GAO-13-367R CBSI

United States Government Accountability Office

Washington, DC 20548

March 20, 2013 

The Honorable Dianne Feinstein

Chairman

The Honorable Charles Grassley

Co-Chairman

Caucus on International Narcotics Control

United States Senate

Subject: Status of Funding, Equipment, and Training for the Caribbean Basin Security 

Initiative

Because of their geographic location, large coastlines, and small criminal justice systems,

Caribbean countries are uniquely vulnerable to drug trafficking and high rates of crime and 

violence that undermine growth, threaten human welfare, and impede social development. 

In 2009, to help Caribbean countries respond to these threats, the United States created the 

Caribbean Basin Security Initiative (CBSI) with the strategic goals of substantially reducing 

illicit trafficking, advancing public safety and security, and promoting social justice. In fiscal 

years 2010 through 2012, the Department of State (State) and the U.S. Agency for 

International Development (USAID) collectively allocated about $203 million in assistance 

for CBSI activities in the Bahamas, the Eastern Caribbean,1

In response to your request for information on CBSI, this correspondence describes the 

status of CBSI funding in fiscal years 2010 through fiscal year 2012, as well as activities this 

funding has supported. Specifically, we describe the amounts of funding that U.S. agencies 

have disbursed for partner countries and describe related training, equipment, and other 

CBSI activities. CBSI funding has come from five foreign assistance accounts: International 

Narcotics Control and Law Enforcement (INCLE); Economic Support Fund (ESF); 

Development Assistance (DA); Nonproliferation, Antiterrorism, Demining, and Related 

Programs (NADR); and Foreign Military Financing (FMF). State manages INCLE, NADR, 

and FMF and shares responsibility with USAID for managing and administering ESF. USAID 

manages the DA account. In enclosure I, we provide a breakdown, by year of appropriation, 

of INCLE, ESF, DA, and NADR funding that State and USAID have allocated to each CBSI 

partner country. In enclosure II, we identify, by year of appropriation, amounts of FMF 

funding that State has allocated and committed to CBSI.

Guyana, Jamaica, Suriname, 

Trinidad and Tobago, and the Dominican Republic. 

2

 

1

State groups several Caribbean island nations into one program area referred to as the Eastern Caribbean: 

Barbados, Antigua and Barbuda, Dominica, Grenada, St. Kitts and Nevis, St. Lucia, and St. Vincent and the 

Grenadines.

 

2

We present allocations and commitments of FMF funds separately, in enclosure II, because these funds are 

budgeted and tracked differently than the other CBSI accounts. Furthermore, the Department of Defense system 
Page 2 GAO-13-367R CBSI

We collected data from State and USAID, including data on allocations, obligations, and 

disbursements of INCLE, ESF, DA, and NADR funds for CBSI activities in fiscal years 2010 

through 2012. In addition, we collected information on FMF allocations and commitments to 

CBSI. We reviewed funding data and documents from State and USAID and interviewed 

relevant agency officials regarding these documents and data, including the reliability of the 

data that the agencies provided. We determined that the data we used were sufficiently 

reliable for the purposes of this review. Recognizing that agencies may use slightly different 

accounting terms, we provided agencies with definitions from GAO’s A Glossary of Terms 

Used in the Federal Budget Process; asked the agencies to provide the relevant data 

according to these definitions; and, to the extent possible, worked with the agencies to 

ensure that they provided such data.3

We conducted our work from November 2012 through March 2013 in accordance with all 

sections of GAO’s Quality Assurance Framework that are relevant to our objective. The 

framework requires that we plan and perform the engagement to obtain sufficient and 

appropriate evidence to meet our stated objective and to discuss any limitations in our work. 

We believe that the information and data obtained, and the analysis conducted, provide a 

reasonable basis for any findings and conclusions in this product. 

Additionally, to identify the training, equipment, and 

related activities supported by CBSI funding, we reviewed programmatic documentation and 

interviewed relevant officials from State, USAID, and the Departments of Defense, 

Homeland Security, and Justice. To present the most complete possible picture of CBSI 

program implementation, we describe some activities occurring in fiscal year 2013 as well as 

planned future activities. See enclosure III for a complete description of our scope and 

methodology.

Summary

State and USAID disbursed $27.2 million of INCLE, ESF, DA, and NADR funds and 

committed $11.1 million of FMF funds from the combined total of about $203 million 

allocated to support activities in CBSI partner countries from fiscal years 2010 through 2012. 

State and USAID used this funding for new and pre-existing programs that provide 

equipment, training, and other activities related to the CBSI strategic goals of substantially 

reducing illicit trafficking, advancing public safety and security, and promoting social justice 

in the Caribbean countries. Table 1 summarizes the INCLE, ESF, DA, and NADR allocations 

and disbursements and the FMF allocations and commitments by year of appropriation.

 used to track FMF funds does not track this information consistently with our presentation of the data for the 

other accounts. 

3

GAO, A Glossary of Terms Used in the Federal Budget Process, GAO-05-734SP (Washington, D.C.: 

September 2005.)
Page 3 GAO-13-367R CBSI

Table 1: CBSI Funding by Foreign Assistance Account, by Year of Appropriation, 

Fiscal Years (FY) 2010-2012

Dollars in thousands

Account FY 2010 FY 2011 FY 2012 Total

INCLE

Allocated $27,257 $37,500 $30,000 $94,757

Disbursed 10,111 6,765 1,367 18,243

ESFa

Allocated 14,000 17,000 17,000 48,000

Disbursed 5,441 1,143 22 6,606

DAa

Allocated 6,000 0 0 6,000

Disbursed 898 0 0 898

NADR

Allocated – 6,400b 2,000 8,400

Disbursed – 1,404 0 1,404

Total disbursed $16,450 $9,312 $1,389 $27,151

FMFc

Allocated 14,500 16,467 15,000 45,967

Committedd 11,090 0 0 11,090

Source: GAO analysis of State and USAID data. 

Notes: 

Data are as of September 30, 2012. 

Dashes denote years in which no funds were allocated for CBSI and therefore no funds were disbursed. 

Amounts have been rounded to the nearest thousand and therefore may not sum to totals. 

