Department of Homeland Security
 

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Annual Review of the United States Coast Guard’s 


Mission Performance (FY 2012) 


OIG-13-122 September 2013
 
 

 

 

 

 

 

 

 

 OFFICE OF INSPECTOR GENERAL 

 Department of Homeland Security

United States Coast Guard 

Anne L. Richards 

Assistant Inspector General for Audits 

 Washington, DC 20528 / www.oig.dhs.gov 

SEP 17 2013 

MEMORANDUM FOR: 	 Rear Admiral Stephen P. Metruck 

Assistant Commandant for Resources and 

Chief Financial Officer 

FROM: 

SUBJECT: 	 Annual Review of the United States Coast Guard’s Mission 

Performance (FY 2012) 

Attached for your information is our final report, Annual Review of the United States 

Coast Guard’s Mission Performance (FY 2012). We incorporated the technical 

comments from the United States Coast Guard in the final report, as appropriate. The 

report contains no recommendations. 

Consistent with our responsibility under the Inspector General Act, we will provide 

copies of our report to appropriate congressional committees with oversight and 

appropriation responsibility over the Department of Homeland Security. We will post 

the report on our website for public dissemination. 

Please call me with any questions, or your staff may contact Mark Bell, Deputy Assistant 

Inspector General for Audits, at (202) 254-4100. 

Attachment 
OFFTCF. OF INSPECTOR GENERAL 

Dcpamnent of Homel and Security 

Table of Contents 

Executive Summary .............................................. , ................................................. ............ 1 

Background ........................................................................................................................ 2 

Results of Review ................................................................................................................ 3 

Resource Hours for Non-Homeland Security and Ho meland Security M issions .... 4 

The USCG's Mission Performance .......................................................................... 6 

FY 2013 Budget Info rmation .................................................................................. 7 

M anagement Comments and OIG Analysis ............................................................ 7 

Appendixes 

Appendix A: Objectives, Scope, and Methodology ............................................. 8 

Appendix B: Management Comments to the Draft: Report .............................. 10 

Appendix C: Non-Homeland Security Missions ................................................. 11 

Appendix D: Homeland Security M issions ......................................................... 23 

Appendix E: FY 2012 Performance Measure Summary .................................... 34 

Appendix F: M ajor Cont ributors to This Report ............................................... 35 

AppendixG: Report Distribution ....................................................................... 36 

Abbreviations 

DHS Department of Homeland Security 

FY fiscal year 

GAO Government Accountability Office 

MTSA Maritime Transportation Security Act 

OIG Office of Inspector General 

OM B Office of Management and Budget 

SPD Strategic Planning Direction 

USCG United States Coast Guard 

www.olg.dhs.gov OIG-13-122 
•

.. ., .. 

OFFICF. OF INSPECTOR GRJ'\F.RAL 

' «.-.i@ Dcpamnem of Homeland Security 

Executive Summary 

This report presents our annual review of the United States Coast Guard's (USCG) mission 

performance, as required by the Homeland Security Act of 2002. The act defines the USCG's 

ll statutory missions as either non-homeland security missions (marine sa fety, marine 

environmental protection, search and rescue, aids-to-navigation, living marine resources, 

and ice operations) or homeland security missions (ports, waterways, and coastal security; 

drug interdiction; migrant interdiction; defense readiness; and other law enforcement). The 

act also prohibits the Secretary of Homeland Security from substantially reducing any of the 

USCG's missions after its transfer to the Department of Homeland Security {DHS), except as 

specified in subsequent acts. 

The objective of this review was to determine the extent to which the USCG Is maintaining 

Its historical level of effort on non-homeland security missions. To address our objective, 

we reviewed the resource hours the USCG used to perform its various missions. We also 

reviewed the USCG's performance measures and results for each non-homeland security 

and homeland security mission. We did not verify the accuracy of the USCG-provided data. 

According to the USCG's data, the gap between resource hours for homeland security 

versus non-homeland security missions has narrowed from approximately 14 percent in 

fiscal year 2007 to approximately 4 percent in fiscal year 2012 (52 percent of resource 

hours for homeland security missions versus 48 percent for non-homeland security 

missions). 

The USCG reported t hat it met or exceeded 11 of 23 summary performance measure 

targets in fiscal year 2012. This includes 9 of 12 non-homeland security performance 

measures and 2 of 11 homeland security performance measure targets. In fiscal year 

2012, the USCG funded nearly the same percentage of non-homeland security missions 

as homeland security missions 

This report contains no recommendations. 

www.o g. dh~.gov 1 OIG-13-122 
OFFICE OF INSPECTOR GENERA.L 

Department of llomeland Security 

Background 

Section 888 of the Homeland Security Act of 2002, Public law 107-296, dated 

November 25, 2002, directs the DHS Office of Inspector General (OIG) to conduct an 

annual review that assesses the performance of all USCG missions, with an emphasis on 

non-homeland security missions. The act defines the USCG's 11 statutory missions as 

either non-homeland security missions or homeland security missions, and prohibits the 

Secretary of Homeland Security from substantially or significantly reducing any of the 

USCG's missions or its capability to perform those missions. Table 1 depicts the USCG's 

11 statutory missions and the alignment ofthose missions with DHS programs. 

Table 1: Alignment of OtiS Programs With Statutory Non-Homeland Security and 

Homeland Security Missions 

Non-Homeland Security Missions Alignment With DHS Programs 

1-----· 

L Living Marine Resources Maritime Law Enforcement . - 2. Marine Saff!ty Maritime l'revention 

- - Maritime Response 3. Marine Environmental Protection 

Maritime Prevention 

4. Search and R~scue Maritime R~sponsc 

5. Aids-to-Navigation Marine Transportation System Man.:lge-ment . ....... 6. Ice Operations ! Marine Transportation System Management 

Homeland Security Missions Alignment With DHS Programs 

1. Ports, Waterways, and Coastal Maritime Security Dllerations 

Security Maritime Prevention 

2. IJrug Interdiction Maritime Law Enforcement - --· ---···- 3. Migrant Interdiction Maritime Law E11forcerne nt 

- --4. Defense Reacti ne~~ Defense Ope rations 

5. Other L~w Enforcement Maritime Law [nforcernent 

. . Source; DHS Q!G based on USL<,-provldeo dola . 

The USCG uses resource hours-generally, the number of flight hours (for aircraft) and 

underway hours (for boats and cutters) used to carry out a specific mission-to 

determine the amount of tirne expended on each of its non-homeland security and 

homeland security missions. We compared the total number of resource hours 

www.oig.dhs.ga•J 2 OIG-13-122 
OFFICE OF INSPECTOR GENJ:RAL 

Department ofHmneland Security 

reported by the USCG from a baseline of pre-September 11, 2001, data through fiscal 

year (FY) 2012. The USCG-calculated baseline is an annual average of resource hours 

based on eight FY quarters preceding September 11, 2001. We did not verify the 

resource hour data reported by the USCG, nor did we validate whether the USCG 

accurately classified resource hours used for each mission. We assessed total resource 

hours for the 11 individual missions in order to identify the changes in each. 

The USCG completes a Strategic Planning Direction (SPD) for each fiscal ye<~r. This 

document provides strategic guidance for aligning frontline activities with overarching 

priorities. According to the SPD, the demand for USCG services will continue to increase 

as maritime activity increases. According to the USCG, resource decisions in the FY 2013 

SPD reflect careful tradeoffs among future capability and current services. 

The USCG establishes targets based on the Office of Management and Budget's (OMB) 

FY 2008 Program Assessment Rating Tool Guidance, which states that targets should be 

"ambitious and achievable," and built off a reliable baseline. USCG personnel said they 

are aiming for an ambitious and achievable target in accordance with this OMB 

guidance, which promotes continued improvements, and therefore not every target 

might be achieved every year. 

