fig. 4).

Figure 4: Estimated DOD and State Amounts Made Available for the Six Largest Recipients of U.S. Foreign Police Assistance,
Fiscal Years 2009 through 2011




                                        For Iraq, DOD transitioned its police assistance program to State during
                                        fiscal years 2010 and 2011. DOD funds made available decreased from
                                        $309 million in fiscal year 2010 to $114 million in fiscal year 2011. State
                                        assumed responsibility for a new police development program for the
                                        Iraqi police in October 2011. State allocated $650 million from the fiscal




                                        Page 9                                          GAO-12-534 Foreign Police Assistance
year 2010 INCLE supplemental funding 7 and about $95 million of the
fiscal year 2011 INCLE appropriation to train and equip the Iraqi police
forces and to support the transition from DOD and establish the new
police development program. For fiscal year 2012, State requested $887
million for its Iraqi Police Development Program. As of February 2012,
State estimated it would devote a smaller amount in fiscal year 2012
funding, $418 million, to this program, which would make it State’s largest
foreign police assistance program in the world. However, as of April 2012,
State revised its proposed fiscal year 2012 allocation of funds for
State/INL’s criminal justice programs in Iraq, including the Police
Development Program, to $250 million.

For Pakistan, DOD and State made funds available to support Pakistan’s
Frontier Corps and other law enforcement activities during fiscal years
2009 through 2011. DOD funds made available decreased from an
estimated $113 million in fiscal year 2010 to $3 million in fiscal year 2011.
In addition to providing counterinsurgency and counternarcotics training,
DOD provided equipment, including trucks, troop carriers, and
ambulances, as well as protective equipment such as Kevlar helmets,
uniforms, and night vision devices to the Frontier Corps. 8 State funds
made available decreased from an estimated $177 million in fiscal year
2010 to $172 million in fiscal year 2011. State launched a program in
2009 to provide training, equipment, and other support to police to
increase their professionalism, mobility, and communication capacity in
Khyber Pakhtunkhwa, a major city in Pakistan.

Foreign police assistance activities in Colombia, Mexico, and the
Palestinian Territories cover a variety of issues. For example, U.S. foreign
police activities in Colombia supported the government of Colombia’s
efforts to combat the drug trade. DOD and State’s funds made available
decreased from an estimated $185 million in fiscal year 2010 to $150



7
 See the Supplemental Appropriations Act, 2010, Pub. L. No. 111-212, July 29, 2010. Of
the supplemental funds appropriated for the International Narcotics Control and Law
Enforcement account, not less than $650 million was to be used for assistance for Iraq, of
which $450 million was for onetime start-up costs and limited operational costs of the Iraqi
police program; and $200 million was for implementation, management, security,
communications, and other expenses related to the program.
8
 GAO, Combating Terrorism: Pakistan Counterinsurgency Funds Disbursed, but Human
Rights Vetting Process Can Be Enhanced, GAO-11-860SU (Washington, D.C.:
Sept. 11, 2011).




Page 10                                               GAO-12-534 Foreign Police Assistance
                            million in fiscal year 2011. State’s activities included support to the
                            Colombian National Police’s aviation program and training on weapons
                            and other equipment to rural police units. DOD support included training
                            for a special unit of the Colombian National Police. In Mexico, DOD and
                            State funds made available decreased from an estimated $167 million in
                            fiscal year 2010 to $21 million in fiscal year 2011. Activities in Mexico
                            included State’s Mérida Initiative, which provided training and equipment
                            including aircraft and boats, inspection equipment, and canine units. DOD
                            support to Mexico included training on aviation, communications
                            equipment, maintenance, and information sharing. For the Palestinian
                            Territories, State’s funds made available increased from an estimated $97
                            million in fiscal year 2010 to $142 million in fiscal year 2011. State
                            provided battalion-level basic law enforcement and security training
                            conducted at the Jordanian International Police Training Center located
                            outside Amman, Jordan. Appendix IV contains additional information on
                            activities in Afghanistan, Iraq, Pakistan, Colombia, Mexico, and the
                            Palestinian Territories.


Other U.S. Agencies Also    Four other agencies—DOE, USAID, Treasury, and DOJ—also made
Made Available Assistance   available about $83 million, or 2 percent of the estimated funds, for
to Foreign Police           foreign police assistance in fiscal year 2011 (see table 1). 9 DOE made
                            available the majority of the funds ($52 million) for its nuclear security
                            programs; USAID, Treasury, and DOJ made available the remaining
                            amounts.




                            9
                             DHS also implements activities, such as developing and delivering training at
                            international law enforcement academies, with funds received from State.




                            Page 11                                             GAO-12-534 Foreign Police Assistance
Table 1: Other Agency Funding Made Available for Police Assistance, Fiscal Year 2011

(Dollars in millions)
Agency           Funding made available   Activities
DOE              $52.1                    The Second Line of Defense Program provided nuclear detection devices and trained
                                          foreign border security and other law enfocement officials how to use the equipment.
                                          The International Nonproliferation Export Control Program trained customs inspectors and
                                          other law enforcement officials to recognize strategic commodities that could be used to
                                          manufacture weapons of mass destruction in order to prevent illicit smuggling.
USAID            $20.5                    USAID provided training to solidify a culture of respect for human rights within police
                                          forces and strengthen police abilities to provide services to citizens.
Treasury         $6.4                     Office of Technical Assistance advisers worked directly with foreign law enforcement,
                                          ministries of finance, central banks, tax departments, and public sector financial
                                          institutions on issues related to economic crimes, such as money laundering and terrorist
                                          financing.
DOJ              $3.9                     The Drug Enforcement Administration (DEA) provided seminars on investigative and
                                          management techniques focusing on drug trafficking as well as training to sensitive
                                          investigative units.
                                           FBI provided training globally on cyber crime and counterterrorism, among other areas.
Total:           $82.9
                                          Source: GAO analysis of DOE, USAID Treasury, and DOJ data.

                                          Note: (1) Numbers may not sum because of rounding. (2) DOJ amounts are obligations that were
                                          disbursed.



                                          DOD and State/INL have acknowledged limitations in their procedures to
DOD and State Are                         assess and evaluate their foreign police assistance activities and are
Taking Steps to                           taking steps to address them. DOD assesses the performance of the
                                          national police forces it has trained and equipped for counterinsurgency
Address Limitations                       operations in Afghanistan, Iraq, and Pakistan—countries that were the
in Their Procedures                       three largest recipients of DOD’s foreign police assistance funds during
                                          fiscal years 2009 through 2011. However, according to an October 2011
for Assessing and                         DOD report to Congress, the assessment process for Afghanistan does
Evaluating Foreign                        not provide data on civil policing operations such as referring cases to the
Police Assistance                         justice system, a fact that hampers the department’s ability to fully assess
                                          the effectiveness of the training it provides to the ANP. DOD plans to
Activities                                begin collecting these data to assess civil policing effectiveness. As of
                                          April 2012, State/INL had conducted only one evaluation of a program
                                          that includes foreign police assistance activities. Recognizing the need to
                                          conduct such evaluations, State/INL is developing an evaluation plan that
                                          is consistent with State’s February 2012 Evaluation Policy and
                                          implementing its June 2010 guidelines that recommended including
                                          evaluation as a part of its budget and planning documents for programs in




                                          Page 12                                                      GAO-12-534 Foreign Police Assistance
                           Iraq and Mexico. Other priority programs for evaluation include ones for
                           Afghanistan, Colombia, the Palestinian Territories, and Pakistan.


DOD Assesses the           DOD assesses the performance of the national police forces it has trained
Performance of Police      and equipped for counterinsurgency operations in Afghanistan, Iraq, and
Forces It Trained and      Pakistan—countries that were the three largest recipients of DOD’s
                           foreign police assistance funds during fiscal years 2009 through 2011.
Equipped in Afghanistan,
Iraq, and Pakistan         For Afghanistan, DOD has assessed the Afghan National Security
                           Forces, which consists of the Afghan National Army (ANA) and ANP,
                           using its Commander’s Unit Assessment Tool.10 The assessment tool
                           provides quantitative data for security force units, including personnel,
                           equipment, and training, and qualitative assessments for functions such
                           as training and education. In addition, the assessment tool reports on the
                           operational performance of the ANA and ANP units using rating definition
                           levels. Rating definition levels include (1) independent, (2) effective with
                           advisers, (3) effective with assistance, (4) developing, (5) established,
                           and (6) not assessed. As of August 2011, DOD reported 26 ANP units
                           were rated as independent. We previously reported on U.S. efforts to train
                           and equip the ANP in 2009 and more recently in 2012.11

                           For Iraq, DOD used a readiness assessment system to determine when
                           units of the Iraqi security forces, including the Iraqi national police, could




                           10
                             ANP currently consists of six authorized components under the Ministry of Interior,
                           including the (1) uniformed police, (2) border police, (3) civil order police, (4) criminal
                           investigation police, (5) counternarcotics police, and (6) counterterrorism police. The
                           uniformed police, the largest of these six components, report to the police commanders of
                           each Afghan province. Provincial commanders report to one of five regional commanders,
                           who report to the Ministry of Interior. The other five authorized components of the ANP
                           report directly to the ministry.
                           11
                            GAO, Afghanistan Security: U.S. Programs to Further Reform Ministry of Interior and
                           National Police Challenged by Lack of Military Personnel and Afghan Cooperation,
                           GAO-9-280 (Washington, D.C.: Mar. 9, 2009), and Afghanistan Security: Department of
                           Defense Effort to Train Afghan Police Relies on Contractor Personnel to Fill Skill and
                           Resource Gaps, GAO-12-293R (Washington, D.C.: Feb. 23, 2012).




                           Page 13                                              GAO-12-534 Foreign Police Assistance
assume the lead for conducting security operations.12 This system’s
classified assessments were prepared monthly by the unit’s coalition
commander and Iraqi commander. According to multinational force
guidance, the purpose of the assessment system was to provide
commanders with a method to consistently evaluate units. It also helped
to identify factors hindering unit progress, determine resource shortfalls,
and make resource allocations. Units were evaluated in the areas of
personnel, command and control, equipment, sustainment/logistics,
training, leadership, operational effectiveness, and reliability, including
how militia and sectarian influences affected the loyalty and reliability of
Iraqi police and military forces. Further information on the results of these
assessments is classified.

