Background When DOT issued regulations requiring accessible lavatories on twin- aisle aircraft in 1990, single-aisle aircraft were used primarily for shorter distances. However, technological advancements—such as the use of lighter, stronger composite materials—have enabled aircraft to fly longer distances with greater fuel efficiency. As a result, both Airbus and Boeing now offer single-aisle aircraft designs that can routinely fly 3,000 to almost 4,000 nautical miles—or easily from coast to coast in the continental U.S. as well as some overseas routes to and from the U.S. Of the eight U.S. carriers we interviewed for this review, five of them operate only single-aisle aircraft and the remaining three fly a mixture of single- and twin-aisle aircraft. As shown in figure 1, twin-aisle aircraft are rarely used for domestic flights by U.S. carriers. In 2018, 99 percent of U.S. aircraft departures for domestic flights occurred on single-aisle aircraft: 71.7 percent on the larger single-aisle aircraft; 26.61 percent on smaller, regional aircraft; and 0.68 percent on turbo jets. According to the 2010 U.S. Census, 57 million Americans (roughly 1 in 5) have a disability, of whom half have mobility issues that may require accommodations when flying. Furthermore, older Americans are representing a greater share of the U.S. population. By 2020, 16.5 percent of the nation’s population will be over age 65, and by 2030, 20 percent of the population will be over age 65, and the likelihood of this group’ needing assistance to access lavatories may increase as they age. As an indication of the number of people with reduced mobility flying, DOT’s monthly aviation travel data indicate that for the first 6 months of 2019, aviation passengers checked a total of 294,216 wheelchairs and scooters. Over the past 30 years, some efforts have been made to address the issue of ensuring non-discriminatory treatment of aircraft passengers, including access to aircraft lavatories. The enactment of the ACAA, which prohibits discrimination by airlines on the basis of disability, charged DOT with promulgating implementing regulations. DOT promulgated a final rule in 1990, in which it required aircraft with more than one aisle (twin-aisle aircraft) in which lavatories are provided to have at least one wheelchair accessible lavatory. DOT, however, deferred setting regulations for single-aisle aircraft, noting cost and feasibility concerns for carriers. Since that initial regulation, DOT has taken several steps to study the issue of accessible lavatories for single-aisle aircraft, but as of December 2019, none of these actions has resulted in a regulation for accessible lavatories in single-aisle aircraft. These steps include: DOT issued an advance notice of proposed rulemaking (ANPRM) to study, among other things, the issue of accessible lavatories on single-aisle aircraft that was issued in conjunction with its final rule mandating that twin-aisle aircraft must have a lavatory that is accessible to passengers who use wheelchairs. DOT created an advisory committee in 1992 to provide guidance to DOT concerning access to lavatories on single-aisle aircraft for persons with disabilities, including persons who rely on the aircraft’s onboard wheelchairs. In 1996, the committee reported to DOT that it would be feasible to provide accessible lavatories on single-aisle aircraft but acknowledged that there could be a cost to doing so. As part of a final rule that DOT issued in 2008 to amend the ACAA regulations to include foreign carriers that fly to the U.S., DOT acknowledged that requiring accessible lavatories on single-aisle aircraft was an ongoing issue. While the department noted that accessible lavatories on single-aisle aircraft would benefit passengers with disabilities, it also expressed concerns that revenue loss and other cost impacts could be too great for the carriers. The department said that it would continue to study the issue and review ongoing developments. DOT published a notice of intent in December 2015 to explore the feasibility of conducting a negotiated rulemaking concerning, among other things, accessible lavatories on single-aisle aircraft for travelers with disabilities. As a result of the 2015 notice of intent, DOT established the ACCESS Advisory Committee in 2016—composed of representatives from air carriers, aircraft manufacturers, disability groups, and other aviation stakeholders. Its charge was to negotiate and develop a proposed amendment to DOT regulations for DOT’s consideration concerning accommodations for air travelers with disabilities that would address whether to require accessible lavatories on new single-aisle aircraft, among other issues. The committee noted that the issue of requiring accessible lavatories on single-aisle aircraft merited exploration because of two developments: (1) the increased use of single-aisle aircraft on long flights, and (2) the availability of new accessible- lavatory designs for single-aisle aircraft. In late 2016, the ACCESS Advisory Committee agreed on proposed amendments that included short-term and long-term solutions to address the challenges persons with mobility impairments face when traveling on single-aisle aircraft. The committee, taking into account costs to industry, recommended accessible lavatories on new aircraft, did not recommend requiring the retrofit of existing aircraft, and proposed a multi-tiered approach to meet this goal. In 2019, DOT publicized its intent to issue notices of proposed rulemaking regarding accessible lavatories to address the