See enclosure I for data showing allocations, obligations, and disbursements of INCLE, ESF, DA, and NADR funds by country 

and year of appropriation. See enclosure II for data on allocations and commitments of FMF funding by country and year 

appropriation. 

a

According to USAID, its ESF and DA funding for CBSI has been allocated in the last month of each fiscal year, in part 

because of late appropriations as well as internal planning processes. Additionally, the majority of USAID’s CBSI activities were 

new, requiring assessments, program design, competitive procurement processes, and coordination among partner 

governments. As a result, according to USAID, the implementation of many of its CBSI activities did not begin until fiscal year 

2012. 

b

Original fiscal year 2011 allocation was $6.4 million; however, in fiscal year 2012, State reprogrammed $16,150 from this 

allocation to Jordan’s bilateral NADR Antiterrorism Assistance account. 

c

FMF disbursements are not shown, because FMF funds are budgeted and tracked differently than funds from the other CBSI 

accounts and are not tracked consistently with our presentation of financial data. See enclosure II for additional FMF funding 

data. 

d

In this report, “committed” amounts include both FMF funding that has been committed but not yet disbursed and FMF funding 

that has been disbursed to a case. 

Background 

Situated between drug production sources in South America and consumer markets in North 

America and Europe, the Caribbean is a major transit zone for illicit narcotics. The United 

Nations Office on Drugs and Crime (UNODC) and the World Bank have identified this drug 

trafficking as a primary driver of homicide and other violent crime in the region.4

 

4

UNODC and World Bank, Crime, Violence, and Development: Trends, Costs, and Policy Options in the 

Caribbean, March 2007.

Caribbean 

countries suffer from some of the highest per-capita murder rates in the world. Many 

Caribbean countries lack the domestic capacity to fully respond to drug trafficking and other 

transnational threats. As small islands, many Caribbean countries have limited ability to fund 

the law enforcement coverage needed to control their large coastlines and territorial waters. 

Further, many Caribbean states face domestic challenges related to poverty, high rates of 

unemployment, social inequality, and inadequate criminal justice systems, further hampering 
Page 4 GAO-13-367R CBSI

their ability to combat the influence of the region’s drug trade. High rates of crime in the 

Caribbean not only endanger human welfare but also hamper the region’s long-term 

economic development. 

In May 2010, the United States, Caribbean Community (CARICOM) member nations, and 

the Dominican Republic formally launched CBSI, a regional security partnership with the 

strategic priorities of substantially reducing illicit trafficking, advancing public safety and 

security, and promoting social justice in the Caribbean. The United States developed CBSI 

to complement the Mérida Initiative5 and the Central America Regional Security Initiative6

Figure 1: Map of CBSI Partner Countries 

by 

mitigating potential criminal spillover resulting from successful reductions in drug trafficking 

and transnational crime in Mexico and Central America. Figure 1 shows the CBSI partner 

countries.

 

5

The Mérida Initiative is a multiyear assistance package originally developed for Mexico and Central America to 

help address increasing violence and criminal activity, especially from drug trafficking organizations and other 

criminal organizations. For more information see GAO, Merida Initiative: The United States Has Provided 

Counternarcotics and Anticrime Support but Needs Better Performance Measures, GAO-10-837 (Washington, 

D.C.: July 21, 2010). 

6

In 2010, the Obama administration separated the Central America portion of the Mérida Initiative and renamed it 

the Central America Regional Security Initiative. This initiative is designed as a collaborative partnership between 

the United States and the region. It supports anti-corruption, judicial reform, anti-gang, community policing, and 

corrections efforts, as well as crime prevention, law enforcement, and counternarcotics programs. For more 

information see GAO, International Affairs: Status of Funding for the Central America Regional Security Initiative, 

GAO-13-295R (Washington, D.C.: Jan. 30, 2013). 
Page 5 GAO-13-367R CBSI

CBSI differs from previous security assistance efforts in the region in that its activities are 

planned and coordinated among CBSI partner countries through a multilateral framework 

specific to the initiative. Under this framework, technical working groups meet as needed to 

advance technical cooperation, review implementation efforts, develop benchmarks, and 

propose additional measures. According to State, the CBSI Commission then meets 

annually to review the action plans developed by the technical working groups. In addition, 

the national security ministers of the United States and Caribbean countries attend the 

annual Caribbean-United States Security Cooperation Dialogue. The CARICOM 

Implementation Agency for Crime and Security acts as the CBSI secretariat for the 

Caribbean states and the United States, in that it is responsible for organizing, holding, and 

reporting on CBSI meetings and for facilitating negotiations on documents such as 

declarations and commission reports. U.S. agencies meet before these multilateral CBSI 

meetings to discuss ways to maximize the effectiveness of U.S. government involvement. In 

January 2013, State’s Bureau of Western Hemisphere Affairs began formalizing this 

coordination by hosting interagency CBSI working groups. 

The following are descriptions of the five foreign assistance accounts that have funded 

CBSI: 

• INCLE. State manages the INCLE account, which provides assistance to foreign 

countries and international organizations to assist them in developing and 

implementing policies and programs that maintain the rule of law and strengthen 

institutional law enforcement and judicial capabilities, including countering drug flows 

and combating transnational crime.

• ESF. State and USAID share responsibility for managing the ESF account, which 

assists foreign countries in meeting their political, economic, and security needs by 

funding a range of activities. ESF-funded activities include those designed to counter 

terrorism and extremist ideology, increase the role of the private sector in the 

economy, develop effective legal systems, build transparent and accountable 

governance, and empower citizens.

• DA. USAID manages the DA account, which responds to longer-term challenges to 

human and economic security by funding activities in a range of areas, including 

economic growth and education.

• NADR. State manages the NADR accounts, which fund contributions to certain 

organizations supporting nonproliferation and provides assistance to foreign 

countries for nonproliferation, demining, antiterrorism, export control assistance, and 

other related activities.

• FMF. State manages, and the Defense Security and Cooperation Agency (DSCA) 

implements, the FMF account, which provides grants and loans to foreign 

governments and international organizations for the acquisition of U.S. defense 

equipment, services, and training.

The Department of Defense also supports partner countries in the Caribbean through 

training, equipment, and information sharing, which complement CBSI.
Page 6 GAO-13-367R CBSI

Status of INCLE Assistance 

In fiscal years 2010 through 2012, State disbursed $18.2 million of almost $94.8 million of 

INCLE funds allocated to support and develop the police and justice sectors of CBSI partner 

countries. See table 2. 

Table 2: INCLE Disbursements for CBSI, Fiscal Years 2010-2012

Dollars in thousands

Country FY 2010 FY 2011 FY 2012 Total

Bahamas $33 $603 $882 $1,519

Dominican Republic 0a 283 333 616

Eastern Caribbean 9 233 918 1,160

Guyana 0 9 57 66

Jamaica 246 655 2,777 3,678

Suriname 0 7 134 140

Trinidad and Tobago 13 58 227 298

Regionalb 0 2,722 8,043 10,765

Total disbursed $302 $4,570 $13,371 $18,243

Source: GAO analysis of State data. 

