Department of Homeland Security 

Office of Inspector General 

Annual Review of the United States 


Coast Guard’s Mission Performance 


(FY 2009) 


OIG-10-106 August 2010 
Office ofInspector General

U.S. Department of Homeland Security

Washington, DC 25028

Homeland

Security

AUG - 3 Z010

Preface

The Department ofHomeland Security (DHS) Office ofInspector General (OIG) was

established by the Homelan.d Security Act of2002 (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.

This report addresses the annual review ofthe United States Coast Guard's mission

performance, as required by the Homeland Security Act of2002. It is based on interviews

with employees and officials ofrelevant agencies and institutions and a review of

applicable documents.

We trust this report will result in more effective, efficient, and economical operations.

We express our appreciation to all ofthose who contributed to the preparation ofthis

report.

Anne L. Richards

Assistant Inspector General for Audits
Table of Contents/Abbreviations 

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

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

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

Resource Hours for Non-Homeland Security and Homeland Security Missions..........3 

Coast Guard’s Mission Performance .............................................................................5 

FY 2009 Budget Projections..........................................................................................6 

Management Comments and OIG Analysis ..................................................................6 

Appendices 

Appendix A: Purpose, Scope, and Methodology.........................................................7 

Appendix B: Management Comments to the Draft Report.........................................9 

Appendix C: Non-Homeland Security Missions.......................................................10 

Appendix D: Homeland Security Missions ...............................................................21 

Appendix E: Major Contributors to This Report ......................................................35 

Appendix F: Report Distribution ..............................................................................36 

Abbreviations 

DHS Department of Homeland Security 

FY Fiscal Year 

GAO Government Accountability Office 

OIG Office of Inspector General 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 
OIG
 Department of Homeland Security 

Office of Inspector General 

Executive Summary 

This report presents our annual review of the United States Coast 

Guard’s mission performance, as required by the Homeland 

Security Act of 2002. To address the Act’s requirements, we 

reviewed the Coast Guard’s performance measures and results for 

each non-homeland security and homeland security mission, as 

well as resource hours used to perform the various missions from 

Fiscal Years 2001 through 2009. We did not verify the accuracy 

of Coast Guard–provided data. 

According to the Coast Guard, the data show that in Fiscal Year 

2009, for the eighth consecutive year, the Coast Guard dedicated 

more resource hours to homeland security missions than to nonhomeland security missions. The data also show that the gap 

between homeland security and non-homeland security resource 

hours increased to 12% in FY 2009 from 10% in FY 2008. Coast 

Guard performance measurement information indicates that it met 

more non-homeland security mission performance measures than 

homeland security mission performance measures. Coast Guard– 

provided budget projections for Fiscal Year 2010 show a decrease 

in homeland security mission spending and a slight increase in 

non-homeland security mission spending from Fiscal Year 2009, 

and a narrowing of the gap between the two categories. 

This report contains no recommendations. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 1 
Background 

Coast Guard Missions. Section 888 of the Homeland Security 

Act of 2002, Public Law 107-296, dated November 25, 2002, 

directs the Inspector General to conduct an annual review that 

assesses the performance of all the Coast Guard missions, with a 

particular emphasis on non-homeland security missions. This 

Section also defines the Coast Guard’s 11 statutory missions as 

either non-homeland security missions or homeland security 

missions, as follows: 

Non-Homeland Security Missions 

• Marine Safety 

• Search and Rescue 

• Aids-to-Navigation 

• Living Marine Resources 

• Marine Environmental Protection 

• Ice Operations 

Homeland Security Missions 

• Ports, Waterways, and Coastal Security 

• Drug Interdiction 

• Migrant Interdiction 

• Defense Readiness 

• Other Law Enforcement 

In addition, Section 888 of the Homeland Security Act of 2002 

prohibits the Secretary from substantially or significantly reducing 

any of the Coast Guard’s missions or its capability to perform 

those missions, subsequent to the transfer of the Coast Guard to the 

Department of Homeland Security (DHS). 