ACCESS Advisory Committee’s final resolution, which we discuss in more detail below. Manufacturers of Single-Aisle Aircraft Offer Lavatories Designed to Better Accommodate Persons with Reduced Mobility, but Selected Carriers Rarely Choose to Acquire Them Aircraft Manufacturers Offer a Range of Lavatory Designs for Single-Aisle Aircraft, Including Designs to Accommodate Onboard Wheelchairs Both Airbus and Boeing offer their customers a range of standard lavatory designs. For example, both Airbus and Boeing offer a lavatory with a contoured design (see fig. 2). This design offers a smaller sink and different dimensions than previous lavatories and has a contoured or angled wall on the exterior allowing seats in the last row to recline into the bottom portion of the contour. Air carriers can also choose to move the last row of seats back into the contour and then add an extra row of seats after making other changes to the configuration of seating rows. Airbus and Boeing also offer flat-wall lavatory designs that are similar to the standard flat-wall lavatories that had previously been available on single- aisle aircraft for years but have slightly different interior dimensions. Compared to the contoured lavatory design, this current flat-wall lavatory design could offer a larger sink or more countertop space. According to measurements and diagrams the aircraft and lavatory manufacturers provided for these lavatory styles, some interior lavatory dimensions have decreased while other dimensions have increased. For example, changes in these two lavatory styles have resulted in increased interior space in some areas, such as the sitting knee space and diagonal shoulder width, and decreased space in other areas, such as the entry width and door height. These changes were to provide carriers options to help them meet their business strategies. In addition to making changes to the standard lavatories, since 2015, both Airbus and Boeing offered lavatory configurations for their single-aisle aircraft designed to provide greater access for passengers who rely on the use of onboard wheelchairs. According to officials for Airbus and Boeing, both manufacturers use a design that connects two adjacent lavatories with a retractable wall or partition. As shown in figure 3, when the folding partition is open, this configuration is designed to enable the person who relies on the aircraft-onboard-wheelchair to enter in one of the lavatories and then transfer or be transferred to the toilet in the other lavatory. While there are differences between the Boeing and Airbus models, they operate similarly. Both the Airbus and Boeing designs are for the rear of the aircraft and take up space in the area normally used for the galley where food and drink carts are located for flight attendants’ access. According to officials we interviewed from two carriers that have purchased aircraft with this design, a reduced galley area is less of a concern because their flights provide limited food and beverage service and do not need a full galley. They said that the space where the traditional lavatories were located could be used for other purposes, such as more seats. According to the manufacturers, the lavatory models that are designed for greater accessibility accommodate the onboard wheelchair to varying degrees. Airbus offers two designs to accommodate a passenger with an onboard wheelchair. The Space Flex version 1 design consists of two adjacent lavatories with a connecting retractable partition. This retractable partition can open to allow for a passenger who relies on the aircraft onboard-wheelchair to enter the lavatory with or without the help of an assistant. A representative from a disability organization was generally positive about the Space Flex version 1 and said it was a good design for both carriers and travelers with disabilities. Airbus also offers another lavatory design specifically for its A220 single-aisle aircraft model. Airbus officials told us that it is a single lavatory that is designed to accommodate a wheelchair but cannot accommodate both a passenger in an onboard wheelchair and an assistant. Boeing offers one lavatory designed to accommodate a passenger using an onboard wheelchair for single-aisle aircraft for its 737 aircraft family. This design, known as the Pax Plus, consists of two adjacent lavatories with a removable partition designed to enable a wheelchair and assistant to enter. In addition, officials from the eight selected air carriers told us that their crews are trained to assist passengers with reduced mobility to use lavatories. These officials from the eight air carriers stated that they provide their cabin crew with initial and, in some cases, recurrent training about how to assist passengers with reduced mobility, pursuant to DOT regulations. DOT regulations further stipulate that if there is an on-board wheelchair, the carrier must provide assistance to enable the passenger to move to and from the lavatory if, in general, such assistance is requested by or on behalf of a passenger with a disability. Onboard Wheelchair- Accommodating Lavatories Are Not a Common Feature on Selected U.S. Carriers’ Aircraft While aircraft manufacturers offer lavatories designed to accommodate passengers with mobility impairments, carriers do not often choose to acquire them. Of the eight U.S. carriers we interviewed, we found that four have some aircraft—all of which are Airbus aircraft—with lavatories that are designed to accommodate passengers with mobility impairments to some extent. Only one of