Results of Review 

Our review of USCG-provided data indicated that in FY 2012, the USCG dedicated 3.8 

percent more resource hours to homeland security missions than non-homeland 

security missions. FY 2012 homeland security mission resource hours totaled 351,567, 

while non-homeland security mission resource hours totaled 325,360. FY 2012 

homeland security mission resource hours decreased by approximately 1 percent from 

FY 2011 and remained approximately 89 percent above the baseline. Non-homeland 

security mission resource hours decreased by approximately 1 percent from FY 2011 

and were approximately 9 percent above the baseline. The total number of resource 

hours for all missions has continued to decline since FY 2005. The USCG reported that it 

met or exceeded 11 of 23 summary performance measures in FY 2012. This includes 9 

of 12 non-homeland security performance measures and 2 of 11 homeland security 

performance measures. In FY 2012, the USCG used nearly the same percentage of its 

funding for non-homeland security missions (approximately 48 percent) as for 

homeland security missions (approximately 52 percent). 

www.oip,.dhs.p,ov 3 OIG 13-122 
Chart 1: Resource Hours-All Missions 

Resource Hours - All Missions 

OHomeland Security Missions ONon-Homeland Security Missions 

......... .... ··-· 100% ·-·- ,....-- ,....-- -

90% - -- --... .. -- -

80% - - - -- -···- .. 43·~·; - ··- 1- 4~% 44~) 48% 48% SO% 

70% ~ 

- 1-- 52% ~ 

-- 1-

:::> 

0 

J: 60% - (J) 

~ 

:::> 

- 0 50% - - 1-

f..-

- f..-- "' (J) 

0:: 

40% - - f..- --

30% - -- - 57% - - -- 55% 56% 52% 52% SO% 

20% - ~8% -- -

10% - -- -- -

0% --·- Baseline 2007 2008 2009 2010 1011 20i2 

(2000) 

Fiscal Year 

Source: OHS OIG based on USCG-provided data. 

OFFICE OF INSPECTOR GENERAL 

Department of Homelund Security 

Resource Hours for Non-Homeland Security and Homeland Security Missions 

Since 2007(except in 2010), the USCG has dedicated more resource hours to 

homeland security missions, as illustrated in the following chart. 

As illustrated in table 2, the total number of resource hours the USCG dedicates 

to its specific statutory missions continues to decline. In FY 2012, the total 

USCG·reported resource hours dropped to 676,927, which is a decline of 

approximately 6 percent compared with 717,992 hours in FY 2009. 

www.oig.dhs.gov 4 OIG-13·122 
OFFICE OF INSPECfOR GENERAL 

Department of Homeland Security 

Table 2: FY 2012 Coast Guard Resource Hours 

FY 20<!,9 FYZOlO FY1011 FY201Z ~ 

" of r

""' otol T"

otal "' ""' Tatal Total 

MIMio• Mission Mission Million 

Missions Hours: Hourr. Hours Hours Hours HOUri Hour$ Mours 

Non ... Homeland Sewritv 

LW~n,~ Mar'.ne R&:Jurt:e":o 94, 1711 Ulll 93.470 U.:>!' 93.616 u.n. 94.319 13.9" 

M~tr e ~ftrl t 52,579 Hll 5~.828 8-ll( 64,210 9.4" 63617 9.4'5 

M3rintt Environml!nYI Prot~ction 2.949 0.4'1 29.03~ 4.1% 4,682 0.7'JI J 091 0.5% ' 

Sfi:,.,Ch a nd RI:!MUQ .SA.607 H.2 .. (>4,213 9.1% 55,!>311 8.2'10 ~8 770 8.7% 

I 

AldJo--tO·Nc.vit<J lil>n 100,!)0.1 14.1'" 9~.168 ! 13.4" ! 98 .. 619 ' 4.~" I 97.960 H.S'Ji 

tctOp~liur.li R,OU 1.2'10 ll,63S 1.6" 10,747 1.~'-" 7,VR 1m! 

I 

S.btotal Jl7,250 ... ,. JS2.517 128,00! ns.Jw 

Honooland Sealrily 

..,"" , 

- -

Pom. Wt:~tcrw>Jys, C?astal Sf'!curicy 181,264 2~.2!' 157,427 22.2~ ~S S69 ..... P·~ 150 G9'J 21.3'JI 

Dr1,11 .ln'"'dk tion 80, 56:1 11.2% 61,307 9.5% 73,4~ 1 !O.!_lO 8SOM ll.G% 

I 

M l.l'ltlnt lnt rd rl on 76,100 l D.G% 7G, 84~ 10.8!1. ' 72,213 .~ 6~.Q R 10.2~~ -··· '.l 

; • 

oc.rcns.c: RNdioess S6,1lM 47,030 &.6" 41,414 6 1" 34 ·&44 ~- 1.~ '·"' 

OlhQi Law cntorccment &,68G 0.911 8,70R Ll'JO: 12.~79 1.80' 12 ll7 1.8'1 

Subtotal 400, 742 ~"' 357_320 50.3% 3SS,S86 W.CM 151,567 w• 

To tat• 717,192 1110.11!1 709)l37 ! 683JS94 lGO.O!' 676,927 WO.!M . . Source: OHS OIG based on USCG-prov1dcd data. (•indiVIdual tota

·-

ls may have b•en rounded to the nearest 

tenth.) 

www.olg.dhs.gov 5 OIG-13-122 
Chart 2: of Total Resource Hours Fiscal Year 

Defense Re~dln"'" 

Other law Enforcement 

lll"gal Drug Interdiction 

Living M~r e Re<ources 

Marine Environmental Protection 

Ice Opera lions 

Aids-to-Navigation 

C FY09 

Search and Rescue 

5% 10% 15% 20% 25% 30% 

Percentage of Total Resource Hours by Fiscal Year 

Source: DHS OIG based on d•t•. 

V ~ OFFICE OF INSPECTOR GENERAL Deportment of Homeland Security 

The percentages of total resource hours by statutory mission areas from FY 2009 

through FY 2012 are illustrated in chart 2. 

Resource hours for non-homeland security missions are summarized in 

appendix C, and homeland security missions are summarized in appendix D. 

The USCG's Mission Performance 

We based the performance portion of our review on the USCG'S December 2012 

internal report titled United States Coast Guard Fiscal Year 2012 Performance 

Report, as well as previous USCG performance reports and OIG reports. Because 

USCG performance reports are internal documents, they contain additional 

management and break-out measures that we did not include in our report. This 

report includes those measures that the USCG considers summary measures. In 

www.oig.dhs.gov 6 OIG-13-122 
OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

FY 2012, the USCG used the same 23 summary performance measures as they 

had in FY 2011. 

Non-homeland security performance measures and results are included in 

appendix C, and homeland security measures and results are in appendix D. 

Appendix E contains a summary of the USCG's FY 2012 performance measures 

for its 11 missions. 

FY 2013 Budget Information 

In FY 2012, the USCG budgeted slightly more of its funding for non-homeland 

security missions (approximately 52 percent) as homeland security missions 

(approximately 48 percent). Based on the USCG's FY 2013 budget, the historical 

funding gap between non-homeland security and homeland security missions is 

expected to remain narrow. For FY 2013, the USCG budgeted approximately 50 

percent of its mission resources for non-homeland security missions and 

approximately 50 percent for homeland security missions. The largest 

percentage of the USCG's mission resources will continue to be dedicated to its 

ports, waterways, and coastal security mission, which is projected to account for 

approximately 21 percent of the budget in FY 2013. 