For Pakistan, DOD reported that, since March 2009, the Strategic
Implementation Plan has been the principal mechanism for monitoring and
assessing the administration’s progress in attaining the core Pakistan-
related objectives of the President’s Afghanistan-Pakistan strategy, which
include developing the counterinsurgency capabilities of Pakistan’s Frontier
Corps and army.13 Although details of these and supporting assessments
are classified, DOD reported that a series of events beginning in late 2010
heightened bilateral tension between the United States and Pakistan.
Pakistan’s military subsequently requested significant reductions in U.S.
military personnel in Pakistan. According to the report, the reduced number
of U.S. military personnel and trainers, along with continued delays in
obtaining visas, hindered the United States’ provision of security-related
assistance to Pakistan. As a result, the progress achieved since 2010 in
training, advising, and equipping Pakistan security forces has eroded,
particularly in the area of counterinsurgency effectiveness for tactical- and
operational-level combat forces.




12
  The Iraqi security forces comprised the Ministry of Defense forces—that is, the Iraqi
Army, Navy, Air Force, and several Strategic Infrastructure Battalions—and the forces of
the Ministry of Interior that included the police, border enforcement, and other Iraqi civilian
security services. See GAO, Securing, Stabilizing, and Rebuilding Iraq: Key Issues for
Congressional Oversight, GAO-07-308SP (Washington, D.C.: Jan. 9, 2007), and
Stabilizing Iraq: Factors Impeding the Development of Capable Iraqi Security Forces,
GAO-07-612T (Washington, D.C.: Mar. 13, 2007.
13
  The Strategic Implementation Plan is developed by the National Security Staff and
prepared on a quarterly basis. DOD, Report on Progress toward Security and Stability in
Pakistan (October 2011).




Page 14                                                GAO-12-534 Foreign Police Assistance
DOD Reported It Lacks       Although DOD is assessing ANP’s operational performance, the
Data on Civil Policing      department recently reported it lacked data to assess civil policing
Effectiveness for           effectiveness. According to a DOD October 2011 report, DOD uses the
                            same report template to assess ANA’s and ANP’s ability to meet their
Afghanistan, but Plans to   counterinsurgency mission, but it does not address civil policing and the
Expand Its Assessment       other roles and responsibilities of ANP. 14 In 2008, we reported that the
Process to Include Such     deterioration of Afghanistan’s security situation since 2005 had led to
Data                        increased ANP involvement in counterinsurgency operations, resulting in
                            additional training in weapons and survival skills and counterinsurgency
                            tactics. 15 We also reported that ANP’s role is to enforce the rule of law,
                            protect the rights of citizens, maintain civil order and public safety, control
                            national borders, and reduce the level of domestic and international
                            organized crime, among other activities. In its report, DOD acknowledged
                            that transitioning ANP’s role from performing counterinsurgency
                            operations to a community police force that interacts with the population
                            will be challenging, especially in contested areas.

                            DOD reported that it plans to create a separate ANP report template that
                            will include data on law enforcement operations in 2012. According to the
                            DOD report, the ANP report template will provide data on community
                            policing and law enforcement operations (see table 2). For example, DOD
                            plans to include questions in the ANP report template that will assess the
                            extent to which ANP units are recording complaints from the public.




                            14
                             DOD, Report on Progress toward Security and Stability in Afghanistan.
                            15
                              GAO, Afghanistan Security: U.S. Efforts to Develop Capable Afghan Police Forces Face
                            Challenges and Need a Coordinated, Detailed Plan to Help Ensure Accountability,
                            GAO-08-833T (Washington, D.C.: June 18, 2008).




                            Page 15                                           GAO-12-534 Foreign Police Assistance
Table 2: Examples of Proposed DOD Reporting Questions and Metrics for ANP Units

Reporting questions                                                         Metrics
Is there a system in place for the unit to record complaints                Number of complaints recorded during the reporting period
from members of the public?
Is the unit taking people into custody?                                     Presence of system to record arrests, number of arrests recorded
                                                                            during the reporting period
Is the unit referring cases to the justice system?                          Number of cases referred to the formal justice system, number of
                                                                                                                          a
                                                                            cases referred to the informal justice system
Has the unit seized property during the reporting period?                   Number of incidents related to narcotics seizures; number of
                                                                            incidents related to weapons seizures; number of incidents related to
                                                                            other property seizures including money, valuables, and vehicles
Does the unit have a secure facility to store seized property?              Recording of seized property
Does the unit have contact with the local population aside                  Frequency of interactions with the local populationb
from incident response or checkpoint control?
                                              Source: GAO analysis of International Police Coordination Board data.
                                              a
                                               The formal justice system is administered by the government of Afghanistan and includes the (1)
                                              Central Provincial Primary Court, (2) Juveniles Court, (3) Commercial Primary Court, (4) District
                                              Primary Court, and (5) Family Issues Primary Court. The informal justice system includes judgments
                                              by tribal and religious leaders.
                                              b
                                               ANP units’ interactions reported through the ANP report template will include community patrolling,
                                              community outreach programs, and school visits.


                                              In developing the new template, DOD is working with the International
                                              Police Coordination Board (IPCB), according to the department’s report.
                                              First established in the Afghanistan Compact at the London Conference
                                              in 2006, IPCB serves as the main coordination board for police reform in
                                              Afghanistan. Upon its establishment, IPCB had 13 member nations,
                                              including the United States. To increase DOD’s ability to assess civil
                                              policing effectiveness, IPCB has established a partnership with the
                                              International Security Assistance Force-Joint Command. 16 According to
                                              the DOD report, IPCB is assisting DOD by having law enforcement
                                              professionals report data in its report template, and DOD is assisting
                                              IPCB by sharing current and historical ANP data. IPCB has also assisted
                                              DOD with drafting targeted questions that will be used within the ANP
                                              report template to provide data on the ANP units’ ability to conduct law
                                              enforcement operations, which we defined earlier.




                                              16
                                                The International Security Assistance Force-Joint Command is responsible for
                                              operations throughout Afghanistan. It conducts operations to neutralize the insurgency in
                                              specific areas and supports improved governance and development.




                                              Page 16                                                                 GAO-12-534 Foreign Police Assistance
State/INL Has Conducted     State/INL issued guidelines in June 2010 that recommended conducting
Limited Evaluation of Its   evaluations. These guidelines were developed in response to the
Foreign Police Assistance   Secretary of State’s June 2009 directive for systematic evaluation and to
                            promote a culture change among program offices that included support
Activities                  for conducting evaluations, according to State/INL officials. The bureau’s
                            guidelines recommend that State/INL programs have

                                a defined strategy and written performance management plan that
                                 identifies performance measures, including indicators and targets, and
                                 establishes an approach for evaluation;

                                program implementation documents such as letters of agreement,
                                 interagency agreements, and contracts that specify State/INL, host
                                 country, and implementing partner responsibilities for conducting
                                 evaluations; and

                                budget proposals for programs that identify funding for evaluations as
                                 a separate item.17

                            State/INL guidelines for monitoring and evaluation also identify the types
                            of evaluations that should be performed and the timing for them based on
                            project length and budget. For example:

                                Projects shorter than 2 years may focus on output metrics such as the
                                 number of trained and equipped law enforcement personnel.

                                Projects longer than 2 years or greater than $25 million must evaluate
                                 outcomes and impacts.18

                                Programs that have a life cycle longer than 5 years or exceed $5
                                 million should conduct one or more midterm evaluations, as well as a
                                 final evaluation.




                            17
                              According to its guidelines, program funds can be used for activities that improve
                            program performance, such as midterm evaluations, while program design and support
                            funds should be used for final evaluations.
                            18
                              State/INL officials reported that several projects below this threshold have both output
                            and outcome metrics. These thresholds were established because of budget constraints
                            so that limited evaluation resources would focus on higher-visibility programs.




                            Page 17                                               GAO-12-534 Foreign Police Assistance
Programs that exceed $25 million must conduct periodic midterm
evaluations and a final evaluation. To leverage external expertise for
programs exceeding $25 million, State/INL has recommended final
evaluations be conducted by an independent party.

As a key component of effective program management, evaluation
assesses how well a program is working and helps managers make
informed decisions about current and future programming. 19 Evaluation
provides an overall assessment of whether a program works and
identifies adjustments that may improve its results. Types of evaluation
include process (or implementation), outcome, impact, and cost-benefit
and cost-effectiveness analyses. 20 First, process (or implementation)
evaluation assesses the extent to which a program is operating as it was
intended. Second, outcome evaluation assesses the extent to which
program goals or targets are met. Third, impact evaluation is a form of
outcome evaluation that assesses the net effect of a program by
comparing program outcomes with an estimate of what would have
happened in the absence of the program. Finally, cost-benefit and cost-
effectiveness analyses compare a program’s outputs or outcomes with
the costs to produce them.

The bureau has conducted only one evaluation of a program that includes
foreign police assistance activities because it lacked guidelines and a
culture among program offices that supported evaluation, according to
State/INL officials. For State/INL’s one outcome evaluation, State/INL
reported that the U.S. Embassy, Beirut, hired a contractor to evaluate its
training program for the Lebanese Internal Security Forces between
November 2010 and May 2011. 21 The purpose of the evaluation was to
assess if the training had been successful, as well as to provide
recommendations for its improvement. The final report was submitted to
State/INL in June 2011. It identified what elements of the program worked
and why the training failed to achieve its higher-order objectives. For



19
 GAO, Executive Guide: Effectively Implementing the Government Performance and
Results Act, GAO/GGD-96-118 (Washington, D.C.: June 1996).
20
  For detailed descriptions, see GAO, Performance Measurement and Evaluation,
GAO-11-646SP (Washington D.C.: May 2011).
21
  State/INL Lebanon program goals included developing the Internal Security Forces into
a competent, professional, and democratic police force with the necessary training,
equipment, and institutional capacity to enforce the rule of law in Lebanon.




Page 18                                            GAO-12-534 Foreign Police Assistance
                             example, the evaluators noted that the police training program had
                             trained over 5,000 Lebanese Internal Security Forces personnel and that
                             the training had been largely effective. However, the report concluded
                             that the design of the training was not informed by a systematic
                             assessment of training needs and engagement from the Lebanese
                             Internal Security Forces during the planning process.