these carriers is among the four with the largest number of aircraft in their fleet. Specifically, these four carriers have either the Space Flex version 1 or the Airbus A220 lavatory. Despite Boeing’s offering of the Pax Plus lavatories since 2017, Boeing officials told us that as of November 2019 no U.S. carriers have ordered these lavatories for their current or future single-aisle Boeing aircraft. Overall, about 4.5 percent of the combined single-aisle fleet of the eight selected carriers have lavatories designed to provide some measure of greater access to passengers with reduced mobility, including those who require the use of the onboard wheelchair (see fig.4). According to the carriers we interviewed, they consider the configuration of the aircraft among other factors, including their business strategy, when ordering lavatories for new aircraft. Providing a lavatory designed to accommodate onboard wheelchairs on single aisle aircraft may require financial tradeoffs for carriers, such as reducing the number of revenue generating seats in the aircraft cabin. According to airline officials, this reduction can result in higher costs for carriers that subsequently might be passed onto consumers through higher fares. Officials from all eight selected carriers, however, stated that all of their aircraft lavatories have features designed to increase access to certain lavatory functions, such as assist handles or grab bars, accessible call buttons, door locks, and faucets that passengers with disabilities can use. Carrier officials also stated that they need to make trade-offs between competing priorities; for example, taking into account how onboard wheelchair-accommodating lavatory designs may affect food service. According to officials from two carriers, an onboard wheelchair- accommodating lavatory can result in less galley space, and a full galley at the back of the aircraft is needed for the type of services they wish to provide to their customers without compromising customer seating capacity. Conversely, officials from two other carriers told us that trading galley space for onboard wheelchair-accommodating lavatories did not affect their food service, as they do not provide full meal service. For example, they said that because they did not need the full galley space, the Space Flex lavatory enabled them to add not only a lavatory that accommodates onboard wheelchairs but also an additional row of passenger seats. Lack of Onboard Wheelchair- Accommodating Lavatories Can Make Flying Difficult for Persons with Reduced Mobility, and DOT Is Considering Rulemaking for Accessible Lavatories on Single-Aisle Aircraft While Complaint Data Are Limited, Groups Advocating for Persons with Reduced Mobility Stated That the Lack of Accessible Lavatories Makes Flying Difficult Representatives from stakeholder groups we interviewed told us that the lack of accessible lavatories makes flying challenging for persons with reduced mobility. They described how some passengers with reduced mobility take precautionary measures to avoid the need to use an aircraft lavatory, such as severely limiting food and fluid intake in advance of the flight, risking dehydration; using a catheter; or wearing a protective undergarment. Some passengers with reduced mobility reportedly may avoid long flights altogether by purchasing flights with connections or layovers. However, according to one stakeholder group, these precautionary measures may not alleviate the fear and anxiety that passengers who rely on the onboard wheelchair to get to the lavatory may face during air travel as there is always the possibility of having to deal with circumstances beyond their control. For example, unforeseen events such as increased flight time or delays in getting to the gate can increase the time a passenger has to postpone attending to normal bodily functions. Finally, stakeholder groups report that passengers may choose not to travel at all, or to drive rather than fly, choices that may increase the cost and time of travel, particularly if it involves an overnight stay. Even when an aircraft has a lavatory that can accommodate an onboard wheelchair, which exists on about 4.5 percent of the combined fleet of single-aisle aircraft for the 8 airlines included in our review, passengers may have difficulty determining whether or not their flight has such a lavatory. According to officials of air carriers, passengers may call the carriers’ customer service department for this information, although not all phone representatives may have this information readily available. In addition, our review of selected carriers’ websites revealed that most do not have information about which flights or aircraft may have such a lavatory, although we found that two carriers include descriptions of aircraft amenities or diagrams denoting onboard wheelchair- accommodating lavatories. However, even if this information were made available, it may not guarantee that a passenger with a mobility impairment will be able to fly on an aircraft with this type of lavatory because air carriers sometimes switch aircraft at the last minute without notice, such as when, for example, an aircraft has a mechanical problem. While stakeholders described challenges, neither air carriers nor DOT receive a large number of complaints regarding the lack of lavatories designed to accommodate passengers who use onboard wheelchairs or lavatories in general. As we have previously reported, DOT receives and processes complaints from passengers and uses complaint data to help identify