Notes: 

Data are as of September 30, 2012, and indicate disbursements made in each fiscal year. 

Dashes denote years in which no funds were allocated for CBSI and therefore no funds were disbursed. 

Amounts have been rounded to the nearest thousand and therefore may not sum to totals. 

See enclosure I for more detailed INCLE funding data by year of appropriation. 

a

Fiscal year 2010 funding for the Dominican Republic is considered bilateral and not part of CBSI. Fiscal year 2011 was the 

first year that State included funds for the Dominican Republic under CBSI. 

b

”Regional” refers to funding for region-wide programs in the Caribbean that is not tied to a program in a specific country. 

State’s Bureau of International Narcotics and Law Enforcement Affairs uses INCLE funding 

to support a variety of programs intended to enhance border control, provide police training 

and enhance information sharing, build criminal justice capacities, and reduce drug demand 

in CBSI partner countries. For example:

• Border control enhancement. State uses INCLE funds to support the Advance 

Passenger Information System (APIS), which is managed by U.S. Customs and 

Border Protection (CBP). APIS contains advance flight and commercial vessel 

manifest data that officials can use to identify high-risk individuals arriving at and 

departing from participating CARICOM member states. If APIS identifies a person of 

concern, CBP coordinates law enforcement responses with regional authorities and 

U.S. agency counterparts. Although APIS predates CBSI, State is using INCLE 

funding to expand APIS to the Bahamas and Suriname pending the passage of the 

required legislation in these countries to allow such information sharing. According to 

DHS officials, CBP’s goal is to install all necessary hardware and finish training hostcountry staff by the end of fiscal year 2014. State and CBP are also using INCLE 

funding to conduct regional border security training and capacity building in existing 

APIS countries. In addition, State is using INCLE funding to support the UNODC 

Container Control Program by establishing and training interagency containerprofiling units in the detection, identification, and inspection of high-risk containers.

• Police training and information sharing. State uses INCLE funds to support police 

training and information-sharing programs throughout the Caribbean. For example, 

State supported training on, among other topics, homicide investigations, 

surveillance, investigation and interrogation techniques, and firearms tracking in the 

region. Additionally, State plans to provide 8-week polygraph operator training in 
Page 7 GAO-13-367R CBSI

Jamaica to develop a group of regional polygraph experts. State also plans to use 

INCLE funds to place a U.S. Department of Justice International Criminal 

Investigative Training Assistance Program resident police advisor in Barbados to 

assist with training of law enforcement personnel throughout the Eastern Caribbean. 

With regard to information sharing, the Regional Integrated Ballistics Information 

Network seeks to expand CBSI partner countries’ abilities to share digital ballistic 

data. State has established hubs in Barbados, Jamaica, and Trinidad and Tobago 

that are capable of sharing data and has provided training in the use of equipment 

and software to police lab technicians in Barbados. Additionally, State has 

established the Regional Information Sharing Project, which provides CBSI partner 

countries with equipment to collect and share digital fingerprint data through the 

Automated Fingerprint Identification System. According to State, this system is 

currently in use in Antigua and Barbuda, St. Kitts, and St. Lucia. The majority of other 

CBSI partner countries have begun or completed conversion of their fingerprint 

records to digital format but have not yet installed the system equipment. 

• Criminal justice capacity building. The Office of Technical Assistance at the U.S. 

Department of the Treasury sends representatives to CBSI partner countries to 

provide mentoring to law enforcement and judicial personnel in preparing financial 

crime cases for prosecution. Similarly, the U.S. Department of Justice’s Office of 

Overseas Prosecutorial Development, Assistance, and Training is providing two legal 

advisors for capacity building in the Caribbean region. For example, according to 

State, one regional legal advisor has begun to establish a homicide task force in St. 

Kitts and Nevis, including Federal Bureau of Investigation vetting of police officers for 

the task force, 4-day crime scene training, and 5-day homicide investigation training. 

State also uses INCLE funds to support, jointly with the United Kingdom, the UK 

Prosecutor Project, in which a Crown Prosecutor is based in Barbados to assist 

Eastern Caribbean partner countries in promoting criminal justice reform. 

• Drug demand reduction and counternarcotics. State uses INCLE funds to support 

drug demand reduction through a pre-existing program that trains and certifies drug 

abuse and treatment counselors. State used INCLE funds to develop a drug 

treatment and prevention curriculum and train 45 instructors to deliver this 

curriculum. State also uses INCLE funds to train law enforcement officers on topics 

such as counternarcotics investigations, including the identification of controlled 

substances.

Status of ESF and DA Assistance 

As stated earlier, State and USAID share responsibility for managing the ESF account, and 

USAID manages the DA account. In fiscal years 2010 through 2012, USAID disbursed 

about $7.5 million of $53.9 million of ESF and DA funds allocated to develop and implement 

CBSI crime prevention programs. In addition, in fiscal year 2011, State allocated $75,000 in 

ESF funds for a grant program in Barbados, to be administered by the Bureau of Western 

Hemisphere Affairs, but had not disbursed these funds as of the end of fiscal year 2012. 

See table 3. 
Page 8 GAO-13-367R CBSI

Table 3: ESF and DA Disbursements for CBSI, Fiscal Years 2010-2012 Dollars in thousands

Country FY 2010 FY 2011 FY 2012 Total

USAID ESF

Dominican Republic $0 $160 $175 $336

Guyana 0 32 838 871

Jamaica 0 2,080 3,085 5,166

Regionala 0 5 229 234

USAID DA

Regionala 0 67 831 898

State ESFb

Barbados – 0 0 0

Total disbursed $0 $2,346 $5,158 $7,504

Source: GAO analysis of State and USAID data. 

Notes: 

Data are as of September 30, 2012, and indicate disbursements made in each fiscal year. 

Dashes denote years in which no funds were allocated for CBSI and therefore no funds were disbursed. 

Amounts have been rounded to the nearest thousand and therefore may not sum to totals. 

See enclosure I for more detailed ESF and DA funding data by year of appropriation. 

a

”Regional” refers to funding for region-wide programs in the Caribbean that is not tied to a program in a specific country. 

b

State allocated $75,000 in ESF funding for CBSI in fiscal year 2011 for a small grants program for youths. 

USAID used ESF and DA funds to establish CBSI programs focused on improving 

education, developing the workforce, reforming the juvenile justice system, and supporting 

community-based policing and anticorruption efforts at the country level. For example:

• Education improvement. USAID established programs in Jamaica focused on 

improving basic education and literacy. For instance, USAID engaged reading 

coaches to assist teachers and principals at low-performing schools. USAID also 

identified children who were furthest behind in reading development and provided 

them with additional instruction. According to program documentation, as of fiscal 

year 2012, USAID had provided instruction to more than 9,950 Jamaican students.