State/INL Is Developing an   In response to State’s February 2012 Evaluation Policy, State/INL is
Evaluation Plan That Is      developing its annual evaluation plan, according to State/INL officials.
Consistent with State’s      The new policy requires that (1) all large programs, projects, and activities
                             be evaluated at least once in their lifetime or every 5 years, whichever is
Evaluation Policy            less; (2) bureaus determine which programs, projects, or activities to
                             evaluate; (3) bureaus evaluate two to four projects, programs, or activities
                             over the 24-month period beginning with fiscal year 2012; and (4)
                             program managers identify up to 3 to 5 percent of their resources for
                             evaluation activities. State/INL officials said the bureau will assess its
                             guidelines to ensure they are consistent with State’s policy and
                             incorporate them into its annual evaluation plan.

                             State/INL officials said that the bureau is implementing its monitoring and
                             evaluation guidelines in phases beginning with its largest programs in Iraq
                             and Mexico. 22 Other priority programs for independent external
                             evaluations include Afghanistan, Colombia, the Palestinian Territories,
                             and Pakistan. For Iraq, State/INL officials said they have established a
                             three-person monitoring and evaluation unit for the bureau’s Police
                             Development Program. The unit recently used its civilian police advisers
                             to conduct a baseline assessment of Iraqi law enforcement capabilities
                             and is relying on advice from State/INL’s Office of Resource
                             Management. For example, the office is assisting the unit with developing
                             program objectives and performance measures to ensure they are
                             specific, measurable, attainable, realistic, and timely.

                             State/INL officials identified numerous goals, functions, objectives, tasks,
                             and indicators for the bureau’s Police Development Program in Iraq. For
                             example:


                             22
                               According to the bureau’s Fiscal Year 2013 Strategic Resource Plan, the bureau is
                             implementing a monitoring and evaluation strategy that will focus on continuing
                             State/INL’s rigorous internal monitoring processes and expanding the bureau’s use of
                             independent external evaluations.




                             Page 19                                            GAO-12-534 Foreign Police Assistance
                       •   Goal: Iraq’s Police Training Systems provide basic and advanced
                           instruction to impart the skills required while promoting community
                           policing, gender, and human rights.

                       •   Function: Community Policing/Community Relations—Police
                           specifically trained in establishing and maintaining positive
                           relationships between the law enforcement agency and the public for
                           the purpose of identifying and solving crimes, enhancing public
                           service, and building community trust in the police.

                       •   Objective: Ministry of Interior establishes Community Policing Training

                           •     Task 1: Review existing curriculum for community policing
                                 training.

                           •     Task 2: Assist General Directorate for Training Qualification as
                                 requested to ensure community policing curriculum adopts and
                                 integrates international human rights standards in terms of police
                                 service delivery.

                       State/INL’s program office for Mexico has dedicated $3 million in fiscal
                       year 2011 funds to conduct evaluations of its programs and is in the
                       process of identifying contracting mechanisms to complete them,
                       including institutions of higher education in Mexico.


                       U.S. agencies have implemented various mechanisms to coordinate their
U.S. Agencies          foreign police assistance activities as part of wider foreign assistance
Coordinate Foreign     activities. Such mechanisms include (1) interagency policy committees
                       chaired by the National Security Council (NSC) that coordinate policies at
Police Assistance      a high level; (2) headquarters working groups established to coordinate
Activities, but Some   specific issues, such as antiterrorism and nonproliferation; (3) various
                       working groups at the overseas posts; and (4) special positions to
Areas for              coordinate foreign police assistance activities. However, we noted some
Improvement Exist      areas for improvement, including lack of defined agency roles and
                       responsibilities and inconsistent information sharing.




                       Page 20                                       GAO-12-534 Foreign Police Assistance
The United States Has       Interagency groups at various levels coordinate policy, guidance, and
Implemented Mechanisms      activities related to assistance to foreign police. NSC coordinates policies
at Headquarters and         at the highest level of government through interagency policy committees.
                            For example, an NSC-led interagency policy committee on security sector
Overseas Posts to           assistance, which includes assistance to foreign police, is conducting a
Coordinate Foreign Police   policy review of the security sector. This committee does not conduct
Assistance Policy,          coordination or oversight of the actual provision of assistance. One of the
Guidance, and Activities    goals of the committee is to define the roles and missions of U.S.
                            agencies providing such assistance. The committee is also attempting to
                            establish interagency goals and guidelines to better shape, integrate,
                            prioritize, and evaluate U.S. government efforts in this sector. The review
                            of security sector assistance was proposed for a variety of reasons
                            related to a desire to improve the integration, effectiveness, and
                            responsiveness of security sector assistance, including a proposal by
                            Secretary of Defense Gates, according to a U.S. Institute for Peace
                            report. 23 In addition, according to a State official, the committee was
                            established as a result of NSC concerns about DOD’s increasing role in
                            providing foreign assistance. According to officials of agencies
                            participating in the committee, membership includes NSC, Office of
                            Management and Budget, DOD, State, USAID, Treasury, DOJ, and DHS.
                            The attendees are usually assistant secretaries or deputy assistant
                            secretaries. Working-level officials participate in subgroups such as those
                            on roles and responsibilities. The table below provides examples of
                            various coordination mechanisms.




                            23
                              United States Institute of Peace, Institutionalizing Security Sector Reform (Washington,
                            D.C. October 2010).




                            Page 21                                              GAO-12-534 Foreign Police Assistance
Table 3: Examples of Coordination Mechanisms for Activities That Include U.S. Foreign Police Assistance

Lead organization      Coordination mechanism                     Examples
National Security      Interagency policy committees              Interagency policy committee on security sector assistance, which
Council                serve as the primary day-to-day            coordinates security sector assistance policy and guidance.
                       forums for interagency                     There have also been committees on countries of high U.S. national
                       coordination of national security          interest, such as Afghanistan, Iraq, and Mexico.
                       policy.
Department of State    Bureaus and offices coordinate             State’s Bureau of International Security and Nonproliferation coordinates
                       specific activities.                       the activities of U.S. government departments and agencies carrying out
                                                                  programs for achieving nonproliferation and threat reduction, such as
                                                                  providing detection training and equipment to overseas law enforcement
                                                                  agencies.
                                                                  State’s Office of the Special Representative to Afghanistan and Pakistan
                                                                  chairs Washington-based interagency working groups on
                                                                  counternarcotics and counter-improvised explosive devices for Pakistan.
U.S. embassies         Country team led by the                    Bogotá, Colombia
                       ambassador or the deputy chief             Homeland Security Group coordinates foreign police assistance
                       of mission and various formal              activities. Participants include Narcotics Affairs Section; the Regional
                       and informal interagency                   Security Office; DEA; FBI; and Immigration and Customs Enforcement,
                       working groups coordinates the             at the U.S. Embassy in Bogotá, Colombia.
                       activities of U.S. agencies
                       overseas.                                  Mexico City, Mexico
                                                                  Law Enforcement Committee coordinates the activities of all U.S.
                                                                  agencies and organizations involved in counternarcotics and law
                                                                  enforcement activities in Mexico. Participants include the Narcotics
                                                                  Affairs Section, USAID; DEA; the Bureau of Alcohol, Tobacco, Firearms,
                                                                  and Explosives; FBI, and the United States Marshals Service; DOJ;
                                                                  Immigration, Customs, and Enforcement; Customs and Border
                                                                  Protection; and DOD.
                                                                  Palestinian Territories
                                                                  Rule-of-law working group holds regular meetings that include relevant
                                                                  agencies in Jerusalem and representatives from Embassy Tel Aviv.
                       Special positions established at           Kabul, Afghanistan
                       posts coordinate activities that           Coordinating Director for Rule of Law and Law Enforcement reports to
                       include foreign police                     the Ambassador and is the lead U.S. representative for policy.
                       assistance.
                                                                  Baghdad, Iraq
                                                                  Assistant Chief of Mission for Law Enforcement Affairs coordinates all
                                                                  foreign police training activities through the embassy’s law enforcement
                                                                  working group, which meets weekly. This position was created in July
                                                                  2011.
                                                                  Islamabad, Pakistan
                                                                  Foreign Assistance Coordinator under the direct supervision of the
                                                                  Ambassador and the Deputy Chief of Mission at the U.S. Embassy in
                                                                  Pakistan coordinates the efforts of all agencies and offices providing
                                                                  civilian assistance.
                                          Source: GAO analysis of State information.




                                          Page 22                                                     GAO-12-534 Foreign Police Assistance
                           In addition, for Iraq, from 2009 through the end of 2011, the key
                           mechanism for managing the transfer of responsibilities from DOD to
                           State was the Iraq Enduring Presence Working Group composed of
                           individuals from offices in Baghdad and Washington, D.C. In addition to
                           this working group, the embassy’s management section operated an
                           interagency structure composed of 13 sub-working groups that covered
                           all major areas of the transition—provincial affairs, police training,
                           security, and administrative and support initiatives.


NSC-Led Interagency        According to State, DOD, DOJ, and DHS officials, the interagency policy
Policy Committee Has Not   committee on security sector assistance has met sporadically since its
Defined Roles and          inception, which has contributed to delays in issuing a final report and
                           associated recommendations that would address the roles and
Responsibilities           responsibilities of the various agencies and provide overall U.S.
                           government policy guidance on security sector assistance. Agreeing on
                           roles and responsibilities is a key practice that can enhance interagency
                           collaboration. 24 According to State, DOD, USAID, and DOJ officials, the
                           committee began meeting sometime in 2009 but stopped in December
                           2010. A State/INL official said the committee reconvened in June 2011
                           and met or provided documents for review weekly through September.
                           The committee met for a final session to review conclusions and policy
                           recommendations in April 2012. State and DOD officials stated that they
                           reviewed and commented on a draft policy directive on roles and
                           responsibilities that was issued in 2011 and one that was issued in early
                           2012. Agencies reviewed proposed draft policy on roles and missions in
                           April 2012 for final review. State officials attributed the lack of regular
                           meetings to National Security Staff turnover and workload issues.

                           Several issues related to roles and responsibilities under discussion
                           among the agencies have also contributed to the delayed completion of a
                           final report and recommendations, according to State, DOD, DOJ, and
                           DHS officials. One such issue is the role of DOJ and DHS in
                           implementing security sector assistance. According to the DOJ officials,
                           DOJ should have a greater role in this process. Such a role is consistent
                           with the Quadrennial Diplomacy and Development Review, 25 which


                           24
                            GAO, Results-Oriented Government: Practices that Can Help Enhance and Sustain
                           Collaboration among Federal Agencies, GAO-06-15 (Washington, D.C.: Oct. 21, 2005).
                           25
                             State’s Quadrennial Diplomacy and Development Review is an assessment of the
                           diplomacy and development missions of State and USAID.