Management Comments and OIG Analysis 

The USCG provided t echnical comments that have been incorporated Into the 

final report. 

www.oig.dhs.gov 7 OIG-13-122 
OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

Appendix A 

Objectives, Scope, and Methodology 

The DHS OIG was established by the Homeland Security Act of 2002 (Public Law 107-

296) by amendment to the Inspector General Act of 1978. This is one of a series of 

audit, inspection, and special reports prepared as part of our oversight responsibilities 

to promote economy, efficiency, and effectiveness within the Department. 

Section 888(f)(1) of the Homeland Security Act of 2002 directs the Inspector General to 

conduct an annual assessment ofthe USCG's performance of all its missions, with a 

particular emphasis on non-homeland security missions. The objective oft his review 

was to determine the extent to which the USCG is maintaining its historical level of 

effort on non-homeland security missions. 

We reviewed the following Government Accountability Office (GAO) reports and 

testimonies: 

• GA0-12-741, Legacy Vessels' Declining Conditions Reinforce Need for More 

Realistic Operational Targets (reissued on August 30, 2012] 

• GA0-12-751R, Observations on the Coast Guard's and the Department of 

Homeland Security's Fleet Studies, May 2012 

• GA0·12·934T, Mission Performance Challenged by tile Declining Condition and 

Rising Costs of its Legacy Vessel Fleet, September 2012 

We analyzed the total number of resource hours reported by the USCG prior to 

September 11, 2001, through FY 2012. We did not attempt to verify the resource hour 

data, nor did we attempt to validate whether the USCG had accurately categorized such 

data. We assessed total resource hours for the USCG's 11 individual missions to identify 

the changes in each. 

We analyzed performance measures and targets to determine whether the measures 

for each ofthe USCG's missions had been accomplished. We obtained information on 

performance from the USCG's internal report, United States Coast Guard Fiscal Year 

2012 Performance Report. In addition, we reviewed our Annual Review of the United 

States Coast Guard's Mission Performance (FY 2011), dated September 2012, for prior 

performance measure data. We obtained budget information from DHS' Budget-in-Brief 

for FY 2012 through FY 2014. 

www.oig.dhs.gov 8 OIG-13·122 
O.FHCE OF INSPECTOR GENERAL 

Department of !lome! and Security 

We conducted this review between April 2013 and June 2013 under the authority of the 

Inspector General Act of 1978, as amended, and according to the Quality Standards for 

Inspections issued by the Council of the Inspectors General on Integrity and Efficiency. 

www.oig.dhs.gov 9 OIG·13·122 
• OFFICE Of INSPECTOR GENERAL 

~.~ Department of Homeland Security 

Appendix B 

Management Comments to the Draft Report 

While the USCG did not provide a formal response, it did provide technical comments 

that have been incorporated into the final report. 

www.olg.dhs.gov 10 OIG·13·122 
Non- Homeland Security Resource Hours 

300,000 ~ 

& 250,000 

::t: 

~ .._ 200,000 

::J 

~ 150.000 

100,000 

50,000 

0 .... ..., 

§ s 

... 

Fiscal Year 

Source: DHS OIG based on USCG·providcd dota. 

• OFH C.I£ OF INSPECTOR G:ENF.RAL , . ~ Oeparuncnt of llomeland Security 

Appendix C 

Non-Homeland Security Missions 

The USCG's FY 2012 non-homeland security mission resource hours totaled 325,360, a 

decrease of approximately 1 percent from FY 2011. However, the FY 20121evel remains 

at approximately 9 percent above baseline levels. The following graph illustrates the 

trend in non-homeland security mission resource hours since 2007 compared with the 

baseline period. 

In FY 2012, the USCG reported that it m et or exceeded 9 of 12 summary performance 

measures for its six non-homeland security missions, the same number they had met in 

FY 2011. The resource hours and summary performance measures and results for each 

non-homeland security mission are discussed below. 

Uving Marine Re~urces 

living marine resources law enforcement is an obligation under the Magnuson-Stevens 

Fishery Conservation and Management Act, the Endangered Species Act, and several 

other laws for the protection of marine resources. Its core responsibility is to provide 

www.oig.dhs.gov 11 OIG-13-122 
living Marine Resources Hours 

120,000 

100,000 

t! 

:> 

0 

% 80,000 

Ql 

I! 

.. 

:> 60,000 

0 

a: 

Ql 

40,000 

20,000 

0 

... "' N N 0 .... 

!!. 

~ 0 

.... ~ 8 

:;· "' 

"' Fiscal Year 

Source: DHS OIG based on USCG-provided data. 

O.FFICF. OF INSPECTOR Gl:NERAT. 

Dcp3Itmcnt of Homeland Security 

effective and professional enforcement to advance national goals for the conservation, 

management, and recovery of living marine resources, marine protect ed species, and 

national marine sanctuaries and monuments. This includes enforcement of living 

marine resource regulations and other activities that strengthen both domestic and 

international living marine resources regimes. 

Resource Hours: FY 2012 resource hours for living marine resources tot aled 94,379. 

This is an increase of 0.8 percent from FY 2011, and is higher than t he baseline by 3.4 

percent. 

Performance Measures and Results: The USCG uses the percentage of fishing vessels 

observed at sea complying with domestic regulations as a measure of its Impact on 

enforcement of U.S. fisheries and protected species regulations. The measure reflects 

t he percentage of USCG boardings at sea where no significant violations of domestic 

living marine resources regulations were detected. As shown in t he following chart, the 

USCG reported that it met its single living marine resources performance measure in FY 

2012. 

www.olg.dhs.gov 12 OIG-13-122 
Marine Safety Resource Hours 

70,000 

... 60,000 

::J "' 

0 50,000 

:I: 

4J 

... 40,000 u 

.. 

::J 

0 30,000 

"' "' 20,000 

10,()()0 

0 

f ... N N 

0 8 ~ 0 

.... .. .. § 

:r 

Fiscal Year 

Source: DHS OtG based on USCG provided data. ('No b~sc lin ;,t.) 

OFFICE OF l~ PF. TOR GENERAL 

Department of Homeland Security 

living Marine Resourtes 

Performance Measure- Fishing Regulation Compliance Ra te 

FV 2007 FV 2008 FY 2009 FV 2010 FY 2011 FV 2012 FY 2012 

Actual Actual Actual Actual Actual Tarat Actual 

96.2% 95.3% 96.7% 97.2!1(. 97.4% 96~ 98.3% 

X X X ~ ..;' -,/ 

Not Met Not Met Not Met Me t Mel M~t 

Source: DHS OIG based on USCG-provrded data. 

Marine Safety 

The focus of the USCG's marine safet y mission is the prevention of deaths, injuries, and 

property loss. Marine safety responsibilities Include ensuring the safe and 

environmentally sound operation of millions of recreational vessels and thousands of 

u.s. flagged commercial vessels. The USCG develops and enforces Federal marine safety 

regulations, certifies and provides credentials to more than 218,000 mariners, 

investigates commercial marine casualties and shares its findings, and conducts 

compulsory inspections as well as voluntary sa fety eKams. 

Resource Hours: The USCG did not report hours for this mission prior to 2005. FV 2012 

resource hours for marine safety totaled 63,632, a decrease of approximately 1 percent 

from FY 2011. 

WW\\•.oits:.dhs.r;ov 13 OIG-13-122 
• . OFFICE OF INSPECTOR GENERAL 

=•.,;; Department of Homeland Security 

Performance Measures and Results: The USCG reported that it met three of four 

summary performance measures related to marine safety in FY 2012. Federal 

regulations require the person in charge of a commercial U.S. flagged vessel to notify 

the USCG of any loss of life or injury requiring professional medical treatment beyond 

first aid. The USCG uses deaths and injuries as a measure of commercial mariner and 

passenger safety and t he five-year average number of deaths and injuries as an 

indicator of long-term performance trends. In FY 2012, the USCG met its target for 

commercial mariner deaths and injuries but did not meet the target for passenger 

deaths and injuries, as shown below. According to the USCG, failing to meet the 

performance target is primarily attributable to growth in the cruise line Industry and 

changing regulations. 