• Workforce development. USAID established workforce development programs in 

several countries to facilitate school-to-work transition, train youths in 

entrepreneurship, and design career development programs. In Barbados and the 

Eastern Caribbean, USAID’s program is intended to expand employment and 

education opportunities for at-risk youths by providing technical and vocational 

training as well as career counseling and job placement assistance. According to 

USAID officials, 1,260 people in the Eastern Caribbean had completed workforce 

development programs by the end of fiscal year 2012. USAID also began similar 

programs in Jamaica, which more than 12,500 individuals had completed by the end 

of fiscal year 2012, according to USAID officials. In the Dominican Republic, the AtRisk Youth Initiative targets youths that have dropped out of school or live in difficult 

family situations and provides them with employment and vocational training. This 

program began in fiscal year 2013 and is planned to continue for 5 years. 

• Juvenile justice reform. USAID’s juvenile justice reform programs in Guyana and 

Jamaica work with legal authorities to introduce alternative sentencing for young 

offenders and support the separation of juveniles from adults within the correctional 

system. These programs also help to divert youths into community-based 

rehabilitation services and reintegrate them into work and society. For example, 

USAID established the Skills and Knowledge for Youth Employment Project in 

Guyana, which includes work at the New Opportunity Corps juvenile detention 
Page 9 GAO-13-367R CBSI

facility. USAID established similar programs in Jamaica that also focus on work with 

police, correctional services, and civil society. 

• Community-based law enforcement and judiciary programs. USAID is supporting 

community-based projects in Jamaica and the Dominican Republic. In Jamaica, 

USAID has supported community-based policing with an emphasis on police reform 

and improved community relations. In the Dominican Republic, USAID's efforts to 

improve citizen security include support to civil society, technical assistance to the 

Dominican Congress on drafting legislation for police and judicial reform, and the 

training of police and prosecutors in criminal case management and strategic 

management. In addition, USAID has established four "community justice houses" in 

high crime areas in the Dominican Republic. These facilities serve 15,000 people 

annually, providing access to justice services such as legal orientation, alternative 

dispute resolution, and public defense services. 

• Anticorruption efforts. USAID supported anticorruption efforts in Jamaica. USAID is 

assisting Jamaica’s office of tax administration in developing improved systems to 

review tax returns of those more likely to be involved in laundering currency from 

illicit activities. In addition, according to USAID officials, more than 1,300 Jamaican 

officials received anticorruption training as of the end of 2012.

In addition, State allocated $75,000 of its ESF funding for CBSI in fiscal year 2011 and has 

disbursed about $65,000 in fiscal year 2013 for a December 2012 youth conference in 

Barbados. This conference brought together more than 40 students and teachers from the 

Bahamas, the Eastern Caribbean, Guyana, and Jamaica.

Status of NADR Assistance

In fiscal years 2010 through 2012, State disbursed $1.4 million of the $8.4 million of NADR 

funds it had allocated to CBSI in support of two security assistance programs: Export 

Control and Related Border Security (EXBS) and Antiterrorism Assistance (ATA). State 

allocated $4.4 million in NADR funding to the CBSI EXBS program in fiscal years 2010 

through 2012 and disbursed $270,000 of these funds in fiscal year 2012.7 State allocated 

approximately $4 million in ATA funding to CBSI in fiscal years 2010 through 2012 and 

disbursed approximately $1.1 million of these funds in fiscal year 2011. See table 4.

 

7

State did not provide disbursement data by country for NADR EXBS funds administered by the Bureau of 

International Security and Nonproliferation because the bureau’s CBSI programs are regional in nature. 
Page 10 GAO-13-367R CBSI

Table 4: NADR Disbursements for CBSI, Fiscal Years 2010–2012

Dollars in thousands

Country FY 2010a FY 2011 FY 2012 Total

NADR EXBS

Regionalb – $0 $270 $270

NADR ATA

Bahamas – 260 0 260

Eastern Caribbean – 83 0 83

Dominican Republic – 325 0 325

Jamaica – 218 0 218

Trinidad and Tobago – 249 0 249

Total disbursed – $1,135 $270 $1,405

Source: GAO analysis of State data. 

Notes: 

Data are as of September 30, 2012, and indicate disbursements made in each fiscal year. 

Dashes denote years in which no funds were allocated for CBSI and therefore no funds were disbursed. 

Amounts have been rounded to the nearest thousand and therefore may not sum to totals. 

See enclosure I for more detailed NADR funding data by year of appropriation. 

a

No NADR funds were allocated to CBSI in fiscal year 2010. 

b

“Regional” refers to funding for region-wide programs in the Caribbean that is not tied to a program in a specific country. 

State’s Bureau of International Security and Nonproliferation administers EXBS to assist 

foreign governments in establishing effective trade and border control systems to stem the 

proliferation of weapons of mass destruction (WMD) and irresponsible transfers of 

conventional weapons. For CBSI, State has used NADR EXBS funding to support 

antitrafficking programs and training, WMD identification workshops, firearms destruction 

and stockpile management, and a cargo targeting system. For example:

• Antitrafficking programs and training. State is partnering with the U.S. Department of 

Justice’s Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) in a program 

to provide firearms interdiction and training. For example, ATF plans to send two 

regional firearms advisors to the region in the spring of 2013 to supervise training; 

provide technical, legal, and firearms investigation and tracing support; and establish 

antifirearms trafficking programs. According to State, ATF has additional plans to 

provide legal, regulatory, and parliamentary assistance to enable effective 

antifirearms trafficking legislation. ATF also plans to establish a forensic ballistics 

training program and develop an exchange program for Caribbean law enforcement 

officials to work alongside their ATF counterparts in the United States. 

• WMD identification workshops. State has established a partnership with the U.S. 

Department of Energy to provide workshops on the identification of WMD-related 

materials, tentatively planned for the spring of 2013. One workshop is intended to 

familiarize up to 45 customs inspectors and other subject-matter experts from 

Caribbean partner countries with WMD-related materials and equipment. The other 

planned training is a curriculum-development workshop to prepare 25 regional 

instructors to deliver further WMD identification workshops in the region. 

• Firearms destruction and stockpile management. State used NADR EXBS funding to 

provide a grant to the United Nations Regional Center for Peace, Disarmament and 

Development in Latin America and the Caribbean to provide technical assistance 

and equipment for stockpile management and destruction of firearms, ammunition, 

and explosives to 14 CBSI partner countries. Additionally, the center plans to provide 
Page 11 GAO-13-367R CBSI

training on firearms trafficking for law enforcement officials and make 

recommendations on firearms trafficking-related legal reforms. 

