U.S. Assistance to Mexico: State and USAID Allocated over $700 Million to Support Criminal Justice, Border Security, and Related Efforts from Fiscal Year 2014 through 2018
Released: 2019-09-10T00:00:00

Letter

Background

When Mexico and the United States created the Mérida Initiative in 2007, the Mexican government pledged to tackle crime and corruption and the U.S. government pledged to address domestic drug demand and the illicit trafficking of firearms and bulk currency to Mexico. During the early years of the Mérida Initiative, much of the U.S. funding for the initiative was intended to purchase equipment to support Mexican federal security forces, including about $591 million for aircraft and helicopters from fiscal years 2008 through 2010. In 2011, U.S. and Mexican officials agreed to expand the scope of the initiative to prioritize institution building, and later increased the initiative’s focus on community engagement and human rights efforts. According to State, an Executive Order on TCOs issued in 2017 signaled that the focus of the Mérida Initiative would shift to countering TCOs’ illicit activities, such as drug production and the cross- border movement of drugs, cash, and weapons.

State/INL and USAID are the lead U.S. agencies for developing the Mérida Initiative’s programming. In these roles, State/INL and USAID work with GOM officials to help outline Mérida Initiative projects’ plans, objectives, and intended impact. State/INL and USAID both manage and fund the Mérida Initiative with the support of a wide range of project implementers, including DOJ, DHS, DOD, contractors, nongovernmental organizations, and international organizations.

All Mérida Initiative projects are currently funded through three appropriations accounts: the International Narcotics Control and Law Enforcement (INCLE) account administered by State/INL, the Economic Support Fund (ESF) account, from which the Mérida Initiative project funding is administered by USAID, and the Development Assistance (DA) account, also from which the Mérida Initiative project funding is administered by USAID.

According to State/INL and USAID officials, GOM does not provide direct funding to Mérida Initiative projects. Instead, State/INL considers any GOM funding for justice, national security/defense, and public order and domestic security as indirectly supporting the goals of the Mérida Initiative. In addition, according to USAID data, Mexican nonprofit and private sector entities provided about $23 million in matching funds for USAID-funded Mérida Initiative projects active from fiscal year 2014 through 2018.

State and USAID Allocated Over $700 Million for Mérida Initiative Projects from Fiscal Year 2014 through 2018

From fiscal year 2014 through 2018, State/INL and USAID allocated about $723 million for Mérida Initiative projects under the following five U.S. government–wide foreign assistance funding categories: Civil Society, Counternarcotics, Good Governance, Rule of Law and Human Rights, and Transnational Crime. U.S. agencies use these government- wide categories to broadly define foreign assistance programs for planning, budgeting, and reporting, which provides a common language to describe programs across agencies, countries, and regions. Over 80 percent of the funding, or $589 million, went toward Rule of Law and Human Rights, and Counternarcotics efforts. (See fig. 1.) Funding allocated for the Mérida Initiative has decreased over time from $178 million in fiscal year 2014 to $139 million in fiscal year 2018.

Of the $723 million, State/INL allocated about $542 million and USAID allocated about $182 million. (See fig. 2.)

445 State and USAID Mérida Initiative Projects Were Active from Fiscal Year 2014 through 2018, Supporting a Wide Range of Efforts

Four hundred and forty-five Mérida Initiative projects were active from fiscal year 2014 through 2018, with State/INL funding 388 projects and USAID funding 57 generally larger projects. State/INL and USAID each categorized their projects with greater specificity than the broad categories used for overall allocated funding. Both State/INL and USAID funded projects to assist Mexico’s transition to a newly reformed criminal justice system that includes oral arguments and the presumption of innocence, categorized by State/INL as “criminal justice” and by USAID as “rule of law.” In addition to projects related to criminal justice, most funding for State/INL projects was for those that focused on border and port security, professionalizing the police, and counternarcotics. For example, numerous State/INL projects provided training; technical assistance; and equipment—including for drug detection, border surveillance, and forensic drug laboratories—for Mexican law enforcement, border security, justice sector, and military officials. In addition to rule of law projects, most funding for USAID projects was for those that focused on crime and violence prevention, human rights, and transparency and accountability. Similar to State/INL, numerous USAID projects provided technical assistance to Mexican justice sector officials. Other USAID projects were designed to engage with civil society groups to address crime and violence, and corruption, and to promote trust in government. State/INL and USAID implemented these projects primarily through contracts, grants, cooperative agreements, interagency agreements, and agreements with international organizations.