which carriers to inspect for consumer protection violations. From 2014 through 2018, DOT received 59,846 complaints about U.S. carriers. Of these, we reviewed 1,263 complaints related to accessibility, inadequate facilities, and flight delays and identified 69 complaints about lavatories in general and 5 about the accessibility of lavatories. Of the 69 lavatory complaints identified: 64 related to non-functioning lavatories (e.g., non-operational or unclean lavatories, sinks lacking running water, etc.); 5 related to lavatories being inaccessible by persons with disabilities (e.g., lavatory grab bars at an improper height, passenger using onboard wheelchair unable to enter lavatory); and 2 related to lavatory size (e.g., lavatory size has been reduced). We also discussed lavatory-related complaints with the eight selected air carriers, three of which reported that these complaints made up about 1 percent or less of the total passenger complaints they received in 2018. Four air carriers reported that lavatory complaints related to accessibility made up an even smaller portion—around 0.05 percent or less of their total passenger complaints in 2018. However, the small number of complaints related to lavatory accessibility does not necessarily indicate that individuals who use onboard wheelchairs are not affected by inaccessible aircraft lavatories, as some may choose not to fly, and others may take precautionary measures as described above to avoid having to use the aircraft lavatory. Furthermore, because accessible lavatories are not required on single-aisle aircraft and there is no expectation that the lavatory would be accessible, passengers may not see grounds to complain or may not take the time to submit a complaint. As we have previously reported, complaint data are inherently limited because, according to academic literature, a substantial portion of dissatisfied individuals never complain and are therefore not represented in the complaint data. Finally, when they do complain, their complaints may not be representative of other individuals. We also found that there were very few complaints about non-functioning lavatories. As noted above, DOT received 64 passenger complaints on non-functioning lavatories. Carrier officials also told us that they have received few complaints about non-functioning lavatories. According to the air carrier officials we interviewed, depending on the flight, some flights may operate with one or more lavatories not functioning. However, most carrier officials reported that according to data they collect, this occurred on less than 2 percent of flights. In such instances, some carrier officials stated they would notify passengers of nonoperational lavatories to give them the opportunity to use the airport lavatories prior to boarding. These officials also stated that if all lavatories are inoperable it is the responsibility of the pilot—in consultation with flight dispatchers—to decide if the aircraft will take off or, if lavatories become inoperable during a flight, to divert to an airport other than the destination. Carriers further noted that flights with no operational lavatories are extremely rare. DOT Has Introduced Rulemaking and Has Other Efforts Under Way to Help Address Difficulties Faced by Air Travelers with Disabilities As previously noted, in late 2016, the ACCESS Advisory Committee reached a consensus on proposed amendments that would require accessible lavatories on single-aisle aircraft. DOT announced in 2019 that it would address the issue in rulemaking. On December 16, 2019, DOT issued a notice of proposed rulemaking to solicit comments on short-term accessibility improvements on single-aisle aircraft through the installation of accessibility features within the lavatory, such as assist handles, call buttons, and lavatory controls, without changing the size of lavatories. In addition, DOT has announced its intention to issue an advanced notice of proposed rulemaking to address long-term accessibility improvements, also addressed by the Advisory Committee, and to solicit comments and gather information on the costs and benefits of requiring carriers to increase the size of the single-aisle lavatory on new aircraft models to enable passengers using an onboard wheelchair to enter and use the lavatory with an assistant, if necessary. In addition to the two rulemakings, DOT has recently established another advisory committee. The ACAA Advisory Committee was created in response to a requirement in the FAA Reauthorization Act of 2018, has a 2-year charter, and is required to report its findings to both DOT and Congress on current DOT regulations on barriers to persons with disabilities who want to travel by air. The ACAA Advisory Committee is also required to determine the extent to which DOT is addressing those barriers, recommend improvements to implement the ACAA, and improve the flying experience for travelers with disabilities. The committee— comprised of members representing aircraft manufacturers, national disability organizations, air carriers, and airports—plans to hold its first meeting in early 2020. According to DOT officials, although it is within the purview of this committee to consider issues regarding accessible lavatories, it does not plan to do so at the present time given that the two proposed rulemakings are proceeding and that there is a Congressional mandate for the committee to report on other issues within 6 months of the first meeting. Agency Comments We provided a draft of this report to DOT for review and comment. DOT provided