Marine Safety 

Performance Measure - Five-Ye ar Average Number of Commercial Mari ner Deaths and 

Injuries 

FV 2007 FY 2008 FY 2009 FV 2010 FY 2011 FY 2012 FV 2012 

Actual Actual Actual Actual Actual Tar&et Actual 

526 498 502 483 450 <455 426 

'-/ 'I ..J ..,f ..j 

NIA' Met Met Met Met Met 

SooJrce: DHS OIG based on USCG-provided dara. 

M arine Safety 

Performance M easure- Five-Year Average Number of 

Commercial Passenger Deaths and Injuries 

FY 2007 FV 2008 FY 2009 FV 2010 FY 2011 FY 2012 FYZOU 

Actual Actual Actual Actual Actual ra,..et Actu•l 

239 253 239 238 257 <215 25& 

..j X X 

N/A N/A N/A M et Not Met Not Met 

Source: DHS OIG based on USCG providotd dald. 

Federal regulations also require operators or owners of vessels used for recreational 

purposes to file a boating accident report when a person dies or disappears from the 

vessel under circumstances that indicate death or injury, or a person is injured and 

1 A designation of "N/A• denotes the USCG reported no metric information was available for that year or 

the official target for that melric had not been set for thal year. In some cases, this information is 

different than what the USCG had previously reported for those years. 

www.olg.dhs.gov 14 OIG-13-122 
OFFICE OF INSPBCJ'OR GENERAL 

Department uf"Ht>mcland Security 

requires medical treatment beyond first aid. The USCG uses deaths and Injuries as a 

measure of marine safety for the recreational boating segment of the U.S. maritime 

community, and a five-year average of these as an indicator of long-term performance 

trends. The USCG reported that it met its target for this measure in FY 2012. 

Marine Safety 

Performance Measure-Five-Year Average 

Re(reational Boating Deaths and Injuries 

FY 2.007 FY 2008 FY 2009 FY 2010 FY 2011 FYZ012 FY 2012 

Actual Ad ual A(tual Actual Actual Tarpt Actual 

4,249 4,070 4,038 3,959 3.904 <3,972 3.792 

N/ A N/A N/A 

..: 

Met 

~ 

Met 

• '/ 

Met 

Source: DHS OIG based on USCG-prov1dcd dat" . 

In FY 2012, the USCG met the performance measure for the five-year average number of 

commercial and recreational deaths and injuries. 

Marine Safety 

Perform ance Measune- Ave-Year Average Number of 

Co mmercial and ~>cneat nal Deaths and Injuries 

FY 2007 FY 2008 FY2009 FY 2010 FY 2011 FY2012 FY 2012 

Actual Actual Actual Actual Adual Tarpt Actual 

N/A N/A N/A N/A 4,567 <4,642 ~.473 

~ v ' 

N/ A N/A N/ A N/A Met Met 

Source: OilS OIG based on USCG-prov1ded d~ta. 

Marine Environmental Protection 

The marine environmental protection mission focuses on minimizing oil and hazardous 

substance effects on human health, the environment, and the marine transportation 

system. The USCG regulates the handling of oil, hazardous substances, and other 

shipboard wastes to prevent their discharge Into U.S. and international waterways, stop 

unauthorized ocean dumping, reduce ship-based air emissions, and avert the 

introduction of invasive species. The USCG is the lead Federal agency for directing the 

removal and mitigation of oil spills from the waters and adjoining shorelines of the 

coastal zone. 

ww oig ch~.e,o v 15 OIG 13·122 
Marine Environmental Protection Resource Hours 

35,000 

... 30,000 

:J "' 

0 25,000 

%: 

.. 

Cll 

u 20,000 

::1 

0 15,000 

XI 

Cl: 10,000 

5,000 

0 

.. "' 

!!. 

~ 

., 

5' 

Fiscal Year 

Source: DHS OIG based on USCG-provided da ~. (•No baseline seL} 

OFFICE OF INSPECTOR GENERAL 

Departrnento f Homeland Security 

Resource Hours: Marine environmental protection resource hours totaled 3,091 in FY 

2012. This represents a decrease of 34 percent from FY 2011. These resource hours are 

typi cal of the hours for this mission in FYs 2007-2009, prior to the Deepwater Horizon 

Incident {British Petroleum oil spill in 2010). 

Performance Measures and Results: Federal regulation requires vessel or facility 

operators to report the discharge of any hazardous substance t hat equals or exceeds 

reportable quantities, and requires the reporting of any discharge of oil or oil products 

t hat cause a sheen, discoloration, sludge, or emulsion on or below the surface of any 

navigable waterway of the United States. The USCG uses the number of chemical 

discharge incidents and the number of oil spills greater than 100 gallons as proxy 

indicators of marine environmental protection, and normalizes five-year averages of 

these incidents as indicators of long-term trends. In FY 2012, the USCG reported that it 

met the target for the average number of chemical discharge incidents in the maritime 

environment. 

www.oig.dhs.gov 16 OIG 13-122 
OFFJCF. OF INSPECTOR GENERAL 

Department of Homeland Security 

Marine Environmental Protection 

Performance Measure- Average Number of Chemical Discharge Incidents In the Maritime 

Environment 

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 FY2012 FY 2012 

Actual Actual Actual Actual Actual Ta11et Actual 

26.0 20.5 19.1 18.2 15.2 <18.4 14.2 

..; ..; .,.· v 

I 

N/A N/A Met Met Met Met 

Source: OHS OIG based on USCG provided d.lta. 

USCG also reported that it met the target for the average number of oil spills in the 

marit ime environment. 

Marine Environmental Protection Performance MeasureAverage Number of Oil Spills in the Maritime Environment 

FY 2007 FY ZOOS FY 2009 FY 2010 FY2011 FY 2012 FY 2012 

Actual Actual Actual Actual Actual Terset Actual 

13.9 13.1 12.1 11.5 10.7 <11 .4 10.5 

I I 

~ v .J .J ~ 

N/A Met Met Met Met Met 

Sourer: DIIS OIG based en USCG-prOVIded data. 

Search and Rescue 

USCG strives to minimize lives lost, injury, and property loss or damage, by rendering aid 

to those in distress in the maritime environment and elsewhere as called upon. The 

search and rescue mission is accomplished through resource readines$, distress 

monitoring and communication, search planning, on-scene operations, and domestic 

and International partnerships. 

Resource Hours: Search and rescue is a demand-driven mission. The requirem ents for 

search and rescue missions increase or decrease relative to the number of people 

requiring the USCG's assistance. Resource hours in FY 2012 totaled 58,770, an increase 

of approximat ely 5 percent from FY 2011. 

www.olg.dhs.gov 17 OtG 1.3 122 
V ~ OFFTCE OF INSPECTOR GRNF.RAL 

Oep11rtment of Homeland Security 

Search and Rescue Resource Hours 

90,000 

80.00() 

:::J 

c 

:I: 

.. 

0 70,000 

60,000 ell 

u 

:::J .so.ooo 

0 40,000 ~ a: :10,000 

20,000 

10,000 

0 

"' ,...., 

"' 8 "' '2. .... 5' 

:'> Fiscal Year 

Source: DHS OIG b•,ed on USCG-provided data. 