• Cargo targeting. State used NADR EXBS funds to award a grant to the World 

Customs Organization to conduct pilot deployments of the Cargo Targeting System. 

The system is intended to provide host nations with the capability to identify high-risk 

cargo, such as WMD components and advanced conventional arms, for control and 

inspection. According to State officials, the World Customs Organization plans to 

provide hardware, software, full training, support, and maintenance for the pilot 

deployments in Jamaica, the Bahamas, and Trinidad and Tobago in late 2013. 

State’s Counterterrorism Bureau provides policy guidance while the Bureau of Diplomatic 

Security’s Office of Anti-Terrorism Assistance implements the ATA program to train civilian 

security and law enforcement personnel in police procedures related to terrorism. State has 

used NADR ATA funds to offer training to security and law enforcement officials in terrorismrelated police procedures to CBSI countries. According to State officials, many of the ATA 

programs in the Caribbean have been ongoing since at least the late 1980s, and CBSI 

funding has provided opportunities to coordinate and leverage these pre-existing resources 

as well as create new programs. Since fiscal year 2010, State has provided 24 courses and 

related equipment to the Bahamas, Barbados, the Dominican Republic, Jamaica, and 

Trinidad and Tobago. For example, State provided equipment and training courses on 

analyzing digital computer and cell phone evidence in the Bahamas, the Dominican 

Republic, and Jamaica. State also provided training on topics such as managing security for 

harbors and airports and protecting liquefied natural gas terminals. 

Status of FMF Assistance

In fiscal years 2010 through 2012, State committed $11.1 million of $46 million of FMF funds 

allocated to support CBSI countries. State’s Bureau of Political-Military Affairs administers

FMF assistance to support CBSI countries in building maritime security capacity and 

securing maritime borders against transnational threats. State was unable to provide data 

on annual fiscal year disbursements for CBSI FMF funds because FMF funds are budgeted 

and tracked in a different way than the other CBSI accounts and the system that is used 

does not track information consistent with our presentation of the financial data.8

State used FMF funds to provide support for maritime security and operational readiness 

activities in CBSI partner countries. For example, State used these funds to provide 

Defender Class SAFE boats to Antigua, Dominica, Grenada, St. Kitts and Nevis, and St. 

Vincent and the Grenadines (see fig. 2).

See 

enclosure II for further details on how FMF funds were allocated and committed, by year of 

appropriation, toward activities in CBSI partner countries.

9

 

8

The DSCA and the Defense Financing and Accounting Services (DFAS) are responsible for the financial 

systems that account for FMF funds, as well as tracking the implementation and expenditure of those funds. 

According to DSCA officials, DSCA’s system can track only FMF commitments, not annual disbursements. DFAS 

uses the Defense Integrated Finance System to track obligations and disbursements; however, there is no direct 

link between the DSCA and DFAS systems, and the DFAS system does not track funding for specific initiatives, 

such as CBSI.

According to State, in 2012 each country received 

9

SAFE refers to the manufacturer SAFE Boats International.
Page 12 GAO-13-367R CBSI

two of these special-purpose law enforcement boats, a spare-parts package for 2 years of 

operations, and 2 weeks of on-site support from the manufacturer. Additionally, State used 

FMF funds to deliver two Metal Shark aluminum boats to Guyana, spare parts and training in 

operation and maintenance to St. Lucia and Grenada, and radios and support to Trinidad 

and Tobago and to Barbados.10

Figure 2: Defender Class SAFE Boat in Grenada 

State also uses FMF funds to provide technical assistance to CBSI countries through the 

regional Technical Assistance Field Team. Since 1986, the field team has provided logistical 

and technical assistance intended to improve the operational readiness of Caribbean 

countries’ security forces and assets for search-and-rescue, maritime security, and law 

enforcement operations. State is using FMF funds to expand the field team from 3 to 15 

personnel. According to U.S. Coast Guard officials, this expansion will enable the field team 

to provide technical assistance to a greater number of CBSI countries. Additionally, a goal of 

the expanded field team will be to increase CBSI countries’ self sufficiency in the areas of 

maritime maintenance, sustainment, and logistics. 

As of January 2013, State had allocated FMF funds to implement additional regional 

programs. For example, State was planning 

• a regional domain awareness system that would integrate participating CBSI 

countries’ radar and sensor data in a web-based system, to improve regional 

coordination and the ability to detect and intercept maritime, air, and land threats; 

 

10Metal Shark refers to the manufacturer Metal Shark LLC.
Page 13 GAO-13-367R CBSI

• a regional maritime strategy to help CBSI countries establish coordinated operating 

procedures with the aim of improving security against illicit trafficking and other 

threats; and

• an information-sharing program among certain Caribbean countries to improve 

interdiction coordination through enhanced capacity to detect and report suspect 

vessels and aircraft.

Agency Comments

We provided State, USAID, and the Departments of Defense, Justice, and Homeland 

Security with a draft of this report for their review. State, USAID, and the Departments of 

Defense and Homeland Security provided technical comments, which we incorporated as 

appropriate. The Department of Justice had no comments. 

– – – – – 

As agreed with your offices, unless you publicly announce the contents of this report earlier, 

we plan no further distribution until 30 days from the report date. At that time, we will send

copies to the appropriate congressional committees; the Secretaries of Defense, Homeland 

Security, and State; the U.S. Attorney General; and the Administrator of USAID. In addition, 

the report will be available at no charge on the GAO website 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 Congressional

Relations and Public Affairs may be found on the last page of this report. GAO staff who 

made major contributions to this report are listed in enclosure IV.

Charles Michael Johnson, Jr.