technical comments, which we incorporated as appropriate. We are sending copies of this report to the appropriate congressional committees, DOT, and other interested parties. In addition, the report is available at no charge on the GAO website at http://www.gao.gov. If you or your staff have questions concerning this report, please contact me at (202) 512-2834, or vonaha@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 key contributions to this report are listed in appendix I. Appendix I: GAO Contact & Acknowledgements GAO Contact Staff Acknowledgments In addition to the individual named above, other key contributors to this report were Ed Laughlin, Assistant Director; Martha Chow, Analyst-in- Charge; James Geibel; Geoffrey Hamilton; Elke Kolodinski; Gail Marnik; Malika Rice; Amy Rosewarne; Travis Schwartz; Pamela Snedden; and Elizabeth Wood.


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.


Background When a disaster overwhelms the ability of state, local, or voluntary agencies to adequately provide essential services on their own, the federal government, when requested, supports disaster response and recovery, providing selected resources where they are needed. The federal government has provided significant funds for transit services following past catastrophic disasters. For example, Congress provided roughly $232 million in response to the 2005 Gulf Coast hurricanes and over $10 billion in response to Hurricane Sandy. FEMA is the federal government’s primary agency for disaster response. In addition to coordinating disaster response and recovery operations, FEMA’s Public Assistance Program provides funding to state and local governments and some nonprofit organizations for recovery efforts after a disaster, including removing debris, implementing emergency protective measures, and repairing or replacing damaged public equipment or facilities. Once the President has declared a disaster, FEMA; the state or territorial government (the recipient); and the local or territorial entities (the subrecipient) work together to develop damage assessments and formulate project worksheets for eligible projects. Project worksheets detail the scope of work and estimated cost for repairing or replacing disaster-damaged infrastructure. After a project has completed FEMA’s review process and is approved, funding is available to FEMA for obligation from the Disaster Relief Fund. The recipient draws down—or withdraws—funding to pay the subrecipient for eligible work upon completion. Because FTA’s Public Transportation Emergency Relief Program is focused on public transportation specifically—unlike FEMA’s more general program—FTA has primary responsibility for reimbursing emergency response and recovery costs after an emergency or major disaster affects a public transportation system if FTA receives funds for the program in an annual or supplemental appropriation or continuing resolution. The Public Transportation Emergency Relief program is a reimbursable grant program and allows FTA to make grants for capital projects to protect, repair, reconstruct, or replace equipment and facilities of a public transportation system as well as for eligible operating costs. Such costs include reestablishing, expanding, or relocating public- transportation route service in the event of a natural disaster that affects a wide area or a catastrophic failure from any external cause. Congress has not provided an annual appropriation for FTA’s Public Transportation Emergency Relief Program but has provided supplemental appropriations following a specific event. Eligible recipients (referred to in this report as “FTA grantees”) of FTA’s Public Transportation Emergency Relief funding are entities that receive funds directly from FTA. Following the appropriation for the 2017 hurricanes, FTA staff and contractors visited sites to develop damage assessments—these assessments provide information on, among other things, the specific location, type of facility or equipment, nature and extent of damage, and a preliminary cost estimate to restore, replace, or reconstruct the damaged system. FTA then uses the information in these damage assessments to determine how to allocate funding among the affected FTA grantees. After FTA announces the allocations, FTA grantees can submit an application for funding to FTA. After FTA has approved the application and obligated funds, recipients must execute the grant agreement to draw down funding for reimbursement of eligible expenses. As required by MAP-21, FTA and FEMA have entered into a memorandum of agreement (MOA) to delineate the roles and responsibilities of the two agencies and establish procedures to coordinate assistance for public transportation following a disaster. We reported in 2014 that because FTA’s Public Transportation Emergency Relief Program is inherently limited by its inability to fund any activities without specific congressional action (in contrast to the other emergency program we examined), FTA and FEMA face challenges clearly delineating the responsibilities and costs each agency will assume during future disasters. We recommended that FTA and FEMA establish specific guidelines to monitor, evaluate, and report the results of collaborative efforts for future disasters. FEMA concurred with this recommendation and FTA took no position. The agencies addressed the recommendation by: (1) implementing a communications protocol to coordinate the two agencies in providing funding to transit agencies and (2) committing to jointly monitoring, evaluating, and reporting