Resource Hours. The Coast Guard 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 time expended on each of its 

non-homeland security and homeland security missions. During 

our review, we obtained data on the total number of resource hours 

reported by the Coast Guard from a baseline of pre-September 11, 

2001 data, through Fiscal Year (FY) 2009. The Coast Guard– 

calculated baseline is an annual average of resource hours based on 

eight FY quarters preceding September 11, 2001. We did not 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 2 
 

verify the resource hour data reported by the Coast Guard, nor did 

we validate whether the Coast Guard 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. 

Results of Review 

Although we did not verify the accuracy of Coast Guard data, the data 

show that in FY 2009, for the eighth consecutive year, the Coast Guard 

dedicated more resource hours to homeland security missions than to nonhomeland security missions. The data also show that the gap between 

homeland security and non-homeland security resource hours increased to 

12% in FY 2009 from 10% in FY 2008. Coast Guard performance 

measurement information indicates that it met more non-homeland 

security mission performance measures than homeland security measures. 

Coast Guard-provided budget projections for FY 2010 show a decrease in 

homeland security mission spending and a slight increase in nonhomeland security mission spending from FY 2009, and a narrowing of 

the gap between the two categories. 

Resource Hours for Non-Homeland Security and Homeland 

Security Missions 

Prior to FY 2001, the majority of resource hours were dedicated to nonhomeland security missions. However, since FY 2002, the majority of 

resource hours have been dedicated to homeland security missions, as 

illustrated in the following chart. 

Resource Hours - All Missions 

0 

100000 

200000 

300000 

400000 

500000 

600000 

700000 

800000 

900000 

Resource Hours 

Non-Homeland Security Missions Homeland Security Missions 

Baseline 2001 2002 2003 2004 2005 2006 2007 2008 2009 

Fiscal Year 

38% 41% 

62% 

58% 

63% 57% 55% 57% 

62% 59% 42% 38% 37% 43% 45% 43% 45% 44% 

55% 56% 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 3 
 

The Coast Guard data also show that the gap between resource hours for 

homeland security versus non-homeland security missions is narrowing 

from a 26% difference in FY 2004 (63% of resource hours used for 

homeland security missions versus 37% for non-homeland security 

missions) to 12% for FY 2009. Total Coast Guard–reported resource 

hours, composed of the number of flight hours (for aircraft) and underway 

hours (for boats and cutters) used on a specific mission, dropped for the 

third straight year to 717,992 in FY 2009, declining 3.3% compared to 

742,386 in FY 2008. Of that FY 2009 total, non-homeland security 

resource hours decreased to 317,250, decreasing 5.3% compared to 

334,901 in FY 2008. In FY 2009, homeland security resource hours 

declined to their lowest level since FY 2002 at 400,742, decreasing 1.7% 

compared to 407,485 in FY 2008. 

The following table shows that the largest percentage of all Coast Guard 

resource hours was utilized for the Ports, Waterways, and Coastal Security 

mission, accounting for 25.25% of total resource hours for FY 2009. 

Mission 

FY 06 

Hours 

% of 

Total 

Mission 

Hours 

FY 07 

Hours 

% of 

Total 

Mission 

Hours 

FY 08 

Hours 

% of 

Total 

Mission 

Hours 

FY 09 

Hours 

% of 

Total 

Mission 

Hours 

Non-Homeland Security 

Search and Rescue 59,914 7.74% 59,999 7.78% 61,321 8.27% 58,607 8.16% 

Marine Safety 68,277 8.82% 49,379 6.41% 45,794 6.16% 52,579 7.32% 

Aids-to-Navigation 105,566 13.64% 102,088 13.25% 106,638 14.37% 100,904 14.05% 

Ice Operations 6,877 0.89% 10,230 1.33% 11,938 1.61% 8,033 1.12% 

Marine Environmental 

Protection 4,509 0.58% 2,628 0.34% 3,441 0.46% 2,949 0.41% 

Living Marine Resources 99,850 12.90% 104,293 13.53% 105,769 14.24% 94,178 13.12% 

Subtotal 344,993 44.57% 328,617 42.64% 334,901 45.11% 317,250 44.18% 

Homeland Security 

Illegal Drug Interdiction 94,116 12.16% 75,175 9.75% 75,892 10.23% 80,564 11.22% 

Undocumented Migrant 

Interdiction 67,936 8.78% 98,899 12.83% 74,918 10.09% 76,100 10.60% 

Other Law Enforcement 5,112 0.66% 9,213 1.20% 8,272 1.11% 6,686 0.93% 

Ports, Waterways, and 

Coastal Security 216,595 27.98% 219,662 28.50% 205,715 27.71% 181,264 25.25% 

Defense Readiness 45,360 5.85% 39,150 5.08% 42,688 5.75% 56,128 7.82% 

Subtotal 429,119 55.43% 442,099 57.36% 407,485 54.89% 400,742 55.81% 

Total 774,112 100.00% 770,716 100.00% 742,386 100.00% 717,992 100.00% 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 4 
The percentages of total resource hours by statutory mission areas are 

illustrated in the following chart. 