Director, International Affairs & Trade

Enclosures (4)
Page 14 GAO-13-367R CBSI

Enclosure I: Status of Caribbean Basin Security Initiative Funds 

To demonstrate how funding for Caribbean Basin Security Initiative (CBSI) activities have 

been allocated, obligated, and disbursed, we are providing a status of CBSI funds as of 

September 30, 2012. The following tables show CBSI funding from the International 

Narcotics Control and Law Enforcement (INCLE); Economic Support Fund (ESF); 

Development Assistance (DA); and Nonproliferation, Anti-terrorism, Demining, and Related 

Programs (NADR) accounts. These tables illustrate, by year of appropriation, how U.S. 

agencies have allocated, obligated, and disbursed funds for activities in CBSI partner 

countries. Specifically, the tables include unobligated balances—that is, portions of 

obligational authorities that have not yet been obligated—and unliquidated obligations (or 

obligated balances) —that is, amounts already incurred for which payment has not yet been 

made.11 

Table 5: CBSI INCLE Funding for Activities in CBSI Partner Countries, by Year of 

Appropriation, Fiscal Years (FY) 2010-2012 Dollars in thousands

Country FY 2010 FY 2011 FY 2012 Total

Bahamas

Allocated $3,145 $2,718 $2,550 $8,413

Unobligated balancea 177 25 2,344 2,545

Unliquidated obligations 1,913 2,435 1 4,349

Disbursedb 1,055 258 206 1,519

Dominican Republic

Allocated - c 7,979 4,050 12,029

Unobligated balancea - 194 3,762 3,955

Unliquidated obligations - 7,439 19 7,458

Disbursedb - 347 269 616

Eastern Caribbean

Allocated 10,894 5,052 2,640 18,586

Unobligated balancea 333 53 2,550 2,939

Unliquidated obligations 9,882 4,601 6 14,489

Disbursedc 679 397 84 1,160

Guyana

Allocated 100 547 960 1,607

Unobligated balancea 2 1 960 963

Unliquidated obligations 47 531 0 578

Disbursedb 51 15 0 66

Jamaica

Allocated 3,623 4,477 3,950 12,050

Unobligated balancea 1 190 3,658 3,849

Unliquidated obligations 594 3,907 21 4,523

Disbursedb 3,028 379 271 3,678

Suriname

Allocated 100 582 1,300 1,982

Unobligated balancea 0 25 1,290 1,315

Unliquidated obligations 18 508 1 526

Disbursedb 83 48 10 140

Trinidad and Tobago

Allocated 556 1,370 2,010 3,936

Unobligated balancea 167 113 1,962 2,241

Unliquidated obligations 197 1,200 1 1,398

Disbursedb 193 58 47 298

 

11From GAO, A Glossary of Terms Used in the Federal Budget Process, GAO-05-734SP (Washington, D.C.: 

September 2005). 
Page 15 GAO-13-367R CBSI

Regionald

Allocated 8,839 14,776 12,540 36,155

Unobligated balancea 0 148 12,060 12,208

Unliquidated obligations 3,816 9,366 0 13,182

Disbursedb 5,023 5,262 480 10,765

Source: GAO analysis of State data. 

Notes: 

Data are as of September 30, 2012. 

Dashes denote years in which no funds were allocated for CBSI and therefore no funds were disbursed. 

Amounts have been rounded to the nearest thousand and therefore may not sum to totals. In International Narcotics and Law 

Enforcement Bureau financial tracking, disbursed amounts are labeled as dispensed amounts and allocated amounts are 

labeled as values allocated. 

a

According to State officials, unobligated balances from fiscal years 2010 and 2011 are no longer available for obligation. 

Unobligated balances from fiscal year 2012 are available for obligation until September 30, 2013. 

b

According to State officials, payments applied to an obligation in the accounting system are recorded as disbursements or 

liquidations for INCLE. 

c

Fiscal year 2010 funding for the Dominican Republic is considered bilateral and not part of CBSI. Fiscal year 2011 was the 

first year that State included funds for the Dominican Republic under CBSI. 

d

“Regional” refers to funding for region-wide programs in the Caribbean that is not tied to a program in a specific country.

Table 6: CBSI ESF Funding Managed by USAID for Activities in CBSI Partner 

Countries, by Year of Appropriation, Fiscal Years 2010-2012

Dollars in thousands

Country FY 2010 FY 2011 FY 2012 Total

Dominican Republic

Allocated $5,400 $4,490 $4,590 $14,480

Unobligated balancea 0 0 0 0

Unliquidated obligationsb 5,086 4,490 4,568 14,144

Disbursedc 314 0 22 336

Guyana

Allocated 1,300 0 0 1,300

Unobligated balancea 0 0 0 0

Unliquidated obligationsb 429 0 0 429

Disbursedc 871 0 0 871

Jamaica

Allocated 5,700 4,845 5,145 15,690

Unobligated balancea 150 0 911 1,061

Unliquidated obligationsb 1,504 3,726 4,234 9,463

Disbursedc 4,046 1,119 0 5,166

Regionald

Allocated 1,600 7,590 7,265 16,455

Unobligated balancea 0 0 100 100

Unliquidated obligationsb 1,389 7,567 7,165 16,121

Disbursedc 211 23 0 234

Source: GAO analysis of USAID data. 

Notes: 

Data are as of September 30, 2012. 

Amounts have been rounded to the nearest thousand and therefore may not sum to totals. 

According to USAID, due in part to late appropriations as well as internal planning processes, its ESF and DA funding for CBSI 

has been allocated in the last month of each fiscal year. Additionally, the majority of USAID’s CBSI activities were new, 

requiring assessments, program design, competitive procurement processes, and coordination among partner governments. 

As a result, according to USAID, the implementation of many of its CBSI activities did not begin until fiscal year 2012. 

a

According to USAID officials, unobligated balances from fiscal year 2010 are no longer available for obligation. Unobligated 

balances from fiscal year 2012 are available for obligation until September 30, 2013. 

b

According to USAID officials, amounts that have been obligated but not disbursed or expensed and remain as uninvoiced or 

unpaid are recorded as unliquidated obligations for ESF and DA. 

c

According to USAID officials, payments that the agency has made to other parties, using cash, checks, or electronic transfers 

are recorded as disbursements for ESF and DA. d

Regional” refers to funding for region-wide programs in the Caribbean that is not tied to a program in a specific country. 
Page 16 GAO-13-367R CBSI

Table 7: CBSI ESF Funding Managed by State for Activities in CBSI Partner Countries, 

by Year of Appropriation, Fiscal Years 2010-2012

Dollars in thousands

Country FY 2010 FY 2011 FY 2012 Total

Barbados

Allocated - $75 $0 $75

Unobligated balance - 0 0 0

Unliquidated obligationsa - 75b 0 75

Disbursedc - 0 0 0

Source: GAO analysis of State data. 

 

Notes: 

Data as of September 30, 2012. 

Dashes denote years in which no funds were allocated for CBSI and therefore no funds were obligated or disbursed. 

Amounts have been rounded to the nearest thousand and therefore may not sum to totals. 

a

According to State officials, amounts that have been obligated but not disbursed or expensed and remain as uninvoiced or 

unpaid are recorded as unliquidated obligations for ESF. 

b

State’s Bureau of Western Hemisphere Affairs has disbursed about $65,000 of these funds for a public diplomacy project for 

youth in Barbados in fiscal year 2013. 

c

According to State officials, payments that the agency has made to other parties, using cash, checks, or electronic transfers 

are recorded as disbursements for ESF. 