                           Page 23                                          GAO-12-534 Foreign Police Assistance
                        directs State to look first to DOJ, DHS, and DOD to implement State
                        programs involving counterterrorism capacity building, foreign law
                        enforcement, or strengthening justice and interior ministries, according to
                        the DOJ officials. However, the DOJ officials said the issue was not
                        resolved and committee discussions primarily concerned the
                        responsibilities and authorities of State and DOD. According to a DHS
                        official, DHS also asserts that State should consider DHS when allocating
                        security sector assistance funding rather than relying on contractors to
                        provide that assistance. According to a State official, State is reluctant to
                        expand the authorities of other agencies to administer security sector
                        assistance activities. The second issue concerns the roles and
                        responsibilities of State when DOD provides security assistance,
                        according to State, DOD, and DOJ officials. Specifically, according to a
                        State official, State generally seeks to preserve its legislated role as the
                        lead agency providing foreign assistance. Additionally, according to the
                        official, State generally seeks the ability to concur on the provision of
                        assistance by DOD to ensure assistance activities are consistent with
                        broader foreign policy goals


Overseas Posts Do Not   While State and DOD had mechanisms to manage the transition from
Always Document         DOD to a State-led police development program in Iraq, they did not
Information Sharing     consistently share information. Establishing collaborative mechanisms to
                        share information with partners is also a key practice for enhancing and
                        sustaining interagency collaboration. 26 Moreover, timely dissemination of
                        information is critical for maintaining national security. The key
                        mechanism for managing the transition was the Iraq Enduring Presence
                        Working Group, composed of individuals from offices in Baghdad and
                        Washington, D.C. In addition, the 2010 Joint Campaign Plan for Iraq—a
                        strategic document composed and approved by top State and DOD
                        officials in Iraq—included tasks State would need to consider as part of
                        the transition. Despite these mechanisms, there was inconsistent and
                        incomplete sharing of operational readiness assessments of the Iraqi
                        police by DOD. Though State requested official copies of these
                        assessments, DOD did not provide them. According to a former DOD
                        civilian police adviser, DOD destroyed the database that contained the
                        assessments of the Iraqi police forces during the transition, because it


                        26
                          GAO, Interagency Collaboration: Key Issues for Congressional Oversight of National
                        Security Strategies, Organizations, Workforce, and Information Sharing, GAO-09-904SP
                        (Washington, D.C., Sept. 25, 2009).




                        Page 24                                           GAO-12-534 Foreign Police Assistance
              had completed its mission to train the Iraqi police. As a result, State
              developed a baseline assessment of Iraqi law enforcement capabilities
              without the benefit of DOD’s assessments.

              Moreover, overseas posts do not consistently document or share the
              results of their coordination efforts. In 2009, we reported that information
              is a crucial tool in national security and its timely dissemination is critical
              for maintaining national security. 27 However, State/INL officials stated that
              overseas posts do not provide documentation of the results of their
              coordination efforts. In addition, several State Inspector General reports
              have discussed the need for agendas and minutes for interagency
              groups, including in Afghanistan, Colombia, and Mexico. For example, the
              Inspector General reported that although the working group at the U.S.
              embassy in Colombia concisely addressed law enforcement issues during
              these meetings, there was no published agenda or minutes of these
              proceedings. 28 In another case, while the law enforcement working group
              at the U.S. Embassy in Islamabad issues minutes to the embassy
              executive office, it does not necessarily share them with headquarters. 29
              The Deputy Chief of Mission for the U.S. Embassy in Bogotá, Colombia,
              acknowledged that the Homeland Security Group did not record the
              results of its coordination but stated that it will begin to issue an agenda
              and minutes for the meetings. The failure of overseas posts to document
              and disseminate their coordination efforts may hamper the agencies’
              ability to have all the information they need to analyze the results of their
              foreign police assistance activities.


              Foreign partners’ counterinsurgency, counternarcotics, counterterrorism,
Conclusions   and anticrime capabilities are critical to U.S. national security objectives.
              As such, interagency collaboration is essential to ensuring that U.S.
              agencies effectively and efficiently manage the resources they contribute
              to training and equipping foreign police forces. However, U.S.
              government agencies lack clearly defined roles and responsibilities for


              27
               GAO-09-904SP.
              28
                State Office of Inspector General, Inspection of Embassy Bogotá, Colombia, ISP-I-11-
              41A (June 2011); Inspection of Embassy Kabul, Afghanistan, ISP-I-10-32A (February
              2010); Inspection of Embassy Mexico City, Mexico; ISP-I-09-21A (April 2009).
              29
                Office of the Inspector General, Embassy Islamabad and Constituent Posts, Pakistan,
              ISP-I-10-64 (June 2010).




              Page 25                                            GAO-12-534 Foreign Police Assistance
                      providing security sector assistance, including assistance to foreign police
                      forces. While NSC has been tasked with leading efforts to define
                      agencies’ roles and responsibilities, progress to date has stalled. U.S.
                      agencies providing foreign police assistance need to define and agree on
                      their roles and responsibilities to ensure that they make the most rational
                      decisions about U.S. efforts to enhance foreign police forces’ capability.
                      In addition, the lack of information sharing and documentation among
                      agencies at some overseas posts providing foreign police assistance can
                      inhibit the effectiveness of future U.S. assistance efforts.


                      To better prioritize, evaluate, and avoid duplication of U.S. efforts to
Recommendations for   provide foreign police assistance, we recommend that NSC complete its
Executive Action      efforts to define agency roles and responsibilities.

                      To ensure that information is available for future U.S. foreign police
                      assistance efforts, we recommend that the Secretaries of Defense and
                      State establish mechanisms to better share and document information
                      among various U.S. agencies.


                      We provided a draft of this report to DOD, State, DOE, USAID, Treasury,
Agency Comments       DOJ, DHS, and NSC. State and DHS provided written comments which
and our Evaluation    are reproduced in appendices VI and VII. DOD provided comments by e-
                      mail. In addition, State, DOD, DOE, Treasury, DOJ, and NSC provided
                      technical comments that were incorporated as appropriate. USAID noted
                      that it had no comments.

                      NSC did not comment on the report’s recommendations. DOD concurred
                      with the report’s recommendation to establish mechanisms to better
                      share and document information among various U.S. agencies. State
                      partially concurred and described actions it was continuing to take to
                      collaborate with other federal agencies. State noted that it will work with
                      its interagency partners to identify ways to improve the sharing of best
                      practices and lessons learned concerning U.S. foreign police assistance
                      efforts. DHS noted that it remains committed to continuing its work with
                      interagency partners such as the U.S. Department of Justice and other
                      relevant agencies. This includes work to better define agency roles and
                      responsibilities, as appropriate.




                      Page 26                                     GAO-12-534 Foreign Police Assistance
As we agreed with your office, unless you publicly announce the contents
of this report earlier, we plan no further distribution of it until 30 days from
the date of this letter. At that time, we will send copies to the Secretaries
of Defense, State, Energy, Homeland Security; and the Treasury; the
Attorney General; the Administrator of USAID; the Executive Secretary of
the National Security Council; and interested congressional committees.
The report will also is available at no charge on the GAO Web site at
http://www.gao.gov.

If you or your staff members have any questions about this report, please
contact me at (202) 512-7331 or johnsoncm@gao.gov. Contact points for
our Offices of Public Affairs and Congressional Relations may be found
on the last page of this report. GAO staff who made key contributions to
this report are listed in appendix IX.




Charles Michael Johnson, Jr.
Director
International Affairs and Trade




Page 27                                        GAO-12-534 Foreign Police Assistance
Appendix I: Scope and Methodology
             Appendix I: Scope and
             Methodology28605/9/2012




             To identify U.S. agencies that trained and equipped foreign police forces
             during fiscal years 2009 through 2011, we reviewed past GAO reports,
             relevant legislation, and agency websites. To identify the amount of U.S.
             government funding made available for foreign police training and
             equipment activities, we examined past GAO reports; congressional
             budget submissions, including the Department of State’s (State) Bureau
             of International Narcotics and Law Enforcement Affairs’ (State/INL)
             program and budget guides for fiscal year 2011; the Afghanistan Security
             Forces Fund fiscal year 2012 congressional budget justification; and the
             Department of Defense (DOD) fiscal year 2012 congressional budget
             justification and other budget documents. To identify countries and police
             assistance activities, we reviewed funding amounts reported to GAO by
             agencies, the fiscal year 2012 budget appendix, congressional budget
             submissions, agency annual reports, interagency agreements, and other
             program documents. We also interviewed officials from the Departments
             of Defense, State, and Energy (DOE); the U.S. Agency for International
             Development (USAID; and the Departments of the Treasury, Justice
             (DOJ), and Homeland Security (DHS). We collected data for fiscal year
             2010 and fiscal year 2011 to update foreign police assistance funding
             information provided in our prior report. 1

             We used the same definition of police assistance that we used in the
             previous report. We defined police training and equipment activities (which
             we referred to as “police assistance”) as all training—regardless of its
             content—and equipment provided to law enforcement units or personnel
             with arrest, investigative, or interdiction authority. Officials from the Office of
             the Deputy Assistant Secretary of Defense for Counternarcotics and Global
             Threats (DASD-CN&GT) updated information on DOD police assistance
             from fiscal year 2009 for fiscal years 2010 and 2011 using the definition we
             developed with State. DASD-CN&GT has oversight of program funding
             through a web-based database. However, specific funds for police
             assistance are managed at the combatant command level. The data
             DASD-CN&GT compiled included allotments for fiscal years 2010 and
             2011 that were provided by combatant commands for training and
             equipping activities. Using our definition, DOD’s Defense Threat Reduction
             Agency provided funding data based on allotments from DOD’s
             defensewide operations and maintenance account. We also obtained total



             1
              GAO, Multiple U.S. Agencies Provided Billions of Dollars to Train and Equip Foreign
             Police Forces, GAO-11-402R (Washington, D.C.: Apr. 27, 2011).