Defense Readiness 

Ports, Waterways, Coastal Security 

Other Law Enforcement 

Undocumented Migrant Interdiction 

Illegal Drug Interdiction 

Living Marine Resources 

Marine Environmental Protection 

Ice Operations 

Aids-to-Navigation 

Marine Safety 

Search and Rescue 

Statutory Missions 

FY09 

FY08 

FY07 

FY06 

Non-Homeland Security Homeland Security 

0%5%10%15%20%25%30%

Percentage of Total Resource Hours by Fiscal Year 

Non-homeland security missions are summarized in appendix C and 

homeland security missions are summarized in appendix D. 

Coast Guard’s Mission Performance 

The Coast Guard reported that it met 14 of its 24 performance measures in 

FY 2009, including meeting 8 of 11 non-homeland security performance 

measures and 6 of the 13 homeland security performance measures. In FY 

2009, Coast Guard retired one homeland security performance measure 

and one non-homeland security performance measure. It also added one 

new performance measure for its Drug Interdiction mission, resulting in a 

total of 24 performance measures for FY 2009. The following table 

summarizes the Coast Guard’s success in meeting its performance 

measures. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 5 
 

Mission Number of Performance 

Measures in FY 2009 

Number of Performance 

Measures Met in FY 2009 

Non Homeland Security

 Search and Rescue 1 1 of 1 

Aids-to-Navigation 2 1 of 2 

Ice Operations 1 1 of 1 

 Living Marine Resources 1 0 of 1 

Marine Safety 3 3 of 3 

 Marine Environmental Protection 3 2 of 3 

Total Non-Homeland Security 11 8 of 11 

Homeland Security

 Ports, Waterways and Coastal Security 7 4 of 7 

 Drug Interdiction 1 0 of 1 

Migrant Interdiction 1 1 of 1 

 Defense Readiness 3 0 of 3 

 Other Law Enforcement 1 1 0f 1 

Total Homeland Security 13 6 of 13 

TOTALS 24 14 of 24 

The performance measures and results for non-homeland security missions 

and homeland security missions are included in appendices C and D, 

respectively. 

FY 2010 Budget Projections 

According to the Coast Guard’s FY 2010 budget projections presented in 

the Annual Performance Report,1

 during FY 2010 the Coast Guard expects 

to close the gap between non-homeland security missions and homeland 

security missions by expending 48.2% of its budget on non-homeland 

security missions and 51.8% on homeland security missions. The largest 

percentage of Coast Guard resources will continue to be dedicated to its 

Ports, Waterways, and Coastal Security mission in FY 2010. 

Management Comments and OIG Analysis 

The Coast Guard had no comments to the OIG’s analysis of the 

United States Coast Guard’s Mission Performance for Fiscal Year 

2009 report. 

We included the formal reply from the Chief, Office of Budget and 

Programs for the Coast Guard in Appendix B. 

1 Department of Homeland Security Annual Performance Report, Fiscal Years 2009–2011. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 6 
Appendix A 

Purpose, Scope, and Methodology 

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

the Inspector General to conduct an annual assessment of the Coast 

Guard’s performance of all its missions, with a particular emphasis 

on non-homeland security missions. The objective of this review 

was to determine the extent to which the Coast Guard is 

maintaining its historical level of effort on non-homeland security 

missions. 