Table 8: CBSI DA Funding for Activities in CBSI Partner Countries, by Year of 

Appropriation, Fiscal Years 2010-2012

Dollars in thousands

Country FY 2010 FY 2011 FY 2012 Total

Regionala 

Allocated $6,000 $0 $0 $6,000

Unobligated balance 0 0 0 0

Unliquidated obligationsb 5,102 0 0 5,102

Disbursedc 898 0 0 898

Source: GAO analysis of USAID data. 

Notes: 

Data are as of September 30, 2012. 

Amounts have been rounded to the nearest thousand and therefore may not sum to totals. 

According to USAID, due in part to late appropriations as well as internal planning processes, its ESF and DA funding for CBSI 

has been allocated in the last month of each fiscal year. Additionally, the majority of USAID’s CBSI activities were new, 

requiring assessments, program design, competitive procurement processes, and coordination among partner governments. 

As a result, according to USAID, the implementation of many of its CBSI activities did not begin until fiscal year 2012. 

a”Regional” refers to funding for region-wide programs in the Caribbean that is not tied to a program in a specific country. 

b

According to USAID officials, amounts that have been obligated but not disbursed or expensed and remain as uninvoiced or 

unpaid are recorded as unliquidated obligations for ESF and DA. 

c

According to USAID officials, payments that the department has made to other parties, using cash, checks, or electronic 

transfers are recorded as disbursements for ESF and DA. 
Page 17 GAO-13-367R CBSI

Table 9: CBSI NADR Funding for Activities in CBSI Partner Countries, by Year of 

Appropriation, Fiscal Years 2010-2012

Dollars in thousands

Country FY 2010a FY 2011 FY 2012 Total

NADR EXBSb

Regionalc

Allocation – $4,400 – $4,400

Unobligated balanced – 0 – 0

Unliquidated obligationse – 4,130 – 4,130

Disbursed – 270 – 270

NADR ATA

Bahamas

Allocation – 525 300 825

Unobligated balanced – 17 300 317

Unliquidated obligationse – 249 0 249

Disbursed – 260 0 260

Eastern Caribbean

Allocation – 100 0 100

Unobligated balanced – 2 0 2

Unliquidated obligationse – 15 0 15

Disbursed – 83 0 83

Dominican Republic

Allocation – 500 500 1,000

Unobligated balanced – 2 500 502

Unliquidated obligationse – 174 0 174

Disbursed – 325 0 325

Jamaica

Allocation – 500 600 1,100

Unobligated balanced – 29 600 629

Unliquidated obligationse – 253 0 253

Disbursed – 218 0 218

Trinidad and Tobago

Allocation – 375 600 975

Unobligated balanced – 4 600 604

Unliquidated obligationse – 122 0 122

Disbursed – 249 0 249

Source: GAO analysis of State data. 

Notes: 

Data are as of September 30, 2012. 

Dashes denote years in which no funds were allocated for CBSI and therefore no funds were disbursed. 

Amounts have been rounded to nearest thousand and therefore may not sum to totals. 

a

No NADR funds were allocated to CBSI in fiscal year 2010. 

b

According to State officials, NADR EXBS funding cannot be broken out by country because it is allocated regionally.

c

“Regional” refers to funding for region-wide programs in the Caribbean that is not tied to a program in a specific country. 

d

According to State officials, unobligated balances from fiscal year 2011 are no longer available for obligation. Unobligated 

balances from fiscal year 2012 are still available for obligation. 

e

According to State officials, amounts that have been obligated but have not been disbursed or expensed and remain as 

uninvoiced or unpaid and for which the service may not yet have been rendered are recorded as unliquidated obligations for 

NADR ATA. 
Page 18 GAO-13-367R CBSI

Enclosure II: Status of Caribbean Basin Security Initiative Foreign Military Financing 

Account Funds

This enclosure provides the status of Caribbean Basin Security Initiative (CBSI) Foreign 

Military Financing (FMF) funds as of September 30, 2012. Table 1 shows the Department of 

State’s (State) allocations and commitments of FMF funds, by year of appropriation, for 

activities in CBSI partner countries. The presentation of FMF allocations and commitments 

is different from presentations on allocations, obligations, and disbursements of the other 

CBSI accounts in enclosure I because FMF funds are budgeted and tracked in a different 

way. 

The Defense Security Cooperation Agency (DSCA) and the Defense Financing and 

Accounting Service (DFAS) are responsible for the financial systems that account for FMF 

funds as well as for tracking the implementation and expenditure of those funds. According 

to DSCA officials, FMF funds are obligated on apportionment. Further, DSCA’s system can 

track only uncommitted and committed amounts, not unliquidated obligations or 

disbursements, of FMF funds. DFAS tracks obligations and disbursements using the 

Defense Integrated Finance System; however, there is no direct link between the DSCA and 

DFAS systems and the DFAS system does not track funding for specific initiatives, such as 

CBSI. 