             Page 28                                             GAO-12-534 Foreign Police Assistance
Appendix I: Scope and
Methodology




amounts made available after reprogramming for Afghanistan, Iraq, and
Pakistan from the Afghanistan Security Forces Fund, Iraq Security Forces
Fund, and Pakistan Counterinsurgency Fund from the Comptroller’s Office
in the Office of the Secretary of Defense. We reviewed these figures along
with congressional budget justifications and DOD’s fourth quarter, fiscal
year 2011 report to Congress on the Iraqi, Afghan, and Pakistan Security
Forces, as required by Section 9009 of DOD’s Appropriation Act for fiscal
year 2011. We combined data from all funding sources to derive the DOD
total. We included funding for equipment and transportation, training, and
sustainment. We excluded any infrastructure costs because such costs are
not typical of most police assistance activities. We compared the DOD data
for reasonableness of the reported information and questioned DOD
officials about their methodology and the reliability of the data. Some of the
data may have included both military and civilian police personnel, which
might result in overestimating DOD funding. However, for fiscal years 2010
and 2011, the majority of DOD funds (over 90 percent) were provided
through the Afghanistan Security Forces Fund, Iraq Security Forces Fund,
and Pakistan Counterinsurgency Fund, which separate funds provided to
military and civilian personnel. To identify any discrepancies in the funding
data, we compared the data from fiscal year 2010 and fiscal year 2011 with
that provided for fiscal year 2009. We reconciled discrepancies with the
agencies and determined that the data were sufficiently reliable for our
purposes.

State/INL analyzed data reported in its annual program and budget
guides to provide allocations for police-assistance activities that fit our
definition. The funding data covered all country programs funded through
the International Narcotics Control and Law Enforcement (INCLE)
account directed to law enforcement, stabilization operations,
counternarcotics, border control, and transnational crime. State also used
the definition to identify police assistance funded through other foreign
assistance accounts. State analyzed appropriations and obligations
funding data from the Foreign Assistance Coordination and Tracking
System database, which tracks data on U.S. foreign assistance
programs. Allotments or allocations were provided for the Assistance for
Europe, Eurasia and Central Asia account and the Nonproliferation,
Antiterrorism, Demining, and Related Programs account. State also
provided obligations for the Pakistan Counterinsurgency Capability Fund,
which received funds transferred from DOD’s Pakistan
Counterinsurgency Fund, and allotments from funding transferred from




Page 29                                      GAO-12-534 Foreign Police Assistance
Appendix I: Scope and
Methodology




DOD to State under Section 1207 authority of the fiscal year 2006
National Defense Authorization Act. 2 We compared State’s data for fiscal
year 2009 with data for fiscal years 2010 and 2011 for reasonableness.
We also questioned State officials about their methodology, reviewed the
program and budget guides, reviewed other GAO reports that used the
same data sources, and discussed data reliability with agency officials.
We determined that the data were sufficiently reliable for our purposes.
We combined the data from the various funding accounts to derive the
State total. The State data included funding provided to Treasury, DOJ,
and DHS. It excluded funding provided to State from other agencies, with
the exception of Pakistan Counterinsurgency Capability Fund and 1207
funds transferred from DOD. We excluded any infrastructure costs
because such costs are not typical of most police assistance activities.

DOE’s National Nuclear Security Administration provided allotments and
obligations funding data for police assistance for fiscal year 2010 and
fiscal year 2011 in response to our request for funding data based on our
definition. DOE’s funds were made available from its Defense Nuclear
Nonproliferation account. USAID reviewed the Foreign Assistance
Coordination and Tracking System database by program element to
identify programs that might have a civilian policing component. USAID
then consulted with its geographic bureaus and its overseas missions to
obtain detailed data not available at headquarters. USAID provided us
with funding data based on allotments for activities that included civilian
police training. We reviewed the data for reasonableness and discussed
their reliability with agency officials. We determined that the data were
sufficiently reliable for our purposes. We excluded programs that did not
meet our definition, such as judicial exchanges. Treasury provided
appropriations funding for police assistance from its Economic Crimes
division for fiscal years 2010 and 2011 in response to our request for
funding data based on our definition. Funds were made available from the
Treasury International Affairs Technical Assistance account and included
supplemental funding provided during fiscal year 2010.




2
 National Defense Authorization Act for Fiscal Year 2006, Pub. L. No. 109-163,
Jan. 6, 2006.




Page 30                                             GAO-12-534 Foreign Police Assistance
Appendix I: Scope and
Methodology




For DOJ, we used funding data provided by the Federal Bureau of
Investigation (FBI) and the Drug Enforcement Administration (DEA). The
FBI explained that the primary purpose of its foreign police training is not
to provide ‘foreign assistance. Rather, the primary purpose of such
training is to further the FBI’s statutorily authorized mission to detect,
investigate, and prosecute crimes against the United States, which
include federal crimes of terrorism and other crimes that the FBI is
authorized to investigate extraterritorially. FBI provided funding data using
its definition of police assistance: any activity, including the provision of
equipment in association therewith, that is intended to develop or
enhance foreign law enforcement capabilities to prevent, deter, detect,
investigate, or respond to criminal or terrorist acts or support public safety
and security. Such training occurs both in the United States and abroad.
FBI officials explained that our definition would exclude some types of law
enforcement personnel, such as crime lab technicians, who do not have
arrest authority, and that they could not isolate such individuals from their
submission. FBI provided data on obligations that were also disbursed
based on its definition. This definition did not materially affect the total
amount of U.S. funding. We reviewed the data for reasonableness and
determined that the data were sufficiently reliable for our purposes. DEA
provided data on obligations that were also disbursed in response to our
request for data based on our definition. DEA provided funding data by
country for Afghanistan, Colombia, and Mexico, but neither DEA nor FBI
provided total funding data by country.

We combined the funding data provided by DOD, State, DOE, USAID,
Treasury, and DOJ to obtain total U.S. government funds made available.
The amounts are estimates because, according to agency officials,
agencies do not generally track funding by a category specifically for
activities to train and equip foreign police. In addition, to estimate funding
for all elements of police training, the agencies relied on project code
reports, manual estimates, and data calls to overseas posts. On the basis
of our review of the data and discussions with agency officials, we
determined that the data were sufficiently reliable for a broad estimate of
U.S. government funding.

To assess the extent to which DOD and State/INL report on the results of
their police assistance activities for countries with their largest programs,
we reviewed GAO reports, including those that examined the capabilities
of the Iraqi Security Forces and Afghan National Security Forces,
including the Iraqi national police and Afghan National Police (ANP). We
also reviewed DOD’s October 2011 Report on Progress toward Security
and Stability in Afghanistan. Within DOD, we spoke with officials from


Page 31                                      GAO-12-534 Foreign Police Assistance
Appendix I: Scope and
Methodology




U.S. Central Command and the Afghan National Security Forces Desk.
Within State, we spoke with officials from relevant components about
State/INL’s monitoring and evaluation guidelines, including the Office of
Resource Management, Office of Program Assistance and Evaluation,
Office of Iraq Programs, and the Office of Afghanistan and Pakistan. To
identify reporting requirements, we reviewed letters of agreement and
interagency agreements provided by State/INL. Further, we reviewed
relevant documents including State/INL guidelines for program monitoring
and evaluation and one evaluation completed by State/INL for its police
assistance activities.

To examine the mechanisms U.S. agencies use to coordinate their police
assistance activities, we reviewed GAO reports, including those
describing practices for enhanced interagency collaboration; 3 State Office
of Inspector General reports; and other reports, legislation, and
documents describing NSC’s interagency policy committees. We also
interviewed State, DOD, DOJ, DHS, Treasury, and USAID officials,
including officials who participated on the NSC Security Sector
Assistance Interagency Policy Committee. We also interviewed State and
U.S. law enforcement officials at the U.S. embassies in Bogotá,
Colombia, and Lima, Peru. On the basis of the document review and the
testimonial evidence, we identified mechanisms for coordinating foreign
police assistance and areas for improvement. We did not assess the
overall effectiveness of the coordinating mechanisms.

We conducted this performance audit from April 2011 through May 2012
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 findings and
conclusions based on our work objectives.




3
 GAO, Results-Oriented Government: Practices That Can Help Enhance and Sustain
Collaboration among Federal Agencies, GAO-06-15 (Washington, D.C.: Oct. 21, 2005).




Page 32                                          GAO-12-534 Foreign Police Assistance
Appendix II: DOD and State Funds Made
               Appendix II: DOD and State Funds Made
               Available for Police Assistance, by Region and
               Country, Fiscal Years 2010 and


Available for Police Assistance, by Region
               201133605/9/2012




and Country, Fiscal Years 2010 and 2011

               This appendix provides information on DOD and State funds made
               available for police assistance activities during fiscal years 2010 and
               2011, by region and country. DOD and State funds constituted about 98
               percent of U.S. funds for these purposes. 1 We did not include funds made
               available from other agencies because they provided only 2 percent of
               U.S. funds and not all agencies provided information by individual
               countries. These graphs also do not include regional funds, which totaled
               $182 million for DOD and State in fiscal year 2010 and $186 million for
               DOD and State in fiscal year 2011.

               Our analysis of DOD and State data shows that both DOD and State
               made available funds for police assistance activities in 8 of 12 recipient
               countries in the South and Central Asia region for fiscal years 2010 and
               2011 (see fig. 5). For Afghanistan, agencies made available more than $3
               billion each year, and for Pakistan, agencies made available between
               $176 million and $299 million each year. Agencies made available less
               than $10 million per country each year for 8 of the remaining 10 countries.




               1
                DOD and State funds made available for fiscal years 2010 and 2011 included allotments,
               allocations, and obligations.




               Page 33                                            GAO-12-534 Foreign Police Assistance
                                        Appendix II: DOD and State Funds Made
                                        Available for Police Assistance, by Region and
                                        Country, Fiscal Years 2010 and
                                        2011




Figure 5: Estimated DOD and State Funds Made Available for Police Assistance in South and Central Asia, by Country, Fiscal
Years 2010 and 2011




                                        Note: Totals may not sum because of rounding.