Performance Measures and Results: The FY 2.012. target for percentage of people in 

Imminent danger saved in the maritime environment was not met. In FY 2012, the 

USCG saved 3,560 lives in 19,790 cases. This total excluded outlier cases w ith more than 

10 lives at risk. Numerous variables affe-ct the final percentage of people saved from 

imminent danger. Weather conditions, water temperature, and distance to reported 

position of distress impact are a few examples of factors that ultimately impact 

individual case outcomes, but there Is no single factor to explain the fluctuations 

occurring on an aggregate leveL The USCG stated that it will continue to analyze search 

and rescue data to determine potential causes for variances and contributing factors. 

Search and Rescue 

Performance Measure- Percentage of People in Imminent Danger Saved in the Maritime 

Environment 

FY 2007 FY Z008 FY 2009 FY 2010 FY 2011 FYZOU FY 21012 

Actual Actual Actual Actual Actual Tarpt AciiMI 

76.6% 76.8% 77.3% 74.4% 77.2% 100% 77.3% 

..: -.: -.! X X X 

Met Met Met Hot Met Not Met Not Met 

Snurce: OHS OIG based on IJSCG-prov!ded data. 

The FY 2012 target for percentage of time that rescue assets are on-scene within two 

hours was not met. However, overall performance is in line with the USCG's 

www.olp,.dhs.gov 18 OIG-13 122 
OI"FlCF. OF INSPECTOR G.KXF.RAL 

Department of Homeland Security 

expectations based on placement of resources and proximity to shore of the majority of 

search and rescue incidents. This measure has been adjusted to exclude cases in which 

an operational decision was made to delay a response. 

Search and Restue 

Performance Measure-Percentage of Time Rescue Assets Are On-Scene Wltnln 2 Hours 

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 FY2012 FYZOU 

Actual Actual Actual Actual Actual Tarpt Actull 

1~ 94.3% 93.3% 94.0% 93.3% 93.1% 93.5% 

..: • v ,; .j X X 

M et Met Met Met Not Met Not Met 

Sourc~: OHS OIG ba>ed on USCG-providC'd d;,ta. 

Aids-to-Navigation 

The USCG establishes, maintains, and operates more than 49,000 buoys and beacons 

that comprise the U.S. Visual Aids to Navigation System. The purpose of the system is to 

mitigate transit risks by reducing the potential for collisions, allusions, and groundings. 

Resource Hours: FY 2012 resource hours totaled 97,960, a decrease of approximately 

0.9 percent from FY 2011. This is an approximately 13 percent decrease from the 

baseline level. 

19 OIG-13 122 
OFFICF: OF INSPECTOR GENERAL 

Department ofHomdand St:CUJity 

Aids-to-Navigation Resource Hours 

120,000 

100.000 

.. "' 80,000 

::> 

.. 

0 

::J: &0,000 

.. 

Cll 

u 

::> 40,000 0 

Cll 

co: 

20,000 

0 

., 0 

., ., 

"' 

.. 

~ ..., 

0 

5 

Fiscal Year 

Source: DHS OIG l>ased on USCG-provided a. 

Performance Measures and Results: The USCG reported that it met its FV 2012 target 

for the availability of maritime navigation aids for t he sixth consecutive year. 

Aids-to-Navigation 

Performance Measure-Availability of Maritime Navigati on Aids 

FY 2007 FY 2008 FY2009 FY 2010 FY2011 FY 201Z FY2012 

Actual Actual Actual Act ual Actual Tilll'let Actual 

98.0% 98.3% 98.0% 98.5% 98.5% 97.5% 98.3% 

'I ' ..j 'I ' ~ v ' ..,j 

Met Met Mel M et Met MP.t 

Source: DHS OIG based on USCG provided d~ta. 

In FV 2012, the USCG reported that it met its target for the average number of 

navigational accidents. This is the second time t his measure was met in the past six 

ye ars. 

www.olg.dhs.gov 20 OIG-13-122 
• OFFICE OF INSPECTOR GENERAL .., ~ Department ofHomel a11d Security 

AIds-to-Navigation 

Performance Measure - Average Number of Navigational Accidents 

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 FY 2012 FY 2012 

Actual Actual Actual Actual Actual Taraet Actual 

1,823 1.857 1,878 1,878 1,945 Sl,939 1,932 

X X X X I 

'1/ ~ 

Not Met Not Met Not Met Not Met Met Met 

Source: OHS OIG bBsed on USCG-provlded data. 

Ice Operations 

Ice OperCJt ions consist of Polar lcebreaking, lnterniltionallce Patrol and Domestic 

lcebreaking. This mission supports winter commerce and prevents and responds to ice 

that causes flooding. On the Great Lakes, the USCG partners closely with Canada to 

execute these responsibilities. 

Resource Hours: In FY 2012, resource hours totaled 7,528, a decrease of approximately 

30 percent from FY 2011 and approximately 37 percent lower than the baseline level. 

Ice Operations Resource Hours 

14,000 

"' :l 

... 12,000 

0 

:I: 

.. 10,000 

... 

u 8,000 :l 

0 

6,000 a: 

.. "' 

4,000 

2,000 

0 

"' "' "' ~ ~ "' 

.. 8 0 ~ 

~ .... => "' 

0 -

0 

Fiscal Year 

Soule<: OHS OIG based on USCG·pro.ided d.lt.>. 

www.olg.dhs.gov 21 OIG-13-122 
0.1-'HCF. OF INSPECTOR GENERAL 

Dcpanmcnt of Homeland Securily 

Performance Measures and Results: The USCG reported that it met its FY 2012 target 

for the number of days critical waterways are closed to commerce due to ice. Favorable 

environmental conditions, continued partnership with the Canadian Coast Guard, and 

effective employment of domestic icebrcaking assets contributed to achieving the 

performance target. 

Ice Operations 

Performance Measure- Number of Days Critical Waterways Are Closed to Commerce Due to 

Ice 

f¥2007 FY 2008 fY 2009 FY2010 FY2011 FYZOlZ FY 2012 

Actual Actual Actual Actual Actual Terpt Actual 

2avg&8 

0 0 0 6 0 severe 0 

'I ' 'I '"1. X -~ ,; 

Met Met Met Not Met Mel Met 

Source: DHS OIG based on USCG prov1ded d•L•. 

www.u i~ dhs. gov 22 OIG-13-122 
OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

Appendix D 

Homeland Security Missions 

The FY 2012 homeland security mission resource hours totaled 351,567, a decrease of 

approximately 1 percent from FY 2011. Between FY 2007 and FY 2012, total resource 

hours for homeland security missions were the highest in FY 2007. However, the FY 

2012 1evel remains approximately 89 percent above baseline levels, as depicted in the 

following graph. 

Homeland Security Resource Hours 

500.000 

450,000 

-

400,000 .... 350,000 :I 

0 

% 300,000 

... 250,000 ~ 

., 

:I 200,000 0 

150,000 

a:: 

.. 100,000 

50,000 

0 

[ "' 

.... 

0 

0 

:;· 

,. Fiscal Year 

Sovrce: DHS OIG t>a~~d on USCG-provided data. 

In FY 2012, the USCG reported that it met or exceeded 2 of 11 summary performance 

measures for its 5 homeland security missions, compared with meeting 5 of 11 summary 

performance measures in FY 2011. The resource hours and performance measures and 

results for each homeland security mission are summarized below. 

Ports, Waterways, and Coastal Security 

The ports, waterways, and coastal security mission aims to deny terrorists the use and 

exploitation of the maritime domain and marine transportation system as a means for 

CJttacks on U.S. territory, population centers, vessels, and maritime critical infrastructure 

and key resources. This mission includes preparedness, planning and exercises, 

www.oig.dhs.gov 23 OIG-B-122 
OFFICE OF INSPECTOR GENERAL 

Oepar1mt:nt of Homeland Security 

antiterrorism and counterterrorism activities, and initial recovery efforts if attacks 

occur. 

