U.S. Security Assistance Policy

Presidential Policy Directive 23, published in April 2013, was aimed at  strengthening the ability of the United States to help allied and partner  nations build their own security capacity. The directive states that U.S.  agencies should target security sector assistance where it can be  effective. DOD 2016 and 2017  guidance implements Presidential Policy Directive 23, requiring that  project proposals for the Global Train and Equip program address the  four planning elements highlighted in the directive. DOD Has Obligated the Majority of Over $4 Billion Allocated for Global Train and Equip Projects since 2009 and Disbursed About Two-Thirds of Obligated Funds

Of the $4.1 billion allocated for Global Train and Equip projects in 2009  through 2017, DOD has obligated approximately $3.7 billion and  disbursed $2.5 billion. DOD Consistently Addressed Only One of Four Planning Elements in 2016 and 2017 Proposals but Reported Efforts to Ensure Inclusion of All Elements in 2018

DOD’s 2016 and 2017 proposals for Global Train and Equip projects  consistently addressed only one of the four security assistance planning  elements called for by DOD guidance, but agency officials reported  implementing an informal process to improve coverage of these planning  elements in 2018 proposals. According to DOD officials, the  department has hired additional staff and developed an informal quality  review process to better ensure that proposal packages include all key  elements but, as of February 2018, had not documented this process as  written policy. Standards for Internal Control in the Federal Government  calls for documenting internal control activities aimed at ensuring effective  use of resources and documenting in policies an organization’s internal  control responsibilities. Less Than Three-Quarters of Proposals Included Complete Sustainment Plans in 2016 and 2017

Less than three-quarters of Global Train and Equip proposals included  complete sustainment plans in 2016 and 2017, and the percentage of  proposals with complete plans declined from 2016 to 2017. DOD’s 2015 guidance for Global Train and Equip proposals included  instructions for addressing sustainment planning when sustainment is not  anticipated; however, the guidance for 2016 and 2017 did not include  these instructions. However, according to the officials, DOD had  not yet determined whether to formalize the proposal review process as  written policy. Formalizing as written policy  its informal process to ensure that proposals address all four required  planning elements would enable DOD to provide consistent oversight of  Global Train and Equip project development and ensure decision makers  have access to complete information about each element. DOD Reported Progress in Achieving Project Objectives, Factors Limiting Progress, and Efforts to Improve Assessments

DOD reporting on the achievement of Global Train and Equip project  objectives in 2016 and 2017 indicated progress in building partner  capacity to combat terrorism and conduct stability operations as well as  factors that affected the progress achieved. According to DOD  assessment reports and supporting documents, partner nation recipient  units’ overall capabilities were greater after implementation of 8 of 21  Global Train and Equip projects, and some of the remaining 13 projects  produced some positive results. Equipment suitability and procurement issues. This information would, in turn, help DOD and State decision makers  ensure the efficient use of funding under the new Section 333 authority to  build partner capacity. This report examines (1) the status of funding that the Department  of Defense (DOD) allocated for Global Train and Equip projects in 2009  through 2017; (2) the extent to which DOD addressed security assistance  planning elements in project proposals in 2016 and 2017; and, (3) DOD’s  reporting on the achievement of Global Train and Equip project objectives  and any factors affecting its ability to achieve those objectives. These 82  projects account for 28 percent of the nearly $3 billion DOD allocated for  the program in those fiscal years.
Why GAO Did This Study

The United States has undertaken several efforts, including DOD's Global Train and Equip program, to help foreign partners strengthen their security capacity. Presidential Policy Directive 23 states that agencies should target security assistance where it can be effective and highlights the importance of addressing several planning elements in project proposals. DOD develops proposals, using guidance implementing the directive, and selects projects with the Department of State.
The fiscal year 2015 National Defense Authorization Act included a provision for GAO to review the Global Train and Equip program. In this report, GAO examines (1) the status of funding DOD allocated for Global Train and Equip projects in fiscal years 2009 through 2017, (2) the extent to which DOD addressed key security assistance planning elements in project proposals in fiscal years 2016 and 2017, and (3) DOD's reporting on the achievement of Global Train and Equip project objectives and any factors affecting its ability to achieve those objectives. GAO analyzed agency data and program documents and interviewed DOD and State Department officials in Washington, D.C., and at selected combatant commands and embassies.

What GAO Found

The Department of Defense (DOD) obligated $3.7 billion of $4.1 billion allocated for the Global Train and Equip program in fiscal years 2009 through 2017 to build partner nations' capacity to counter terrorism. DOD increased allocations for the program in 2016, responding to an influx of funding from appropriations to the Counterterrorism Partnerships Fund. As of December 2017, DOD had disbursed about $2.5 billion of the obligated funds.
Global Train and Equip project proposals for fiscal years 2016 and 2017 consistently addressed only one of four elements of security assistance planning outlined in Presidential Policy Directive 23 . GAO found all 72 proposals in those years included the first element, project objectives. From 2016 to 2017, the percentage of proposals addressing the second element—absorptive capacity—rose from 32 percent to 84 percent. Most 2016 and 2017 proposals included the third element, baseline assessments, but less than three-quarters included complete sustainment plans, the fourth element. DOD guidance for 2016 and 2017 did not include instructions for addressing project sustainment when sustainment was not anticipated, though the 2017 guidance included instructions for addressing the other three planning elements. According to DOD officials, they have developed an informal quality review process to better ensure that 2018 project proposals address all four planning elements. However, DOD has not formalized this informal process as written policy. Standards for Internal Control in the Federal Government calls for documenting internal control activities and policies. Formalizing the proposal review process would help DOD provide consistent oversight of project development and ensure access to complete information about each planning element, including sustainment needs. Such information is critical in helping decision makers ensure efficient use of funding to build partners' capacity.
DOD reporting for 2016 and 2017 indicates progress in building partner capacity to combat terrorism and conduct stability operations as well as factors affecting the progress achieved. According to DOD documents, partner nation recipient units' overall capabilities were greater after implementation of 8 of 21 Global Train and Equip projects, and some of the remaining 13 projects produced some positive results. DOD documents and officials also identified factors—such as equipment suitability and procurement issues—that may have limited the achievement of project objectives.

What GAO Recommends

GAO recommends DOD (1) update project proposal guidance to include instructions for documenting sustainment planning and (2) formalize as written policy its informal process for ensuring Global Train and Equip project proposals fully document the four required planning elements. DOD agreed with the recommendations.