                                        Page 34                                          GAO-12-534 Foreign Police Assistance
Appendix II: DOD and State Funds Made
Available for Police Assistance, by Region and
Country, Fiscal Years 2010 and
2011




As shown in figure 6, both DOD and State made funds available for police
assistance activities in 3 of the 13 recipients in the Near East for fiscal
year 2010 and 4 of the 13 recipients in the Near East for fiscal year 2011.
State alone made assistance available for 10 recipients in fiscal year
2010 and 9 recipients in fiscal year 2011. State and DOD made available
more than $972 million for Iraq in fiscal year 2010 to train and equip the
Iraqi security forces, including the provision of equipment, supplies,
services, training, facility and infrastructure repair, and renovation. State
alone made available $97 million and $142 million to the Palestinian
Territories in fiscal years 2010 and 2011, respectively. Agencies made
available less than $10 million per country in each fiscal year for 9 of the
remaining 11 countries.




Page 35                                          GAO-12-534 Foreign Police Assistance
                                         Appendix II: DOD and State Funds Made
                                         Available for Police Assistance, by Region and
                                         Country, Fiscal Years 2010 and
                                         2011




Figure 6: Estimated DOD and State Funds Made Available for Police Assistance in the Near East, by Country, Fiscal Years
2010 and 2011




                                         Note: Totals may not sum because of rounding.




                                         Page 36                                          GAO-12-534 Foreign Police Assistance
Appendix II: DOD and State Funds Made
Available for Police Assistance, by Region and
Country, Fiscal Years 2010 and
2011




Figure 7 shows that both DOD and State made funds available for police
assistance activities in 7 of 20 countries in fiscal year 2010 and in 6 of 18
countries in fiscal year 2011 in the Western Hemisphere. DOD alone
made funds available for assistance in 7 countries each fiscal year, while
State alone made funds available in 6 countries in fiscal year 2010 and 5
countries in fiscal year 2011. In fiscal year 2010, Colombia, Mexico, and
Haiti each had more than $100 million made available for police
assistance activities, while in fiscal year 2011, only Colombia had more
than $100 million made available. In fiscal year 2010, agencies made less
than $10 million available in police assistance for 14 countries, and in
fiscal year 2011, agencies made less than $10 million available in police
assistance for 13 countries.




Page 37                                          GAO-12-534 Foreign Police Assistance
                                        Appendix II: DOD and State Funds Made
                                        Available for Police Assistance, by Region and
                                        Country, Fiscal Years 2010 and
                                        2011




Figure 7: Estimated DOD and State Funds Made Available for Police Assistance in the Western Hemisphere, by Country,
Fiscal Years 2010 and 2011




                                        Note: Totals may not sum because of rounding.



                                        Page 38                                          GAO-12-534 Foreign Police Assistance
Appendix II: DOD and State Funds Made
Available for Police Assistance, by Region and
Country, Fiscal Years 2010 and
2011




Figure 8 shows that both DOD and State made available police
assistance in 11 of 21 countries in fiscal year 2010 and 10 of 20 countries
in fiscal year 2011 in Europe and Eurasia. DOD alone made assistance
available to 7 countries in fiscal year 2010 and 5 countries in fiscal year
2011, while State alone made assistance available to 3 countries in fiscal
year 2010 and 5 countries in fiscal year 2011. In fiscal year 2010,
agencies made available between $1 million and $22 million in police
assistance to each of 11 countries, while agencies made available less
than $1 million to each of 10 countries. In fiscal year 2011, agencies
made available between $1 million and $8 million in police assistance to
12 countries, while agencies made available less than $1 million to each
of 8 countries.




Page 39                                          GAO-12-534 Foreign Police Assistance
                                          Appendix II: DOD and State Funds Made
                                          Available for Police Assistance, by Region and
                                          Country, Fiscal Years 2010 and
                                          2011




Figure 8: Estimated DOD and State Funding for Police Assistance in Europe and Eurasia, by Country, Fiscal Years 2010 and 2011




                                          Note: Totals may not sum because of rounding.




                                          Page 40                                           GAO-12-534 Foreign Police Assistance
Appendix II: DOD and State Funds Made
Available for Police Assistance, by Region and
Country, Fiscal Years 2010 and
2011




As shown in figure 9, both DOD and State made police assistance
available in the Africa region in 12 of 29 countries in fiscal year 2010 and
12 of 35 countries in fiscal year 2011. DOD alone made assistance
available in 6 countries in fiscal year 2010 and 16 countries in fiscal year
2011. State alone made assistance available in 11 countries in fiscal year
2010 and 7 countries in fiscal year 2011. DOD and State made available
between $1 million and $14 million to each of 16 countries in fiscal year
2010, and from $1 million to $11 million to each of 13 countries in fiscal
year 2011. Agencies made less than $1 million available to each of 13
countries in fiscal year 2010 and less than $1 million to 22 countries in
this region in fiscal year 2011.




Page 41                                          GAO-12-534 Foreign Police Assistance
                                          Appendix II: DOD and State Funds Made
                                          Available for Police Assistance, by Region and
                                          Country, Fiscal Years 2010 and
                                          2011




Figure 9: Estimated DOD and State Funds Made Available for Police Assistance in Africa, by Country, Fiscal Years 2010 and 2011




                                          Note: Totals may not sum because of rounding.




                                          Page 42                                            GAO-12-534 Foreign Police Assistance
Appendix II: DOD and State Funds Made
Available for Police Assistance, by Region and
Country, Fiscal Years 2010 and
2011




Note: Totals may not sum because of rounding.




Page 43                                          GAO-12-534 Foreign Police Assistance
Appendix II: DOD and State Funds Made
Available for Police Assistance, by Region and
Country, Fiscal Years 2010 and
2011




Figure 10 shows that both DOD and State made funds available for police
assistance in 6 of 12 countries for fiscal year 2010 and 6 of 14 countries
for fiscal year 2011 in the East Asia and Pacific region. DOD alone made
assistance available in 3 countries in fiscal year 2010 and 5 countries in
fiscal year 2011, while State alone made funds available in 3 countries
each fiscal year. DOD and State made between $1 million to $16 million
available to each of 6 countries in this region in fiscal year 2010 and 5
countries in fiscal year 2011. Agencies made less than $1 million
available in police assistance to 6 countries in fiscal year 2010 and 9
countries in fiscal year 2011.




Page 44                                          GAO-12-534 Foreign Police Assistance
                                         Appendix II: DOD and State Funds Made
                                         Available for Police Assistance, by Region and
                                         Country, Fiscal Years 2010 and
                                         2011




Figure 10: Estimated DOD and State Funds Made Available for Police Assistance in East Asia and the Pacific, by Country,
Fiscal Years 2010 and 2011




                                         Note: Totals may not sum because of rounding.




                                         Page 45                                          GAO-12-534 Foreign Police Assistance
Appendix III: DOD and State Amounts Made
                                             Appendix III: DOD and State Amounts Made
                                             Available for Police Assistance, by Account,
                                             Fiscal Years 2010 and 201146605/9/2012


Available for Police Assistance, by Account,
Fiscal Years 2010 and 2011
                                             This appendix provides information on DOD and State amounts made
                                             available for police assistance activities by account during fiscal years
                                             2010 and 2011 (see tables 4 and 5). For a description of accounts, see
                                             table 4. For the amounts made available from each account, see table 5.

Table 4: Descriptions of Select U.S. Accounts Used to Fund Foreign Police Assistance

Account                            Description
DOD
Afghanistan Security Forces        The Afghanistan Security Forces Fund provides assistance to the security forces of Afghanistan,
Fund                               including the provision of equipment, supplies, services, training, facility and infrastructure repair,
                                   renovation and construction, and funding.
Iraq Security Forces Fund          The Iraq Security Forces Fund is for the training and equipping of Iraq security forces, including the
                                   provision of equipment, supplies, services, facility and infrastructure repair, and renovation.
Drug Interdiction and Counter-     The Drug Interdiction and Counter-Drug Activities, Defense appropriation provides funds to support
Drug Activities, Defense           drug interdiction and counterdrug activities of the Department of Defense.
Pakistan Counterinsurgency         The Pakistan Counterinsurgency Fund provides assistance to Pakistan’s security forces, including
Fund                               for program management and the provision of equipment, supplies, services, training and funds, as
                                   well as for facility and infrastructure repair, renovation, and construction to build the
                                   counterinsurgency capability of Pakistan’s military and Frontier Corps.
Operation and Maintenance,         The Operation and Maintenance, Defense-Wide fund supports expenses, not otherwise provided
Defense-Wide                       for, necessary for the operation and maintenance of activities and agencies of the Department of
                                   Defense, other than military departments.
State
International Narcotics Control    The International Narcotics Control and Law Enforcement account provides assistance to foreign
and Law Enforcement                countries and international organizations to assist them in developing and implementing policies
                                   and programs that strengthen institutional law enforcement and judicial capabilities, including
                                   countering drug flows and combating transnational crime, and establish and maintain the rule of
                                   law.
Nonproliferation, Antiterrorism,   The Nonproliferation, Antiterrorism, Demining, and Related Programs account funds contributions
Demining, and Related              to certain organizations supporting nonproliferation, and provides assistance for nonproliferation,
Programs                           demining, antiterrorism, export control assistance, and other related activities.
Assistance for Europe, Eurasia     The Assistance for Europe, Eurasia and Central Asia account provides funds to foster the
and Central Asia                   democratic and economic transitions of Southeastern Europe and the Independent States of the
                                   Former Soviet Union as well as related efforts to address social sector reform and combat
                                   transnational threats.
Pakistan Counterinsurgency         The Pakistan Counterinsurgency Capability Fund is designed to build and maintain the
Capability Fund                    counterinsurgency capabilities of Pakistan’s security forces (including the Frontier Corps), to
                                   include program management and the provision of equipment, supplies, services, training, and
                                   facility and infrastructure repair, renovation, and construction.
1207 Program                       Section 1207 of the fiscal year 2006 National Defense Authorization Act (Pub. L. No. 109-163)
                                   provided authority for DOD to transfer up to $100 million per fiscal year to State to support
                                   reconstruction, stabilization, and security activities in foreign countries. This authority has expired.
                                             Source: GAO analysis of DOD and State data.