State/INL Mérida Initiative Projects Focused on Criminal Justice, Border and Port Security, Professionalizing the Police, and Counternarcotics

State/INL-funded Mérida projects focused on criminal justice, border and port security, professionalizing the police, and counternarcotics. State/INL categorizes its Mérida Initiative projects under priority lines of effort developed by State/INL Mexico specifically for the Mérida Initiative. These lines of effort are defined in State/INL’s Mexico Country Plan: Advance Criminal Justice, Counternarcotics, Disrupt Illicit Finance, Professionalize the Police, and Secure Border and Ports. While State/INL uses these lines of effort to categorize State/INL-funded Mérida Initiative projects, these lines of effort also align with the broader U.S. government–wide foreign assistance funding categories outlined in figure 1 above. See table 1 for a description of State/INL’s lines of effort for the Mérida Initiative, and how these lines of effort align with the U.S. government– wide foreign assistance funding categories.

The State/INL projects with the highest percentage of State/INL funding were those focused on Advancing Criminal Justice (28 percent) and Securing Borders and Ports (25 percent). Law enforcement related categories—Counternarcotics and Professionalize the Police—also constituted a substantial proportion (30 percent) of State/INL funding, as shown in figure 3. For a list of State/INL’s highest dollar value projects active from fiscal year 2014 through 2018 by these categories, see appendix I.

Below are some examples of State/INL-funded Mérida Initiative projects supporting the agency’s five lines of effort in Mexico:

Advance Criminal Justice. These 99 projects, with State/INL funding estimated at $241 million, focused on providing training, technical assistance, and equipment to Mexican justice sector and law enforcement officials as they transition to a new judicial system. These projects also provided tools and guidance to civil society to promote the rule of law and trust in government. For example:

One DOJ project supported criminal investigations and prosecutions by providing training to GOM officials to improve their forensic laboratories, and by providing technical assistance to forensic scientists testifying as expert witnesses in criminal cases.

Through another project, DOJ developed training materials and instructors to assist the GOM Attorney General’s office with the mechanics of Mexico’s judicial system reforms and to create a culture of professionalization within the Attorney General’s office.

Some criminal justice projects engaged with civil society, such as a project that worked to promote a culture of lawfulness among Mexican children who attend elementary school in high-crime areas.

Counternarcotics. These 76 projects, with State/INL funding estimated at $115 million, focused on assisting Mexican agencies countering the illicit drug trade in Mexico, primarily through technical assistance and equipment, including for forensic labs, drug detection, and surveillance. For example: Intelligence surveillance and reconnaissance technology has been provided to the Mexican Navy to expand its capacity to conduct counternarcotics operations.

The Organization of American States implemented a project that expanded Mexico’s drug treatment courts, which offer rehabilitation services and other nonpunitive alternatives for drug offenders who would otherwise face time in prison.

Disrupt Illicit Finance. These nine projects, with State/INL funding estimated at $17 million, provided equipment, training, and a public awareness campaign to assist the GOM in its efforts to address TCO’s money-laundering and other illicit financial activities. For example:

One DOJ project provided anti–money laundering training to Mexican prosecutors at the state and federal levels.

Another United Nations Office on Drugs and Crime project aims to combat money laundering through a public awareness campaign and complaint call center in Mexico.

Professionalize the Police. Many of these 97 projects, with State/INL funding estimated at $144 million, provided training and technical assistance to Mexican law enforcement officials at all levels to improve their effectiveness, accountability, and adherence to the rule of law.

An aspect of one project conducted surveys with law enforcement personnel and civil society to better inform effective police practices and to link these practices with levels of citizen trust.

Two other projects supported tours to the United States for Mexican officials to study issues related to gender-based violence and women’s access to justice.

Secure Borders and Ports. These 68 projects, with State/INL funding estimated at $217 million, focused on various efforts and equipment for GOM border and military officials—including equipment for biometrics, surveillance, and telecommunications—to secure Mexico’s air, land, and sea borders and ports. For example, DHS’s Customs and Border Patrol provided mentors and training to GOM border officials to improve their capacity to stem the northward flow of migrants entering Mexico along its southern border.

USAID Mérida Initiative Projects Focused Primarily on Crime and Violence Prevention and Rule of Law

USAID-funded Mérida Initiative projects focused on crime and violence prevention, rule of law, transparency and accountability, and human rights efforts. USAID categorizes its Mérida Initiative projects under the following development objectives developed by USAID Mexico and outlined in USAID’s Mexico Country Development Cooperation Strategy: Crime and Violence Prevention, Human Rights, Rule of Law, and Transparency and Accountability. Similar to State/INL’s Mérida Initiative lines of effort, USAID Mexico uses its development objectives to categorize USAID-funded Mérida Initiative projects. These objectives also align with the broader U.S. government–wide foreign assistance funding categories outlined in figure 1. See table 2 for a description of USAID’s development objectives for the Mérida Initiative, and how these objectives align with the U.S. government–wide foreign assistance funding categories.