on the effectiveness of agency collaboration following events in which both agencies provided funding. In August and September 2017, Hurricanes Harvey, Irma, and Maria made landfall in Texas, Florida, the U.S. Virgin Islands, and Puerto Rico, affecting over 28 million people and causing significant damage to public transit infrastructure (see fig. 1). FEMA funding was made available through presidential disaster declarations. In February 2018, 6 months after the first hurricane made landfall, Congress appropriated funds to FTA’s Public Transportation Emergency Relief Program for the 2017 hurricanes. FTA Allocated Over $230 Million to Repair and Replace Transit Infrastructure, with Most of the Funds Allocated to Puerto Rico FTA announced on May 31, 2018, that it would allocate about $233 million of appropriated emergency relief funds to 52 transit agencies for response, recovery, and rebuilding projects, with approximately 85 percent of the funds ($198 million) going to Puerto Rico. Most of Puerto Rico’s funds, and around half the funds FTA allocated for response, recovery, and rebuilding ($116 million), will be distributed to San Juan’s rail transit service provider, Tren Urbano (see fig. 2). FTA allocated emergency relief funding to transit agencies based on preliminary cost estimates that the agencies submitted to FTA in damage assessment reports. Transit agencies developed these preliminary cost estimates through field surveys, which are meant to determine the general type and extent of damages. As shown in table 1, FTA allocated funds for various purposes including repairs to rail stations and bus terminals, repair and replacement of vehicles, and repairs to transit buildings and facilities. As previously noted, after FTA allocates funds, transit agencies must submit grant applications with detailed information about each eligible project activity and expense. As of October 2019, 19 transit agencies had submitted grant applications to FTA, and FTA approved and obligated funding for each of the 19 applicants. FTA officials told us they are working with the remaining transit agencies on submitting and finalizing their grant applications. Many FTA Grantees Applied to FEMA for Funding, and FEMA and FTA Faced Challenges in Coordinating to Avoid Duplicate Funding More Than Half of the FTA’s Grantees Responding to Our Survey Reported Some Interaction with FEMA Uncertainty regarding whether FTA will receive an appropriation can lead to FTA grantees’ applying to FEMA for funding since FEMA is the federal government’s primary agency for disaster response and recovery and can fund transit. This situation increases the importance of FEMA and FTA coordination. FTA did not receive an appropriation until roughly 6 months after the first hurricane’s landfall. FTA grantees, unaware of when or whether FTA would receive an appropriation, could apply during this period to FEMA’s Public Assistance Program for funding. Indeed, more than half of FTA grantees that responded to our survey (25 of 44) reported some interaction with FEMA’s Public Assistance Program by the time of our survey (see fig. 3). Fourteen reported reaching the quality assurance step on a grant application—the final step before receiving funds from FEMA. Six transit agencies received FEMA funds. Once FTA received an appropriation, FTA and FEMA instructed transit agencies to work with FTA, rather than FEMA, on funding requests. As a result, some transit agencies that initially worked with FEMA had to begin a new application with FTA. Fourteen FTA grantees in our survey reported spending more than 3 months working on their FEMA application; however, 10 stated that they could use the work from the FEMA application toward their FTA emergency relief application. In addition, most of the transit agencies we interviewed anticipated this issue, noting that FTA or FEMA officials explained the situation to them before FTA received an allocation. FTA and FEMA Shared Information with One Another but Faced Challenges Coordinating on Screening Applications to Avoid Duplicate Funding FTA and FEMA Took Steps to Coordinate and Share Information After Congress appropriated funds to FTA for the 2017 hurricanes, FTA and FEMA initiated their communication and coordination agreements, including the MOA and the communications protocol, which define coordination activities between the two agencies. Federal agencies, such as FTA and FEMA, that administer programs as a result of a major disaster or emergency, cannot provide funding for losses that have been covered by insurance or other programs, but are not prohibited from awarding funds to any entity that could receive funding from another agency so long as that entity has not yet received these funds and promises to repay any duplicate assistance. FTA’s and FEMA’s communications protocol also states that it may be appropriate for an agency to receive funding from both FTA and FEMA in a situation where the grantee provides both public transportation services and services other than public transportation. Thus, FTA’s and FEMA’s MOA states that the agencies will coordinate to avoid duplicate funding and to ensure a streamlined reimbursement process. When implementing coordination activities such as FTA’s and FEMA’s MOA and communications protocol, federal internal control standards state that management should design control activities to achieve objectives and respond to risks, such as the risk of providing duplicate funding. FTA and FEMA officials informed us of, and provided documentation of, their coordination