                                             Page 46                                                 GAO-12-534 Foreign Police Assistance
                                            Appendix III: DOD and State Amounts Made
                                            Available for Police Assistance, by Account,
                                            Fiscal Years 2010 and 2011




Table 5: Estimated DOD and State Funds Made Available for Foreign Police Assistance Activities, Fiscal Years 2010 and 2011

(Dollars in millions)
                                                                                                     2010                        2011
                                                                                             Estimated amount             Estimated amount
Agency                  Account                                                                 made available               made available
DOD                     Afghanistan Security Forces Fund                                                    $2,917                      $3,113
                        Iraq Security Forces Fund                                                              309                            114
                        Drug Interdiction and Counter-Drug Activities, Defense                                 175                            226
                                                               a
                        Pakistan Counterinsurgency Fund                                                        111                               0
                        Operations and Maintenance, Defense-Wide                                                   3                             2
DOD subtotal                                                                                                 3,516                       3,455
State                   International Narcotics Control and Law Enforcement                                  1,774                            888
                        Nonproliferation, Antiterrorism, Demining, and Related                                 202                            182
                        Programs-Antiterrorism Assistance
                        Nonproliferation, Antiterrorism, Demining, and Related                                  31                             36
                        Programs-Export Control and Border Security
                        Assistance for Europe, Eurasia and Central Asia                                         42                            24
                        Pakistan Counterinsurgency Capability Fundb                                                0                          54
                                       c
                        1207 Program                                                                            31                            N/A
State subtotal                                                                                               2,080                       1,184
DOD and State total                                                                                         $5,595                      $4,639
                                            Source: GAO analysis of DOD and State data.

                                            Notes: N/A = not applicable. Totals may not sum because of rounding.
                                            a
                                             Seven hundred million dollars was provided in the Supplemental Appropriations Act for 2009 (Pub. L.
                                            No. 111-32, June 24, 2009) to State under the Pakistan Counterinsurgency Capability Fund and
                                            transferred to DOD for execution under the Pakistan Counterinsurgency Fund authority. Of this
                                            amount, DOD made available $111 million in fiscal year 2010 police assistance activities, which
                                            include training, equipment, and transportation funding categorized under the Frontier Corps.
                                            b
                                             State’s Pakistan Counterinsurgency Capability Fund received $297 million transferred from DOD’s
                                            Pakistan Counterinsurgency Fund, which received $800 million in its fiscal year 2011 appropriation
                                            (Pub. L. No 112-10, April 15, 2011). Of the $297 million, $54 million has been made available and
                                            obligated for police assistance activities, which included providing explosive detectors and other
                                            equipment for the Frontier Corps.
                                            c
                                             In fiscal year 2010, State made available 1207 funds transferred from DOD under Section 1207
                                            authority to support construction, stabilization, and security activities in foreign countries.




                                            Page 47                                                   GAO-12-534 Foreign Police Assistance
Appendix IV: Profiles of Selected Countries
               Appendix IV: Profiles of Selected Countries
               Receiving Foreign Police Assistance, Fiscal
               Year 2010 and Fiscal Year 201148605/9/2012


Receiving Foreign Police Assistance, Fiscal
Year 2010 and Fiscal Year 2011
               Profiles on Afghanistan, Iraq, Pakistan, Colombia, Mexico, and the
               Palestinian Territories can be found on the following pages.




               Page 48                                       GAO-12-534 Foreign Police Assistance
                                        Foreign Police Assistance
                                        Afghanistan Fact Sheet
                                        Major Programs and Activities
                                        Department of Defense
Related GAO Work
In GAO-09-280, we reported that             •     Provided support for the development of the capabilities of the
the Combined Security Transition                  Afghan National Police to generate, employ, and project a force
Command-Afghanistan had begun                     that can conduct and sustain independent law enforcement,
retraining Afghan National Police                 counterterrorism, counterinsurgency, and counternarcotics
units through its Focused District                operations
Development program. However, a             •     Provided basic police training, tactical training, counterterrorism
lack of military personnel
                                                  training, criminal investigation training, and special weapon
constrained the command’s plans
                                                  tactical training
to expand the program.
We also reported in GAO-10-291
that U.S. agencies reported             Department of State
progress within counternarcotics
program areas, but we were unable           •     Provided air transport and logistics support, rule-of-law, law
to fully assess the extent of                     enforcement, and related efforts by funding the operations and
progress because of a lack of                     maintenance costs for U.S.-owned and -leased aircraft
performance measures and interim            •     Provided four mentors to the National Interdiction Unit and two
performance targets to measure
                                                  mentors to the Sensitive Investigation Unit of the
Afghan capacity.
                                                  Counternarcotics National Police
                                            •     Provided operations and maintenance support to regional training
GAO Recommendations                               centers in Kunduz and Heart
In GAO-09-280, we recommended               •     Provided antiterrorism assistance to build capacity in protection of
that the Secretaries of Defense                   national leadership and explosives incident countermeasures
(DOD) and State provide dedicated
personnel to support creation of
additional police mentor teams to
                                        Department of Justice
expand and complete the Focused
District Development program. In            •     Provided introductory and advanced training to members of the
September 2010, we closed this                    Sensitive Investigation Unit of the Counternarcotics National
recommendation as implemented                     Police. This training focused on investigative methods for
because DOD and State took                        apprehending drug traffickers.
actions to increase trainers and
mentors for the Afghan police.
In GAO-10-291, we recommended           Funding Information for Foreign Police Assistance
DOD develop performance targets
to measure interim results of efforts
to train the Counternarcotics Police                  Agency      Fiscal year 2010      Fiscal year 2011
of Afghanistan. We closed this
recommendation as implemented                         DOD              $3,023,392,000       $3,297,109,000
because DOD developed a new
                                                      State               229,675,000           169,950,000
quality metrics/measurement
program to evaluate effectiveness                     DOJ                      32,381                338,598
of its training of Afghan
counternarcotics forces                               Total            $3,253,099,381       $3,467,397,598

                                        Source: GAO analysis of DOD, State, and DOJ data.




                                        Page 49                                             Error! Reference source not found.
                                       Foreign Police Assistance
                                       Iraq Fact Sheet
                                       Major Programs and Activities
                                       Department of State
Related GAO Work
                                                Assumed full responsibility for the U.S. presence in Iraq in fiscal
During April and May 2012, we
provided briefings to staff on                   year 2012
selected committees regarding U.S               Funding for 2010 supported U.S. personnel hired to position State
security assistance to Iraq. The                 to assume responsibility for the police development mission in
Sensitive But Unclassified briefings             Iraq. Activities included developing plans and requirements for
covered the transition of lead                   transitioning police development from DOD to State, training
responsibility from DOD to State for             curricula, statements of work, position descriptions,
U.S. assistance to Iraq’s military               comprehensive work plans, and oversight and administrative
and police.
                                                 processes.
GAO Recommendations                             Funding for 2011 continued transition efforts. In addition, support
Not applicable.                                  included security, communications, and transportation
                                                 requirements as military support for those functions withdrew.
                                                Provided antiterrorism assistance to build capacity in protection of
                                                 national leadership


                                       Department of Defense
                                                Organized, trained, and equipped Iraqi police forces from 2003
                                                 through September 2011
                                                Provided projects and programs such as training of security
                                                 forces and equipment including weapons, ammunition, vehicles,
                                                 communication gear, spare parts, and transportation of
                                                 equipment
                                                Provided sustainment of security forces through maintenance
                                                 programs, human resources, information management system
                                                 support services, and medical services


                                       Funding Information for Foreign Police Assistance


                                                     Agency      Fiscal year 2010      Fiscal year 2011

                                                     State             $663,200,000          $100,360,000

                                                     DOD                 309,270,000           113,666,000

                                                     Total             $972,470,000          $214,026,000

                                       Source: GAO analysis of DOD and State data.




                                       Page 50                                             Error! Reference source not found.
                                Foreign Police Assistance
                                Pakistan Fact Sheet
                                Major Programs and Activities
                                Department of State
Related GAO Work
                                    •     Provided aviation support through flight and maintenance training
GAO-11-860SU is sensitive but             to civilian Pakistani law enforcement agencies
unclassified
                                    •     Provided training, technical assistance, and equipment to law
GAO Recommendations                       enforcement entities, including train-the-trainer and instructor
Not applicable                            development courses
                                    •     Provided training and equipment to Pakistani law enforcement
                                          entities with counternarcotics mandates
                                    •     Provided antiterrorism assistance to build capacity in protection of
                                          national leadership, critical incident management, and protection
                                          of digital infrastructure


                                Department of Defense
                                    •     Provided equipment, including protective equipment such as
                                          helmets and night vision devices to the Frontier Corps
                                    •     Provided counterinsurgency training
                                    •     Provided counternarcotics training and equipment


                                Department of Energy
                                    •     Provided radiation detection equipment to the Port of Qasim. The
                                          program included refresher training for Pakistani officials on
                                          radiation detection equipment.


                                Funding Information for Foreign Police Assistance


                                              Agency     Fiscal year 2010       Fiscal year 2011

                                              State             $176,925,000          $172,026,798

                                              DOD                112,890,000              3,487,000

                                              DOE                      47,049                     167

                                              Total             $289,862,049          $175,513,965

                                Source: GAO analysis of DOD, State, and DOE data.




                                Page 51                                            Error! Reference source not found.
                                       Foreign Police Assistance
                                       Colombia Fact Sheet
                                       Major Programs and Activities
                                       Department of State
Related GAO Work
                                           •     Provided assistance to the Colombian National Police, including
In GAO-09-71, we found that U.S.-
funded helicopters provided the air              aviation support and training and equipment to rural police. Also
mobility needed to rapidly move                  provided antiterrorism assistance to build capacity in border
Colombian counternarcotics and                   security, protection of national leadership, critical incident
counterinsurgency forces. U.S.                   management, and protection of critical infrastructure
advisers, training, equipment, and
intelligence assistance helped
professionalize Colombia's military    Department of Defense
and police forces. We also reported        •     Provided comprehensive training to police and a specialized
that State and the other U.S.
                                                 security force using a train-the-trainer approach so that trained
departments and agencies had
                                                 individuals can train other personnel
accelerated their nationalization
efforts, with State focusing on
Colombian military and National
Police aviation programs.              Department of Energy

GAO Recommendations                        •     Provided radiation detection equipment to the Port of Cartagena
                                                 and refresher training
We recommended that State, in
conjunction with the other
departments, USAID, and
                                       U.S. Agency for International Development
Colombia, develop an integrated
nationalization plan that defines          •     Provided training to civilian police on human rights
U.S. and Colombian roles and
responsibilities, future funding
requirements, and timelines. State     Department of Justice
agreed and noted that its annual
multiyear strategy report offers the       •     Provided basic and tactical sensitive investigative unit training to
most useful format to address our                members of the Colombian National Police
recommendation. However, we did
not believe this report sufficiently
addressed our recommendation. In       Funding Information for Foreign Police Assistance
September 2011, State/INL officials
in Colombia reported it reached
agreement with the government of                     Agency      Fiscal year 2010       Fiscal year 2011
Colombia to nationalize aircraft,
contractor personnel, facility                       State              $177,500,000           $149,500,000
maintenance, and other programs.
                                                     DOD                    7,000,000                800,000
For example, State/INL officials in
Colombia told us they plan to                        DOE                       30,313                   2,904
nationalize 103 aircraft by 2014,
which would represent an annual                      USAID                     21,616            16,334,200
cost savings of $83 million.
                                                     DOJ                     262,142                 419,350

                                                     Total              $184,814,071           $167,056,454

                                       Source: GAO analysis of State, DOD, DOE, USAID, and DOJ data.
                                       Note: DOJ did not report funding it provided for all countries, but was able
                                       provide funding data for Colombia.