We reviewed the following Government Accountability Office 

(GAO) reports and testimonies: 

•	 Coast Guard Observations on the Requested Fiscal Year 

2011 Budget, Past Performance, and Current Challenges, 

GAO-10-411T, February 25, 2010; 

•	 Coast Guard Observations on the Fiscal Year 2010 Budget 

and Related Performance and Management Challenges, 

GAO-09-810T, July 7, 2009; 

•	 Coast Guard Observations on the Fiscal Year 2009 Budget, 

Recent Performance, and Related Challenges, 

GAO-08-494T, March 6, 2008; 

•	 Coast Guard Deepwater Program Management Initiatives 

and Key Homeland Security Missions, GAO-08-531T, 

March 5, 2008; 

•	 Coast Guard Preliminary Observations on Deepwater 

Program Assets and Management Challenges, 

GAO-07-446T, February 15, 2007; and 

•	 Coast Guard Efforts to Improve Management and Address 

Operational Challenges in the Deepwater Program, 

GAO-07-460T, February 14, 2007. 

We analyzed the total number of resource hours reported by the 

Coast Guard prior to September 11, 2001, through FY 2009. We 

did not attempt to verify the resource hour data, nor did we attempt 

to validate whether the Coast Guard had accurately categorized 

such data. We assessed total resource hours for the 11 individual 

Coast Guard missions to identify the changes in each. 

We analyzed performance measures and targets to determine 

whether the measures for each of the Coast Guard’s missions had 

been accomplished. We obtained information on performance 

from the Department of Homeland Security Annual Performance 

Report, Fiscal Years 2009–2011. In addition, we reviewed our 

Annual Review of the United States Coast Guard’s Mission 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 7 
Appendix A 

Purpose, Scope, and Methodology 

Performance (FY 2008), dated October 2009, for performance 

measure data prior to FY 2009. 

We conducted our review between January 2010 and May 2010 

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. We relied on data provided by the Coast Guard and 

did not verify that data against original documentation. 

We would like to extend our appreciation for the cooperation and 

courtesies extended by the Coast Guard to our staff during the 

review. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 8 
FOR OFFICIAL USE ONLY 

Appendix B 

Management Comments to the Draft Report 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 9 
 

 

Appendix C 

Non-Homeland Security Missions 

Non-Homeland Security Missions 

The Performance Measures and Results for Appendix C were 

taken from the FY 2009 Annual Performance Report, provided by 

the Department of Homeland Security.2 

Resource Hours. The FY 2009 total non-homeland security 

resource hours were down 5.3% from FY 2008 reaching 317,250 

for non-homeland security missions, as illustrated in the following 

graph. 

Non-Homeland Security Resource Hours 

400,000
 

350,000
 300,000
 

250,000
 

200,000
 150,000
 

100,000
 50,000
 

0
 

Baseline200120022003200420052006200720082009 

Fiscal Year 

Resource Hours 

Performance Measures and Results. For FY 2009, the Coast 

Guard met 8 of 11 performance measures for its 6 non-homeland 

security missions, compared with meeting 7 of 12 non-homeland 

security performance measures in FY 2008. 

The performance measures and results for each non-homeland 

security mission are summarized below. 

Search and Rescue 

Minimizing the loss of life, personal injury, and property damage 

or loss by rendering aid to persons in distress and property in the 

maritime environment has always been a Coast Guard priority. 

Resource Hours. Search and Rescue is a demand-driven mission. 

Requirements for search and rescue services increase or decrease 

relative to the number of people at sea and their need for Coast 

Guard assistance. Resource hours for the Search and Rescue 

2 Department of Homeland Security Annual Performance Report, Fiscal Years 2009–2011. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 10
 
 

 

 

 

Appendix C 

Non-Homeland Security Missions 

mission increased by 14.8% in FY 2005 because of the Coast 

Guard’s response to Hurricane Katrina. Resource hours in 

FY 2009 decreased approximately 4% over FY 2008. The 

following graph shows the number of resource hours used by the 

Coast Guard for the Search and Rescue mission from the baseline 

period through FY 2009. 

Search and Rescue Resource Hours 

100,000 

80,000 

60,000 

40,000 

20,000 

0 

Baseline200120022003200420052006200720082009 

Fiscal Year 

Resource Hours 

Performance Measures and Results. The one performance 

measure related to Search and Rescue was met in FY 2009. This 

measure was used for the first time in FY 2009; however, the 

Coast Guard also provided data for FY 2008. 

