**GAO-09-43**                      Published: Nov 10, 2008. Publicly Released: Nov 10, 2008.                  

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## Highlights

The President announced the Proliferation Security Initiative (PSI) in 2003 to enhance U.S. efforts to prevent the spread of weapons of mass destruction. In a 2006 classified report, GAO recommended that agencies establish clear PSI policies and procedures and performance indicators. In 2007, Congress enacted a law calling for the administration to expand and strengthen PSI and address GAO's prior recommendations. This report assesses (1) the extent to which the administration issued a PSI directive and submitted required PSI-related reports to Congress; (2) steps U.S. agencies have taken to establish clear PSI policies and procedures, structures, budgets, and performance indicators; and (3) U.S. agencies' efforts to increase cooperation and coordination with PSI countries and develop a strategy to resolve interdiction issues. GAO reviewed and analyzed agency documents and interviewed officials from the Departments of State (State), Defense (DOD), and other agencies with PSI responsibilitie

The administration has not issued a PSI directive that directs U.S. agencies to take actions to strengthen PSI activities, such as establishing clear PSI structures. The administration also has not submitted a required budget report to Congress, describing its funding for past and future PSI-related activities. Five months after the February 2008 mandated issuance date, the administration issued a report describing steps agencies have taken to implement the provisions called for in the law. However, this report does not fully specify the steps taken to implement GAO's previous recommendations or other provisions called for in the law. DOD has taken more steps to address the law's provisions, such as establishing clear PSI policies and procedures, than State or law enforcement agencies. However, none of the agencies has established performance indicators to measure the results of PSI activities. Consistent with internal controls, establishing clear PSI policies and procedures and indicators to measure results will help the agencies better organize their PSI activities. DOD has taken steps to clarify its PSI policies and procedures and has established a support office to improve DOD's participation in PSI exercises. However, uncertainties in DOD's policies and procedures remain about how to incorporate law enforcement agencies into PSI exercises. Even though PSI activities are increasingly focused on law enforcement issues, State and U.S. law enforcement agencies do not all have the policies, procedures, or budgets that would facilitate their participation in PSI. While State and law enforcement agencies, such as Customs and Border Protection (CBP), the Federal Bureau of Investigation (FBI), and Coast Guard, have some PSI structures in place, only CBP has written PSI guidance establishing agency roles and responsibilities; other law enforcement agencies have not taken similar steps. U.S. agencies have made efforts to increase cooperation and coordination with PSI countries through multilateral PSI planning meetings, exercises, and other outreach. However, these efforts have focused mostly on the 19 other leading PSI countries that attend multilateral meetings. U.S. agencies have not built relationships in the same way with more than 70 PSI countries not invited to attend the multilateral meetings. Agency officials acknowledged that more needs to be done to directly engage these countries. In addition, State and DOD have not developed a written strategy to resolve interdiction issues, as GAO previously recommended. To view the full product, including the scope and methodology, click on GAO-09-43. For more information, contact Joseph A. Christoff at (202) 512-8979 or christoffj@gao.gov.

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## Topics

Homeland Security

Agency proceedingsBudget obligationsDefense budgetsDefense capabilitiesFederal agenciesFederal lawstate relationsForeign governmentsInteragency relationsInternal controlsInternational agreementsInternational cooperationInternational relationsLaw enforcementLaw enforcement agenciesPerformance measuresPolicy evaluationProgram managementReporting requirementsRisk managementStrategic planningWeapons of mass destructionPolicies and proceduresProgram goals or objectivesProgram implementation