efforts, such as biweekly conference calls, and email correspondence among staff. For example, when Congress appropriated funds to FTA, FEMA provided FTA a list of agencies that had applied to FEMA for funding. In addition, when FTA reviewed grant applications, FTA staff emailed FEMA staff to inquire whether applicants had already requested funding from FEMA. To avoid delays in processing applications, FEMA and FTA established an agreement that if FEMA did not respond to such requests in 5 days, then FTA could proceed with processing the application. Based on our document reviews, we found that FTA staff also emailed FEMA staff a copy of the final award. Finally, transit agencies applying to FTA for funding were required to certify whether they had received any transit funding from FEMA and that they would reimburse FTA for any federal funds that duplicated funding provided by FEMA. FTA and FEMA Faced Challenges Coordinating on Screening Applications to Avoid Duplicate Funding While FTA and FEMA took steps to coordinate, both agencies approved about $35,000 in funding to one applicant for the same expenses. In June 2019, we found a case in which FEMA and FTA both approved roughly $6,000 to repair a light pole at a bus stop in Collier County, Florida. Specifically, although FEMA had obligated funds to Collier County for the light pole in January 2019, FTA awarded funds for the same light pole in April 2019. One month prior to FTA’s award to Collier County, we notified FTA that Collier County had indicated in our survey that it had been in contact with FEMA. Subsequently, FTA staff twice emailed FEMA staff to inquire as to whether Collier had requested funds from FEMA, but FEMA staff did not respond. Per their agreement, FTA moved the application forward after receiving no response from FEMA within the 5-day timeframe. FTA awarded the funding to Collier County in April 2019. After we notified FTA and FEMA that they both appeared to have awarded funds for the same expense, FEMA de-obligated the funds for Collier County. In addition, FEMA conducted an additional review and found that both agencies had also approved $29,000 in funding for repairs to a transit facility in Collier County. FEMA officials stated they were in the process of de-obligating those funds as well. Although both agencies awarded funds to Collier County, the County had not yet executed the FTA grant or drawn down any of the funds. FTA and FEMA officials noted that both agencies can face challenges in identifying transit expenses submitted to both agencies. For example, FTA may be unaware of transit agencies receiving FEMA funds if these agencies are not direct recipients of such funds, but rather receive funds through a larger entity such as a city, county, or state government. Thus, although FEMA provides FTA with a list of entities that applied for FEMA funds, the list may only show a county’s name, rather than the name of a transit agency. In addition, while FTA also asks applicants whether they have received FEMA funds, applicants may be unaware of the status of their FEMA reimbursement. For example, officials from Collier County’s public transit department told us they were unaware that FEMA had obligated funding for their transit expenses until May 2019 (one month after the FTA award), because it took several months for the funding from FEMA to be processed at the state and county level. While FTA officials shared proposed and final awards with FEMA, we identified 10 cases, including Collier County, in which FEMA officials did not respond within the established 5-day time frame. When we asked why FEMA did not respond within the 5-day time frame, FEMA regional staff stated that the responsible person had since left that office. However, officials noted challenges they face identifying transit expenses contained within applications sent to FEMA by larger entities that may contain hundreds of pages, while at the same time processing a large number of applications related to the hurricanes. Specifically, in order to identify transit expenses within an application, FEMA staff may need to search these hundreds of pages using various transit-related word searches. For example, according to FEMA officials, Collier County currently has a total of 126 active ongoing and obligated projects and 86 inactive projects that were either withdrawn or determined ineligible. After we notified FTA and FEMA that they had approved funding to Collier County for the same expense, both agencies took steps to limit the potential for duplicate funding in future awards. As noted above, FEMA conducted an additional review of applications for which FEMA had not responded to FTA’s inquiries within the 5-day time frame and identified the $29,000 for transit facility repairs that FTA and FEMA both approved for Collier County. In addition, FTA officials updated their internal grants guidance to indicate that FTA staff should not process an application if FEMA has not responded and FTA has reason to believe there may be a potential for duplicate funding (for example, the recipient notifies FTA that it had previously worked with FEMA to reimburse transit expenses). In such cases, FTA may only proceed after FEMA has replied in writing that they have not identified any expenses in the FTA grant that are also in a FEMA grant, or, if FEMA does identify duplicate funding, after one agency removes such expenses from their grant to the recipient. In 2014, we noted that evaluating and reporting the results of collaborative efforts can identify areas for improvement