Perfo

FY 

2001 

rmance 

FY 

2002 

Measure 

m

FY 

2003 

– Perce

FY 

2004 

Search a

ntage of

aritime 

FY 

2005 

nd Resc

 people 

environ

FY 

2006 

ue 

in immi

ment 

FY 

2007 

nent dan

FY 

2008 

ger save

FY 

2009 

d in the 

Target 76.0% 76.0% 

Actual 76.8% 77.3% 

Result √ 

Met 

√ 

Met 

Aids-to-Navigation 

The Aids-to-Navigation mission is a means for the Coast Guard to 

mark the waters of the United States and its territories to assist 

boaters in navigation and alert them to obstructions and hazards. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 11 
 

 

 

Appendix C 

Non-Homeland Security Missions 

Resource Hours. The chart below shows FY 2009 resource hours 

decreased by 5.4% from FY 2008, constituting an approximate 

10% decrease from the baseline level. 

Aids-To-Navigation Resource Hours 

0 

20,000 

40,000 

60,000 

80,000 

100,000 

120,000 

140,000 

Baseline200120022003200420052006200720082009 

Fiscal Year 

Resource Hours 

Performance Measures and Results. There were two 

performance measures related to Aids-to-Navigation in FY 2009. 

One measure was met and one was not met. 

Performanc

FY 

2001 

FY 

2002 

e Measu

FY 

2003 

re – Fed

Aids-to

FY 

2004 

eral sho

-Naviga

FY 

2005 

rt-rang

tion 

FY 

2006 

e aids-to

FY 

2007 

-navigation ava

FY 

2008 

ila

FY 

2009 

bility 

Target N/A N/A N/A N/A N/A N/A N/A 97.5% 97.5% 

Actual N/A N/A N/A N/A N/A N/A N/A 98.3% 98.0% 

Result 

√ 

Met 

√ 

Met 

According to the Coast Guard, the availability of federal shortrange aids-to-navigation declined slightly to 98%. This is 

nominally better than the FY 2010 and FY 2011 targets, which will 

be 97.5% for both years. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 12
 
 

 

 

 

 

Appendix C 

Non-Homeland Security Missions 

Performance 

FY 

2001 

Measure 

FY 

2002 

A

FY 

2003 

– Five-y

ids-to-N

groun

FY 

2004 

ear aver

avigation 

dings 

FY 

2005 

age num

FY 

2006 

ber of co

FY 

2007 

llisions,

FY 

2008 

allisions, 

FY 

2009 

and 

Target 2,261 2,098 2,010 1,923 ≤

1,831 

≤

1,748 

≤

1,664 

≤

1,756 

≤

1,871 

Actual 2,215 2,098 2,000 1,876 1,877 1,816 1,823 1,857 1,878 

Result 

√ 

Met 

√ 

Met 

√ 

Met 

√ 

Met 

X 

Not 

Met 

X 

Not 

Met 

X 

Not 

Met 

X 

Not 

Met 

X 

Not 

Met 

Note: The symbol ≤ is used to indicate less than or equal to. 

According to the Coast Guard, the deviation from the target for the 

five year average number of collisions, allisions, and groundings 

was minor, and there was no effect on overall program 

performance. The Coast Guard’s Waterways Management 

program oversees this performance measure and has undertaken 

initiatives to reduce the risk of collisions, allisions, and 

groundings. These efforts include improvements in bridge 

clearances to prevent disruptions to marine and surface 

transportation; navigation safety risk assessments to identify 

factors that influence collisions, allisions, and groundings; and 

contingency planning for marine transportation during extreme 

conditions. 

Ice Operations 

This mission encompasses icebreaking activities in the Great 

Lakes, St. Lawrence Seaway, and Northeast.3 These activities 

facilitate the movement of bulk cargoes carried by regional 

commercial fleets during the winter months. 

Resource Hours. Fluctuations in resource hours are not unusual, 

since this mission is dependent on ice accumulation, which varies 

on an annual basis. In FY 2009, resource hours decreased by 

approximately 32.7% from FY 2008, which is the same as the 

overall decrease from the baseline level. 