Resource Hours: In FY 2012, resource hours for ports, waterways, and coastal security 

totaled 150,699, which is a decrease of 3.4 percent from FY 2011. 

Ports, Waterways, and Coastal Security Resource Hours 

.. 2SO,OOO 

... 200,000 

::J 

0 

J: 

.. 

e lSO,OOO 

., 

::J 

0 100,000 Gl 

Ill: 

50,000 

0 

.. "" ..... ~ g "' ~ .... ~ 8 

.. 

:> "' 

Fiscal Year 

Source: DHS OIG based on USCG·provided dat a. 

Performance Measures and Results: USCG reported that it met one of its six FY 2012 

targets for ports, waterways, and coastal security. 

The revised maritime security risk measures are risk-based outcome measures that 

begin with an assessment of likely high-consequence maritime terrorist attack 

scenarios. Threat, vulnerability, and consequence levels are estimated for each 

scenario, which generates a proxy (index) value of "raw risk" that exists in the maritime 

domain. NeJCt, the USCG interventions (security and response operations, regime and 

awareness activities) for the fiscal year are scored against the scenarios with regard to 

the decreases in threat, vulnerability, and consequence that each has been estimated to 

have afforded. The resulting measures are proxy measures of performance. 

As depicted below, the USCG reported that it did not meet its FY 2012 target for the 

percent reduction of all maritime security risk subject to USCG influence. 

www.olg.dhs.gov 24 OIG-13·122 
~ OFFICE OF l~SPF.CTOR V GE:'\ERAL 

Department nf Homeland Security 

Ports, Waterways, and Coastal Security 

Performance Measure - Percent Reduction of All Maritime Security Risk Subject to USCG 

Influence 

FY2007 FY 2008 FY 2009 FY 2010 FY 2011 FY 2012 FY101Z 

Actual Actual Actual Actual Actual Tarpt Aaual 

N/A N/A N/A N/A 44 44% 36% 

..f ..J . I ..; • I 

·~ X 

Met Met Met M!!t Met Not Met 

Source: DHS OIG based 011 USCG p rovoded data. 

USCG missed it s FY 2012 target for percent reduction of all maritime security risk 

resulting from USCG consequence m anagement. The deviation from the target was 

slight and did not affect overall program performance. 

Ports, Waterways, and Coastal Security 

Performance Measure- Percent Reduction of Mari time Security Risk Resulting From USCG 

Consequence Management 

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 FV 2012 FY101Z 

Actual Actual Actual Actual Actual Tarpt Actual 

N/A N/A N/A N/A 4% 3% 2% 

--i .J 'l • .J • 'l X 

Met Met Met Met Met Not~t 

Sourc~: DHS OIG ba~ed on USCG-provodcd data. 

The USCG did not meet its target for the percent reduction of maritime security risk 

resulting from USCG effort s to prevent a terrorist from entering the United States via 

maritime means. A=rding to the USCG, failing to meet the performance target and 

the other targets in this category is attributable to several factors, including reduced 

<Jssessment of the effectiveness of the application of international and domestic 

statutes, regulations, and agreements in detecting and defeating terrorist scenarios; 

reduction in dedicated operating hours; and reduced capability and capacity of 

deployable specialized forces. 

www.Oif,.dhs.ge•J 25 OIG-13-122 
• OFFICE OF L"'lSPF.CTOR GE'IIERAL 

~~ n;:partmcnt of Homeland Security 

Ports, Waterways, and Coastal Security 

Performance Measure- Percent Reduction of Maritime Security Risk Resulting From USCG 

Efforts To Prevent a Terrorist From Entering the United States Via Maritime Means 

FY 2007 FY 2008 FY 2009 FY 2010 FY2011 FV 201Z FV Z01Z 

Actual Actual Actual Actual Actual Tll'let Adull 

N/A 

.. N/A N/11 N/A 

" 

43% 52% 349<· 

• ... • -J X X 

Met Met Met Met Not Met Not Met 

Source: OHS OIG basec on USCG prOVIded data. 

USCG missed its target for the percent reduction of maritime security risk resulting from 

USCG efforts to prevent a w~apon of mass destruction from entering the United States 

via maritime means by 5 percentage points. According to the USCG, failing to meet the 

performance target is primarily attributable to a reduced overall assessment of the 

capability of regime activities to interdict a weapon of mass destruction transfer, and 

reduced interdiction capability and capacit y of the steady state activities and special 

teams. 

Ports, Waterways, and Coastal Security 

Performance Measure- Percent Reduction of Maritime Security Risk Resulting From USCG 

Efforts To Prevent a Weapon of Mass Destruction From Entering the United States Via 

Maritime Means 

FV 2007 FV2008 FV 2009 FV2010 FV2011 FY 20U FV:IOU 

Actual Actuol Actual Actual Actual Tilrnt Aclulll 

N/11 N/A N/A N/A 28% 29')(, 24% 

. ,( • • I 

'I " v X X 

Met Met Met Met Not Met Not Met 

Sovr,c: DHS OIG b•>ed on USCG-prov1ded data. 

USCG met its FY 2012 target for the ~nnual Maritime Transportation Security Act (MTSA) 

facility compliance rat e with transportation worker identification credential regulations. 

www.olg.dhs.gov 26 OIG·13-122 
OFFICF. OF INSPECTOR GENF.RAL 

Dcpanmcnt of llomt:land Securiry 

Ports, Waterways, and Coastal Security 

Performance Measure- Annual Maritime Transportation Security Act Facility Compliance Rate 

With Transportation Worker Identification Credential Regulations 

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 FY 2012 FY 2012 

AChJa l Actual Actual Ar.tu~l Actual T1r1et Actual 

N/A N/A N/A 100% 99% 99% 99% 

-v ..j • "i 

N/A NjA N/A Met Met Met 

Sautee: DHS OIG based on USCG provid(!d data. 

USCG also missed its target for the second year for the measure now called "Security 

Compliance Rate for High Risk Maritime Facilities." It was previously titled "Percent of 

Maritime Facilities in Compliance with Security Regulations." 

Ports, Waterways, and Coastal Security 

Performance Measure- Security Compliance Rate for High Risk Maritime Facilities 

FY 2007 FY 2008 FV 2009 FY 2010 FV 2011 FY 2012 FY2012 

Actual ,\ctual Actual Actual Actual Tarpt Adull 

N/A N/A N/A N/A 99.9% 100% 98.7% 

X IC 

N/A N/A N/A N/A Not Met Not Met 

Source: DHS OIG based on VSCG·provoded data. 

Drug Interdiction 

USCG' s drug interdiction efforts support national strategies to disrupt the market for 

Illegal drugs and prevent transnational threats from reaching the United States. The 

USCG is the lead Federal agency for maritime interdiction and shares the lead for drug 

interdiction in the territorial seas of the United States with U.S. Customs and Border 

Protection. The USCG coordinates with its interagency partners, including the 

Department of Defense, Department of Justice, Department of State, and other 

components within DHS, to deter Illicit drug trafficking. 

Resource Hours: FY 2012 resource hours totaled 85,089, an increase of approximately 

16 percent from FY 2011, but about 31 percent below baseline levels. 

www.olg.dhs.gov 27 OIG·lJ 122 
~ 

~ OFFICE OF INSPECTOR GENERAL ·-~ Department v f Homeland Security 

Drug Interdiction Resource Hours 

140.000 

120,000 ~ 

:s 

0 100,000 

:r 

.. 

8 80,000 

::s 

~ 

... 