                                       Page 52                                              Error! Reference source not found.
                                         Foreign Police Assistance
                                         Mexico Fact Sheet
                                         Major Programs and Activities
                                         State
Related GAO Work
                                             •     Provided training and equipment under the Mérida Initiative to
In GA0-10-837, we reported on the
                                                   help address the problem of increasing crime and violence in
Mérida Initiative, which provides
training and equipment to law                      Mexico and Central America. Equipment included aircraft and
enforcement in Mexico and Central                  boats.
American countries. We found that            •     Provided antiterrorism assistance to build capacity in protection of
deliveries of equipment and                        national leadership and investigations
training had been delayed by
challenges associated with an            DOD
insufficient number of staff to              •     Provided counternarcotics support including pilot and
administer the program,
                                                   maintenance training, surveillance aircraft, information sharing,
negotiations on interagency and
                                                   technical advice, and related support
bilateral agreements, procurement
processes, changes in
government, and funding
availability. We also found that         Department of Energy
while State had developed some of                  SLD provided radiation detection equipment for cargo scanning at
the key elements of an                             five Mexican ports. This includes fixed and handheld equipment,
implementation strategy, its                       maintenance and in-country training to officials in the ports of
strategic documents lacked certain                 Altamira, Lazaro, Cardenas, Manzanillo, and Veracruz.
key elements that would facilitate                 Additional technical assistance was provided to Mexican Customs
accountability and management. In                  officials at a national level.
addition, State had not developed a
comprehensive set of timelines for
all expected deliveries, though it
                                         Department of Justice
plans to provide additional
equipment and training in both               •     Provided basic training
Mexico and Central America.
GAO Recommendations
                                         Funding Information for Foreign Police Assistance
We recommended that the
Secretary of State incorporate into
the strategy for the Mérida Initiative                 Agency     Fiscal year 2010        Fiscal year 2011
outcome performance measures
that indicate progress toward                          State              $152,900,000            $20,700,000
strategic goals and develop more
comprehensive timelines for future                     DOD                   13,848,000                220,000
program deliveries. State agreed
and is working to develop better                       DOE                     353,956                   56,171
metrics and more comprehensive                         DOJ                     392,618                 124,086
timelines. As of April 2012, State is
revising its performance measures,                     Total              $167,494,574            $21,100,257
according to State officials. GAO
will examine the extent to which         Source: GAO analysis of DOD, State, DOE, and DOJ data.
these efforts address the                Note: DOJ did not report funding it provided for all countries, but was able
recommendation in a separate             provide funding data for Mexico.
engagement.




                                         Page 53                                              Error! Reference source not found.
                                      Foreign Police Assistance
                                      Palestinian Territories Fact Sheet
                                      Major Programs and Activities
                                      State
GAO Summary
                                          •     Provided battalion-level basic law enforcement and security
In GAO-10-505, we reported that                 training conducted at the Jordanian International Police Training
although U.S. and international                 Center outside of Amman, Jordan
officials said that U.S. security
assistance programs for the
Palestinian Authority had helped          •     Provided specialized courses in the West Bank to train and assist
improve security conditions in                  security forces in areas such as leadership, human rights, media
some West Bank areas, State and                 awareness, equipment maintenance, and food service operations
the Office of the United States
Security Coordinator (USSC) had           •     Provided nonlethal equipment including uniforms with protective
not established clear and                       gear and operational equipment, including riot shields, batons,
measurable outcome-based                        and handcuffs, as well as computers, tents, basic first aid kits,
performance indicators to assess                and support vehicles
progress. State and USSC officials
noted that they planned to            Treasury
incorporate performance indicators
in a USSC campaign plan to be             •     Provided mentoring and technical assistance on financial crimes
released in mid-2010.
                                                programs in Ramallah
Open GAO Recommendation
We recommended that, as State
developed the USSC campaign           Funding Information for Foreign Police Assistance
plan for providing security
assistance to the Palestinian
Authority, the Secretary of State                   Agency     Fiscal year 2010      Fiscal year 2011
should define specific objectives
and establish outcome-based                         State              $97,000,000         $141,500,000
indicators enabling it to assess
                                                    Treasury               175,545                496,017
progress. State partially concurred
with this recommendation. It                        Total              $97,175,545         $141,996,017
agreed with the need for more
performance-based indicators but      Source: GAO analysis of State and Treasury data.
noted that factors outside its
control influence progress. GAO
continues to monitor this
development.




                                      Page 54                                            Error! Reference source not found.
Appendix V: Supplemental Information on
              Appendix V: Supplemental Information on DOD
              Assessment Process for the Iraqi and Afghan
              National Police Forces55605/9/2012


DOD Assessment Process for the Iraqi and
Afghan National Police Forces
              As a part of its assessment process in Afghanistan, DOD uses criteria—
Afghanistan   called capability milestones—to assess the professionalism and capacity
              of departments under the Afghan Ministry of Interior, including
              components of the ANP. Departments are assessed against four
              capability milestones that range from 1 to 4. A department rated at 1 is
              fully capable of conducting its primary operational mission but may
              require coalition oversight. By contrast, a department rated at 4 has been
              established but cannot accomplish its mission.


              DOD’s basic assessment system in Iraq contained capabilities ratings in
Iraq          the areas of personnel, command and control, equipment,
              sustainment/logistics, training, and leadership. Commanders used the
              assessment results and their professional judgment to determine a unit’s
              overall readiness level. The assessment reports also included the
              commanders’ estimates of the number of months needed before a unit
              could assume the lead for counterinsurgency operations. DOD also
              reported readiness assessments for headquarters service companies,
              such as engineering and signal units that support combat units. 1 The
              assessment reports included the coalition commander’s narrative
              assessments of the Iraqi unit’s overall readiness level, known as the
              Performance Capability Assessment, which was designed to clarify the
              overall assessment. The narrative assessed the Iraqi unit’s leadership
              capabilities, combat experience, and ability to execute intelligence-based
              operations, and described any life support issues affecting the Iraqi unit’s
              capabilities. Commanders also explained and addressed any regression
              in the unit’s overall assessment level and listed the top three issues
              preventing the unit from assuming the lead for counterinsurgency
              operations or advancing to the next level. Remarks were intended to
              provide information and details that would help resolve the problems that
              degrade the unit’s status.


              Details on DOD’s assessments of the Pakistan Security Forces are
Pakistan      classified.




              1
               Headquarters service companies were rated levels 1 through 4 based on their ability to
              provide combat support and combat service support to units.




              Page 55                                             GAO-12-534 Foreign Police Assistance
Appendix V: Supplemental Information on DOD
Assessment Process for the Iraqi and Afghan
National Police Forces




The table below provides definition of the capability milestones, as
identified in DOD’s October 2011 Report on Progress toward Security and
Stability in Afghanistan.

Table 6: DOD Capability Milestone Rating Definitions for the Afghan Ministry of
Defense and Ministry of Interior

 Capability
 milestone             Definition
 1A                    Department or institution capable of autonomous operations.
 1B                    Department or institution capable of executing functions with coalition
                       oversight only.
 2A                    Department or institution capable of executing functions with minimal
                       coalition assistance; only critical ministerial or institutional functions are
                       covered.
 2B                    Can accomplish its mission but requires some coalition assistance.
 3                     Cannot accomplish its mission without significant coalition assistance.
 4                     The department or institution exists but cannot accomplish its mission.
Source: DOD, Report on Progress toward Security and Stability in Afghanistan.



According to DOD’s October 2011 report, advisers from the North Atlantic
Treaty Organization Training Mission–Afghanistan and Combined
Security Transition Command–Afghanistan used capability milestones to
assess individual offices and cross-functional activities on a quarterly
basis against specific end-state objectives, quarterly milestones, and skill-
building requirements. 2 For example, DOD reported in October 2011 that
the Afghan National Civil Order Police advanced from requiring some
coalition assistance to requiring minimal coalition assistance.




2
 The North Atlantic Treaty Organization Training Mission–Afghanistan and Combined
Security Transition Command–Afghanistan, among other things, recruits, trains, and
equips the Afghan National Security Forces. Training and fielding of all units with the
required specialty skills to fully support the Afghan National Army and ANP is expected to
be complete by December 2013.




Page 56                                                                         GAO-12-534 Foreign Police Assistance
Appendix VI: Comments from the
             Appendix VI: Comments from the Department
             of Homeland Security



Department of Homeland Security




             Page 57                                     GAO-12-534 Foreign Police Assistance
Appendix VII: Comments from the
             Appendix VII: Comments from the Department
             of State



Department of State




             Page 58                                      GAO-12-534 Foreign Police Assistance
Appendix VII: Comments from the Department
of State




Page 59                                      GAO-12-534 Foreign Police Assistance
Appendix VII: Comments from the Department
of State




Page 60                                      GAO-12-534 Foreign Police Assistance
Appendix VIII: GAO Contact and Staff
                            Appendix VIII: GAO Contact and
                            Staff Acknowledgments



Acknowledgments

                  Charles Michael Johnson, Jr. (202) 512-7331, or johnsoncm@gao.gov
GAO Contact
                  In addition to the individual named above, Judy McCloskey (Assistant
Staff             Director), Lynn Cothern, Brian Egger, Mark Needham, and La Verne
Acknowledgments   Tharpes made key contributions to this report.

                  Robert Alarapon, Martin De Alteriis, Etana Finkler, Mary Moutsos, and
                  Anthony Pordes provided technical support.




(320842)
                  Page 61                                    GAO-12-534 Foreign Police Assistance
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