The USAID projects with the highest percentage of USAID funding were those focused on Rule of Law (39 percent) or Crime and Violence Prevention (22 percent) with Transparency and Accountability and Human Rights constituting slightly smaller percentages (15 percent and 14 percent, respectively). While funding for USAID projects was concentrated in the Rule of Law category, the number of USAID projects was spread relatively evenly among the categories of Crime and Violence Prevention, Human Rights, and Transparency and Accountability, as shown in figure 4. For a list of USAID’s highest dollar value projects active from fiscal years 2014 through 2018, see appendix II.

Below are some examples of USAID-funded Mérida projects supporting the agency’s four development objectives in Mexico for the Mérida Initiative:

Crime and Violence Prevention. These 20 projects, with USAID funding estimated at $70 million, worked with civil society, nongovernmental organizations, the private sector, and GOM officials to implement various activities, such as training, workshops, and outreach efforts, to mitigate crime and violence. A number of these projects focused on building the skills and knowledge of at-risk youth, such as those in high-crime areas or at risk of dropping out of school. For example, one project aimed to help at-risk youth in communities and detention centers return to school, gain employment, and improve life skills.

Human Rights. These 15 projects, with USAID funding estimated at $46 million, worked to advance human rights through various activities that, for example, focused on protecting journalists and human rights defenders, preventing forced disappearances, and promoting freedom of expression. For example, one project supported the GOM’s efforts to implement its National Human Rights Plan by implementing clear procedures in line with international human rights standards.

Rule of Law. These three projects, with USAID funding estimated at $126 million primarily provided technical assistance and outreach to assist Mexican officials as they transitioned to a new judicial system.

For example, two large projects—one $68 million project and one $56 million project that has since closed—provided a wide range of technical assistance to GOM judges, public defenders, and attorneys general.

Another smaller project worked with law schools to adapt their curricula to the new criminal justice system.

Transparency and Accountability. These 15 projects, with USAID funding estimated at $49 million engaged with Mexican officials and civil society to address corruption and promote ethical behavior. Projects helped Mexican officials develop and implement anticorruption policies, strengthen transparency in their procurement processes, and implement GOM’s National Anti-Corruption System. For example, one project aimed to deter corruption and support transparency by improving the quality of investigative and data journalism in Mexico.

State and USAID Primarily Use Contracts, Grants, and Interagency Agreements to Implement Mérida Initiative Projects

State/INL and USAID implement Mérida Initiative projects primarily through contracts, grants, and agreements with international organizations, but State/INL also employs agreements with U.S. agencies (DOJ, DHS, and DOD). See tables 3 and 4 for the number of and funding for each type of State/INL and USAID funding mechanism, respectively.

Agency Comments

We provided a draft of this report to State and USAID for review and comment. State and USAID both provided technical comments, which we incorporated as appropriate. USAID also provided formal comments, which are reproduced in appendix III. In these comments, USAID noted that, with its support, the Mérida Initiative has been instrumental in advancing reforms to the Mexican criminal justice sector, promoting human rights, building strong and resilient communities, and improving integrity and accountability.

We are sending copies of this report to the appropriate congressional committees, the Secretary of State, and the USAID Administrator. In addition, the report will be available at no charge on the GAO website at http://www.gao.gov.

If you or your staff have any questions about this report, please contact me at (202) 512-7141 or groverj@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 contributions to this report are listed in appendix IV.

Appendix I: Highest Dollar Value State/INL Mérida Initiative Projects, by Category, Active from Fiscal Year 2014 through 2018

This appendix provides a detailed list of the 10 highest dollar value Department of State, Bureau of International Narcotics and Law Enforcement Affairs (State/INL) Mérida Initiative projects active from fiscal year 2014 through 2018 by State/INL’s five lines of effort—Advance Criminal Justice, Counternarcotics, Disrupt Illicit Finance, Professionalize the Police, and Secure Border and Ports. State/INL provided the details in tables 5 to 9 below.

Appendix II: Highest Dollar Value USAID Mérida Initiative Projects Active from Fiscal Year 2014 through 2018

This appendix provides a detailed list of the 10 highest dollar value United States Agency for International Development (USAID) Mérida Initiative projects active from fiscal year 2014 through 2018. USAID provided the details in table 10 below.

Appendix III: Comments from the United States Agency for International Development

Appendix IV: GAO Staff Acknowledgments

GAO Contact

Staff Acknowledgments

In addition to the contact named above, James Michels (Assistant Director), Teresa Heger (Analyst-in-Charge), Terry Allen, Ashley Alley, Lilia Chaidez, Martin DeAlteriis, Neil Doherty, Francisco Enriquez, John Hussey, and Andrew Kincare made key contributions to this report.