Table 10: CBSI FMF Funding for Activities in CBSI Partner Countries, by Year of 

Appropriation, Fiscal Years 2010-2012

Dollars in thousands

Country FY 2010 FY 2011 FY 2012 Total

Antigua and Barbuda

Allocated $1,670 $250 $283 $2,203

Unobligated balance 0 0 0 0

Uncommitteda 0 250 283 533

Committedb 1,670 0 0 1,670

Bahamas

Allocated 0 300 385 685

Unobligated balance 0 0 0 0

Uncommitteda 0 300 385 685

Committedb 0 0 0 0

Barbados

Allocated 182 250 280 712

Unobligated balance 0 0 0 0

Uncommitteda 0 250 280 530

Committedb 182 0 0 182

Dominica

Allocated 1,749 250 283 2,282

Unobligated balance 0 0 0 0

Uncommitteda 0 250 283 533

Committedb 1,749 0 0 1,749

Dominican Republic

Allocated 0 2,250 2,750 5,000

Unobligated balance 0 0 0 0

Uncommitteda 0 2,250 2,750 5,000

Committedb 0 0 0 0

Grenada

Allocated 1,670 250 283 2,203

Unobligated balance 0 0 0 0

Uncommitteda 0 250 283 533
Page 19 GAO

-13-367R CBSI

Committed

b 1,670

00 1,670

Guyana

Allocated 1,749 450 272 2,471

Unobligated balance0000

Uncommitted

a

1 450 272 723

Committed

b 1,748 0 0 1,748

Jamaica

Allocated0 2,500 3,375 5,875

Unobligated balance0000

Uncommitted

a

0 2,500 3,375 5,875

Committed

b

0000

St. Kitts and Nevis

Allocated 1,749 250 283 2,282

Unobligated balance0000

Uncommitted

a

0 250 283 533

Committed

b 1,749

00 1,749

St. Lucia

Allocated 109 250 283 642

Unobligated balance0000

Uncommitted

a

0 250 283 533

Committed

b 109

00 109

St. Vincent and the Grenadines

Allocated 1,670 250 283 2,203

Unobligated balance0000

Uncommitted

a

0 250 283 533

Committed

b 1,670

00 1,670

Suriname

Allocated 351 2,0000 2,351

Unobligated balance0000

Uncommitted

a 351 2,000

0 2,351

Committed

b

0000

Trinidad and Tobago

Allocated 331 500 240 1,071

Unobligated balance0000

Uncommitted

a

0 500 240 740

Committed

b 331

00 331

Regional Security System

Allocated 3,269 2000 3,469

Unobligated balance0000

Uncommitted

a 3,058 200

0 3,258

Committed

b 211

00 211

Regional Domain Awareness –

Cooperative Situational 

Information Integration Initiative

Allocated0 1,7250 1,725

Unobligated balance0000

Uncommitted

a

0 1,7250 1,725

Committed

b

0000

CBSI Technical Assistance Field 

Team

Allocated0 4,792 5,000 9,792

Unobligated balance0000

Uncommitted

a

0 4,792 5,000 9,792

Committed

b

0000

Maritime Strategy

Allocated00 1,000 1,000

Unobligated balance0000

Uncommitted

a

00 1,000 1,000

Committed

b

0000
Page 20 GAO-13-367R CBSI

Source: GAO analysis of State data. 

Notes: 

Data are as of September 30, 2012. 

Amounts have been rounded to the nearest thousand and therefore may not sum to totals. 

a

In this report, “uncommitted” amounts represent FMF obligations not yet committed for expenditure. 

b

In this report, “committed” amounts include FMF funding that has been committed but not yet disbursed and FMF funding that 

has been disbursed to a case.
Page 21 GAO-13-367R CBSI

Enclosure III: Objectives, Scope and Methodology

To describe the status of Caribbean Basin Security Initiative (CBSI) funding as well as the 

activities supported by this funding, we obtained data and program documentation from the 

Department of State (State) and the U.S. Agency for International Development (USAID) 

concerning funds allocated to support programs in Caribbean countries under CBSI through 

five accounts—International Narcotics Control and Law Enforcement (INCLE); Economic 

Support Fund (ESF); Development Assistance (DA); Nonproliferation, Anti-terrorism, 

Demining, and Related Programs (NADR); and Foreign Military Financing (FMF). We 

obtained the data from each State bureau that administers those accounts (Bureau of 

International Narcotics and Law Enforcement, Bureau of Western Hemisphere Affairs, 

Bureau of International Security and Nonproliferation, Bureau of Diplomatic Security, and 

Bureau of Political-Military Affairs). In addition, we obtained data from USAID, which also 

allocates and implements the ESF and DA accounts. In particular, State and USAID 

provided data on the status of allocations, unobligated balances, unliquidated obligations, 

and disbursements in fiscal years 2010 through 2012 for the ESF and DA accounts; State 

also provided such data for the INCLE and NADR accounts. 

State’s bureaus and USAID administer the accounts separately and use separate data 

collection systems and budgeting terms. To address differences between their systems, we 

provided State and USAID with the definitions from GAO’s A Glossary of Terms Used in the 

Federal Budget Process (GAO-05-734SP) and requested that they provide the relevant data 

according to those definitions. To the extent possible, we worked with State and USAID to 

ensure that they provided data that met these definitions. However, FMF funds are 

budgeted and tracked in a different way than the other foreign assistance accounts that 

support CBSI. The Defense Security Cooperation Agency (DSCA) and the Defense 

Financing and Accounting Service (DFAS) are responsible for the financial systems that 

account for FMF funds as well as for tracking the implementation and expenditure of those 

funds. DSCA’s system can track only uncommitted and committed amounts, not 

unliquidated obligations or disbursements, of FMF funds. DFAS tracks obligations and 

disbursements using the Defense Integrated Finance System; however, there is no direct 

link between the DSCA and DFAS systems, and the DFAS system does not track funding 

for specific initiatives, such as CBSI. Therefore, State was not able to provide data on 

unliquidated obligations or disbursements; however, State provided data on CBSI FMF 

allocations and commitments in fiscal years 2010 through 2012. 

We interviewed officials from each of State’s bureaus and USAID regarding their budgeting 

process and terms to determine the best method for collecting comparable data across 

accounts. We then reviewed the data and consulted with State and USAID regarding the 

accuracy and completeness of the information. When we found discrepancies, we contacted 

relevant agency officials and worked with them to resolve the discrepancies. There were 

differences in ways the agencies collected, categorized, or reported their data. To assess 

the reliability of the data provided, we requested and reviewed information from agency 

officials regarding the underlying financial data systems and the checks, controls, and 

reviews used to generate the data and ensure its accuracy and reliability. For the purposes 

of this review, we determined that the data we used were sufficiently reliable.

To identify equipment, training, and other related activities supported by CBSI funding, we 

reviewed program documentation and interviewed relevant officials from State; USAID; and 

the Departments of Defense, Homeland Security, and Justice regarding the status of 

program implementation and the types of equipment, training, and other activities provided 
Page 22 GAO-13-367R CBSI

to CBSI countries to date. To present the most complete possible picture of CBSI program 

implementation, we have described some activities occurring in fiscal year 2013 as well as 

planned future activities.

We conducted our work from November 2012 through March 2013 in accordance with all 

sections of GAO’s Quality Assurance Framework that are relevant to our objective. The 

framework requires that we plan and perform the engagement to obtain sufficient and 

appropriate evidence to meet our stated objective and to discuss any limitations in our work. 

We believe that the information and data obtained, and the analysis conducted, provide a 

reasonable basis for any findings and conclusions in this product.
Page 23 GAO-13-367R CBSI

Enclosure IV: GAO Contact and Staff Acknowledgments 

GAO Contact

Charles Michael Johnson, Jr., (202) 512-7331, or johnsoncm@gao.gov

Staff Acknowledgments

In addition to the contact named above, Valérie Nowak (Assistant Director), Mattias Fenton, 

David Hancock, and Paige Muegenburg made major contributions to this report. Martin de 

Alteriis, Mary E. Moutsos, Reid Lowe, and Grace Lui also provided assistance.

(320953)
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