0 60,000 

"" 40,000 

20,000 

0 

.. .., .... .... .... "' 0 8 0 0 ~ 0 0 .... !!. .... 0 

:;· "' "' 

" Fiscal Year 

Source: DHS OJG based on USCG provided d a ta. 

Performance Measures and Results: The USCG uses the interagency Consolidated 

Counter Drug Database as its main source for tracking cocaine movement estimates. 

The one performance measure related to drug interdiction, removal rate for cocaine 

from noncommercial vessels in the maritime transit zone, was not met in FY 2012. 

According to t he USCG, the reasons for not meeting this target can be attributed to 

reduced resource availability and assets, including aging of USCG ships, boats, and 

aircraft. 

Drug Interdiction 

Performance Measure- Removal Rate for Cocaine From Noncommercial Vessels in the 

Maritime Transit Zone 

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 FY 2012 FY2012 

Actual Actual Actual Actual Actual Ta111et Actulll 

N/A N/A 15.09(. 13.5% 11.6% 16.5% t3.4% 

X X X X 

N/11 N/A Not Met Not Met Not Met Not Met 

Source: OHS OlG based on USCG·prov•ded data. 

www.olg.dhs.gov 28 OIG-13·122 
•

~ 

.. < , ~..: OFFICE O.F INSPECTOR GEN£RAJ. Department of Homeland Security 

Migrant Interdiction 

USCG migrant interdiction policy and operations are designed to provide an effective 

law enforcement presence at sea and achieve t hree main objectives: (1) deter 

undocumented migrants and transnational human smugglers from using maritime 

routes to enter the United States, (2) detect and interdict undocumented migrants and 

human smugglers far from the U.S. border, and (3) expand USCG participation in multiagency and bi-national border security initiatives. The USCG leads the interdiction 

mission on the high seas, and it partners with U.S. Customs and Border Protection and 

U.S. Immigration and Customs Enforcement for shoreside interdiction operations. 

Resource Hours: M igrant interdiction resource hours remain approximately 133 

percent above baseline levels. In FY 2012, resource hours totaled 69,018, a decrease of 

approximately 4.4 percent from FY 2011. 

Migrant Interdiction Resource Hours 

120,000 

.. ... 100,000 

~ 

0 80,000 

::t: 

Cll 

... 

.. 

u 60,000 ~ 

"' 

0 

"' 40,000 

20,000 

0 

i 

~-

Fiscal Year 

Source: DHS OIG based on uSCG-provided data. 

Performance M easures and Results: According to the USCG, the number of 

undocumented migrants attempting to enter the United States increased 17 percent in 

2012 but remained at less than half the average of the preceding decade. This is due in 

part to a slumping U.S. economy, successful prosecution of smugglers, effective bilateral 

cooperation, and use of biometrics. The USCG reported that it met one of its two 

performance measures related to migrant interdiction in FY 2012. Although the target 

for percentage of undocumented migrants who attempt to enter the United States via 

www.oig.dhs.gov 29 OIG-13 ·122 
OF.FICF: OF INSPJ::CTOH GENERAL 

Department of H omt:land Sccuri ty 

maritime routes that are interdicted was not met, the actual result of 73 percent was a 

slight improvement over 72.8 percent in FY 2011. 

Migrant Interdiction 

Performance Measure - Percentage of Undocumented Migrants Who Attempt To Enter the 

United States Via Maritime Routes That Are Interdicted 

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 FYZ012 PI lOU 

Actual Actual Actual Actual Actual Taraet ~ 

65.2% 62.7% 84.4% 64.5% 72.8% 73.9% 73.0% 

X X 'I 'X X X 

Not Met Not Met Met Not Met Not Met Not Met 

Source: OHS OIG ba>ed on USCG-prOVJdrd data. 

As shown below, the USCG exceeded its target for the percentage of undocumented 

m igrants who attempt to enter the United States via marit ime routes that are 

interdicted by the Coast Guard. 

Migrant Interdiction 

Performance Measure - Percentage of Undocumented Migrants Who Attempt To Enter the 

United States Via Maritime Routes That Are Interdicted by the Coast Guard 

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 FV 2012 FY 2012 

Actual Actual Actual Actual Actual Taraet Actual 

42.1% 46.9% 37.5% 44.7% 51.7% 43.0% 52.8% 

X X ..J ..J ..J 

N/A Not Met Not Met Met Met Met 

.Source: OHS OIG based on USCC-prov1ded data. 

Defense Readiness 

The USCG maintains a level of readiness and training that allows for immediate 

integration with Department of Defense forces, for peacetime operations or during 

times of war. This supports U.S. national interests abroad, as well as fa cilitates DoD 

support to DHS for the integration o f homeland defense and homeland security. 

Resource Hours: In FY 2012, resource hours for defense readiness totaled 34,644 and 

were still well above the baseline, although resource hours decreased by 16.4 percent 

from FV 2011 to FV 2012. 

www.oig.dh~.gov 30 OIC·l3·122 
• OFFICE OF INSPF.CTOR GENERAL 

~··"' J)epanmcnl of H omeland Security 

Defense Readiness Hours 

60,000 

50,000 

"' .... 

:::> 

0 40,000 

::J: 

.. 

.. 

.. .. 

u 30,000 :::> 

0 

20,000 

Ill: 

10,000 

0 ..., 'l 8 N N N 

~ 0 0 

~ 0 ,... .... "' 0 

:;· 

"' Fiscal Year 

Source: DHS OIG based on USCG-provlded data. 

Performance Measures and Results: The USCG did not meet its overall target of 35.9 

percent defense readiness for the year. According to the USCG, the declining readiness 

of its high-endurance cutter fleet continues to pose significant challenges to mission 

perform;mce. High-endurance cutter readiness is being addressed by the USCG's Fleet 

Recapit alization Project. 

Defense Readiness 

Performance Measure- Defense Readiness Assessment of All USCG High-Endurance Cutters, 

Patrol Boats, and Port Security Units 

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 FY ZOlZ FYZ012 

Actual Actual Actual Actual Actual Tarset Actual 

N/A N/A N/A 24.1% 25.1% 35.9% 27.2% 

X )C 

N/A N/A N/A N/A Not Met Nat Met 

Source: DHS OIG based on lJSCG·prov•ded data . 

Other Law Enforcement 

The other law enforcement mission orchestrates the enforcement of regulations on 

foreign fishing vessels. This enforcement takes two forms: the first is the deterrence, 

detection, and interdiction of illegal incursions into the u.s. exclusive economic zone by 

www.olg.dhs.gov 31 OIG-13·122 
OFFICE OF TNSPECfOR GENERAL 

Department of llomeland Security 

foreign fishing vessels. 2 The protection of the U.S. eKclusive economic zone from 

incursions by foreign fishing vessels contributes to a fundamental USCG maritime 

securit y objective to protect our Nation's renewable nat ural resources. The second part 

ofthe other law enforcement mission is to ensure compliance with international 

agreements for the management of living marine resources. This is accomplished 

primarily through enforcement of conservation and management measures created by 

Regional Fishery Management Organizations. 

Resource Hours: In FY 2012, resource hours for the other law enforcement mission 

totaled 12,117, a decrease of3.7 percent from FY 2011. 

Other Law Enforcement Resource Hours 

14,000 

... 12,000 

:I "' 

0 10,000 

X 

.., 8,000 ~ 

:I 

.., "' 

0 6,000 

a:: 

4,000 

2,000 

0 

Z' "' 0 "' 8 "' 0 "' 0 ~ "' 

.. 

i!. 0 0 .... .... .... .... ..... 

0 

s· 00 "' 0 "' 

Fiscal Year 

Source: OtiS OIG based on USCG-provided data. 