and recommended that FTA and FEMA establish specific guidelines to monitor, evaluate, and report the results of collaborative efforts. FTA and FEMA implemented this recommendation and committed to jointly monitoring, evaluating, and reporting on the effectiveness of the agencies’ collaboration following future events in which both agencies provide funding. In addition, FTA and FEMA took action to address the duplicate award of funding we identified in our review. Nonetheless, FEMA staff continue to face challenges identifying transit expenses within applications submitted by larger entities, and FTA may be unaware of whether transit entities are included in such applications. Without identifying and implementing systematic measures to detect duplicate expenses, FTA and FEMA are at risk of awarding funds for the same expenses. Conclusions Given that FTA may not receive an appropriation until months after a disaster, transit agencies will continue to submit applications to FEMA when it is unclear whether Congress will provide funding to FTA. This underscores the importance of FTA’s and FEMA’s coordination to avoid providing duplicate funding. FTA and FEMA have taken important steps to coordinate, including establishing an MOA and communications protocol that outline how FTA and FEMA staff should share information. Although FEMA and FTA both approved a relatively small amount of funding for the same expenses in Collier County, the issues that contributed to this outcome involve a risk of providing duplicate funding in the future. FTA took steps to strengthen its processes after we identified this duplicate funding, and FEMA conducted additional retroactive reviews to identify any additional duplicate funding. However, FEMA will continue to face challenges in identifying transit expenses when they are included in the application of a larger entity such as a city, county, or state government. Moreover, FTA may continue to be unaware when transit entities are included in FEMA applications. FEMA and FTA have committed to monitor, evaluate, and report the results of collaborative efforts on an ongoing basis. Without identifying and addressing the factors that contributed to duplicate funding in the federal response to the 2017 hurricanes, FTA and FEMA will continue to face the risk that both agencies will approve funding for the same expense in the future. Recommendations for Executive Action We are making two recommendations, including one to DOT and one to DHS. The Secretary of Transportation should direct the Administrator of FTA to identify and develop controls, such as methods to more easily identify transit expenses within applications submitted by larger entities, such as a city, county, or state government, to address the risk of duplicate funding. (Recommendation 1) The Secretary of Homeland Security should direct the Administrator of FEMA to identify and develop controls, such as methods to more easily identify transit expenses within applications submitted by larger entities such as a city, county, or state government, to address the risk of duplicate funding. (Recommendation 2) Agency Comments and Our Evaluation We provided a draft of this report to DOT and DHS for review and comment. We received written comments from DOT and DHS that are reproduced in appendixes I and II. In comments, reproduced in appendix I, DOT concurred with our recommendation. DOT described some of the steps that FTA has taken to coordinate with FEMA, which we note in our report, such as updating its procedures to ensure that an FTA grant does not contain any expenses for which the applicant may have previously requested reimbursement. We continue to believe FTA would benefit from identifying additional internal controls to address the risk of duplicate funding, particularly since FTA and FEMA may still face challenges identifying entities that have applied to both agencies for funding. In comments, reproduced in appendix II, DHS concurred with our recommendation. DHS stated that FEMA is enhancing its Public Assistance Grants Manager System to address the risk of duplicate funding we identified in our report. This includes implementing a new functionality for data exporting, sorting, and filtering to better identify transit-related damages and improved tracking to identify projects that have received FTA funding. DHS estimates these improvements will be completed September 30, 2020. DOT and DHS both provided technical comments, which we incorporated as appropriate. We are sending copies of this report to the appropriate congressional committees, the Secretary of the Department of Transportation, the Secretary of the Department of Homeland Security, the Administrator of FTA, the Administrator of FEMA, and other interested parties. In addition, the report is 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) 512-2834 or flemings@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 key contributions to this report are listed in appendix III. Appendix I: Comments from the Department of Transportation Appendix II: Comments from the Department of Homeland Security Appendix III: GAO Contact and Staff Acknowledgments GAO Contact Staff Acknowledgments In addition to the contact named above, Steve Cohen (Assistant Director); Crystal Huggins (Analyst in Charge); Matt Cook; Christopher Currie; Danielle Ellingston; Susan Irving; Kathryn Godfrey; Janet McKelvey; Cheryl Peterson; Brenda Rabinowitz; Malika Rice; Amy Rosewarne; Rebecca Shea; Joe Thompson; Matthew Valenta; and Elizabeth Wood made key contributions to this report.