Performance Measures and Results: The USCG uses the number of detected incursions 

into the U.S. exclusive economic zone by foreign fi shing vessels as a measure of its 

performance. In FY 2012, there were 160 detected incursions of foreign fi shing vessels 

into the U.S. exclusive economic zone, which did not meet the performance target of 

fewer than 140 incursions. According to the USCG, this is likely a result of Increased 

USCG and partner agency patrol efforts in the area. 

' The exclusive economic zone is the zone where the Umted States and other coastal nation; hJVe 

jurisdiction over economic and resource managemenl. The exclusive economic zone includes waters 3 to 

200 miles offshore (or 9 to 200 miles offshore in western Florida and in Texas). 

www.oig.dhs.gov 32 OIG·13-122 
OH'!CE OF INSPECTOR GEN.RRAL 

Department of Homeland Security 

Other law Enforcement 

Performance Measure- Number of Detected Incursions of Foreign Fishing Vessels Violating 

U.S. Waters 

FY 2007 FV 2008 FY 2009 FY 2.010 FY 2011 FY 2012 FY:ZOU 

Actual Ach1al Actual Actu~l Actual T•raet AI:MI 

126 81 112 82 122 <140 160 

..J ..J .J ' " ..J X 

Met Met Met Met Met Not Mit 

Sourrl': DHS OIG based on USCG-provtdro data. 

www.olg.dhs.gov 33 OIG-13-122 
OFFICE OF INSPECTOR GEl\ "ERA I. 

Department of Homeland Se~.:urity 

Appendix E 

FY 2012 Performance Measure Summary 

Not 

Mission Measure Met Met 

Non-Homeland SKUrlty Minions 

living Marine Resoutctl Fishing Regulation Comellilnce Rate X 

5-Yr A'letag~ Number of Commercial ~nd Recreational Deaths and Injuries X 

Marine Safety 

Marine Environmental 

Prorection 

5-Yr Av~rage Number of Commert:ial Mafiner .Deaths ~nd lnjuries X 

_ S-Vr Average Number or C~mmcrcial Pa~senger Deaths tt.~d I':"Jurfes 2._ 

) 5-Yr AvetagP. Nu!Y'ber of Recrt=tttional Roati~g Deaths and Injuries X 

Avt:>rage NumbN of Chemical Di:.ch.arge lnc:ide:nts in the Maritimtt X fnvironme-11t 

A~rage Number of Oil Sptls In the ~ritime Environment X - Search and Re1cue 

X PetCP.nngc of People it1 lmmiMnt !>anger Saved in the Maritime Environment --'--'-· . 

Aids-to-Navigation 

Percentage or Tim~ Rcsc.ul! Assets Are On-Scene Wjthin 2 Hours 

Av~ilabilitv of Maritime Nt~vlsation Aids X 

1----'- - - Average Number of ~vlgatlona l Accidents X 

X 

' 

- lte Oper.atlons 

Total Non-Homeland Secur

Home.land Security Mission

Nv-nbE>f of Day~ C .. itlcal Waterways Ar@. f.lnscd 10 Commerce Oue lo lcP. X 

ity Performance Meas.ures 9 

s 

Percent Reduction of All M•ritime Security Risk SubjeCt to USCG Influence 

Percent Reduction ol Maritime Security Risk Resulting From USCG 

· Consequence Manageft'Mlnt ~. 

Percent Reductior. of Maritime Security Risk Resulting From USCG Etforts To 

3 

X 

-

X 

X 

Ports, Waterways. and 

Coastal Security 

Prevent a 1 eanrist From Entering the United States. Via Marhime Me<~rlS 

Percenl Redo.Jction of arltlm~ Securily Risk Rasulting From USt(j f rtorts to 

Prevent a Weapon of M OlSS Destruction Fron1 fntering tho United States Via ' X 

Maritime Means - -· 

Annual MTSA F-acility Compliance Rate With lransportiltlon \Vorker X 

-

Drug Interdiction .. 

.Identification Credential R~suLi:l tions 

Security CO<npllan<:<> Rate for Hich Ri>k Maritime Fa::ili!les 

Removal Rate for Coca~ Frum Noncommercial Vessels In the "'•'"ime 

. Transit Zone 

i 

-X 

X 

Migrant interdlctlon 

.. 

De.fense Readiness 

Othfot" Law Enforce.m~nt 

Total Homeland P

Percentage of Undocumented Migrants w~.o Attempt Tn Enter the United 

~s Via Maritime Routes Ttu:Jt Are Interdicted - Pe!ceotage of Undocument~d Migrants. Who Attempt To El'\ter Lhe United 

States by Maritime Routes Interdicted by ~he. USCG 

Defense Readiness ~sessment of All USCG High Endura'1c~ Cutters, Patrol 

Boats~ and Por~-~ecurity Units 

Number of OP.tP.cted Incursions of fof~i~n H.s.hing V~ssels V\olating U.S. 

Waters 

mormance -reo 

X 

; 

2 

i 

X 

.. 

X 

X 

9 

Total USCG Performance Musure 

Source: DHS OIG based on USCG provided data. 

11 12 

www.oig.dhs.gov 34 OIG-13 122 
· V OFFICE OF INSPEC I'OR GEJ\'ERAL 

DepartmcntofHvmeland Security 

Appendix F 

Major Contributors to This Report 

Brooke Bebow, Director 

Stephanie Christian, Audit Manager 

Patricia Benson, Program Analyst 

Melissa Motley, Program Analyst 

Eric Young, Referencer 

www.oig.dhs.gov 35 OIG-13-122 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

OFFICE OF INSPECTOR GENERAL 

Department of Homeland Security 

Appendix G 

Report Distribution 

Department of Homeland Security 

Secretary 

Deputy Secretary 

Chief of Staff 

Deputy Chief of Staff 

General Counsel 

Executive Secretary 

Director, GAO/OIG Liaison Office 

Assistant Secretary for Office of Policy 

Assistant Secretary for Office of Public Affairs 

Assistant Secretary for Office of Legislative Affairs 

Acting Chief Privacy Officer 

United States Coast Guard 

Commandant 

Assistant Commandant for Resources and Chief Financial Officer 

USCG Audit Liaison 

Office of Management and Budget 

Chief, Homeland Security Branch 

DHS OIG Budget Examiner 

Congress 

Congressional Oversight and Appropriations Committees, as appropriate 

www.oig.dhs.gov 36 OIG-13-122 
 

ADDITIONAL INFORMATION AND COPIES 

To obtain additional copies of this document, please call us at (202) 254-4100, fax your 

request to (202) 254-4305, or e-mail your request to our Office of Inspector General 

(OIG) Office of Public Affairs at: DHS-OIG.OfficePublicAffairs@oig.dhs.gov. 

For additional information, visit our website at: www.oig.dhs.gov, or follow us on Twitter 

at: @dhsoig. 

OIG HOTLINE 

To expedite the reporting of alleged fraud, waste, abuse or mismanagement, or any 

other kinds of criminal or noncriminal misconduct relative to Department of Homeland 

Security (DHS) programs and operations, please visit our website at www.oig.dhs.gov 

and click on the red tab titled "Hotline" to report. You will be directed to complete and 

submit an automated DHS OIG Investigative Referral Submission Form. Submission 

through our website ensures that your complaint will be promptly received and 

reviewed by DHS OIG. 

Should you be unable to access our website, you may submit your complaint in writing 

to: 

Department of Homeland Security 


Office of Inspector General, Mail Stop 0305 


Attention: Office of Investigations Hotline 


245 Murray Drive, SW 


Washington, DC 20528-0305 


You may also call 1(800) 323-8603 or fax the complaint directly to us at 

(202) 254-4297. 

The OIG seeks to protect the identity of each writer and caller.