3

 In addition to domestic ice operations, the Coast Guard operates the only U.S.-controlled icebreakers 

capable of operations in the polar regions. The Coast Guard operates these cutters and is reimbursed for 

their operation and maintenance by the National Science Foundation. Resource hours for polar operations 

are included in the chart; however, only Coast Guard–directed domestic ice operations performance targets 

are measured. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 13
 
 

 

Appendix C 

Non-Homeland Security Missions 

Ice Operations Resource Hours 

0 

2,000 

4,000 

6,000 

8,000 

10,000 

12,000 

14,000 

16,000 

18,000 

20,000 

Baseline200120022003200420052006200720082009 

Fiscal Year 

Resource Hours 

Performance Measures and Results. There was one 

performance measure related to Ice Operations in FY 2009, and it 

was met. 

Ice Operations 

Performance Measure – Number of days critical waterways are closed due to ice 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

FY 

2005 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

Target 8 2 8 2 

2 avg. 

and 8 

severe 

2 avg. 

and 8 

severe 

2 avg. 

and 8 

severe 

2 avg. 

and 8 

severe 

2 avg. 

and 8 

severe 

Actual 7 7 7 4 0 0 0 0 0 

Result 

√ 

Met 

X 

Not 

Met 

√ 

Met 

X 

Not 

Met 

√ 

Met 

√ 

Met 

√ 

Met 

√ 

Met 

√ 

Met 

Living Marine Resources 

This program’s mission is to provide effective and professional atsea enforcement of federal fisheries regulations and other 

regulations to advance national goals for the conservation and 

management of living marine resources and their environments. 

Resource Hours. FY 2009 resource hours decreased 11% from 

FY 2008, but were higher than the baseline by 3.2%. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 14
 
 

 

 

Appendix C 

Non-Homeland Security Missions 

Living Marine Resource Hours 

0 

20,000 

40,000 

60,000 

80,000 

100,000 

120,000 

Baseline200120022003200420052006200720082009 

Fiscal Year 

Resource Hours 

Performance Measures and Results. There was one 

performance measure related to Living Marine Resources in 

FY 2009, and it was not met. 

Perfo

sig

rmance 

nificant 

FY 

2001 

Measure 

FY 

2002 

violations 

Livi

FY 

2003 

– Percen

are dete

ng Mari

FY 

2004 

tage of C

cted whe

FY 

2005 

ne Resour

oast Gua

n domest

FY 

2006 

ces 

rd board

ic fisheri

FY 

2007 

ings at se

es regulations app

FY 

2008 

a in which n

ly 

FY 

2009 

o 

Target 97% 97% 97% 97% 97% 97% 97% 97% 97% 

Actual 98.6% 97.3% 97.1% 96.3% 96.4% 96.6% 96.2% 95.3% 96.7% 

Result √ 

Met 

√ 

Met 

√ 

Met 

X 

Not 

Met 

X 

Not 

Met 

X 

Not 

Met 

X 

Not 

Met 

X 

Not 

Met 

X 

Not 

Met 

According to the Coast Guard, there are several possible reasons 

for the large reduction in significant violations detected, including 

economic disincentives to fish, the significance of penalties, and 

the perception of increased enforcement. The reduction in 

boarding efforts is, in part, the result of changed procedures that 

more accurately capture the Coast Guard’s efforts to enforce living 

marine resource laws and regulations. While there is a deterrent 

relationship between Coast Guard presence and violations, other 

factors influence compliance, such as natural disasters, changing 

biomass distribution, market prices, fuel prices, regulatory 

complexity, and the perceived effectiveness of enforcement and 

prosecution. According to the Coast Guard, the deviation from the 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 15
 
Marine Safety Resource Hours 

0 

10,000 

20,000 

30,000 

40,000 

50,000 

60,000 

70,000 

80,000 

Baseline200120022003200420052006200720082009 

Fiscal Year 

Resource Hours 

 

 

 

Appendix C 

Non-Homeland Security Missions 

target was minor and there was no effect on overall program 

performance. 

Marine Safety 

The Marine Safety program ensures the safe operation and 

navigation of United States and foreign-flagged vessels. The Coast 

Guard is responsible for providing safe, efficient, and 

environmentally sound waterways for commercial and recreational 

users. Domestic vessel inspections and port state control (foreign 

vessel) examinations are conducted in order to safeguard maritime 

commerce and international trade. 

Resource Hours. The Coast Guard did not report hours for this 

mission prior to 2005. Resource hours for Marine Safety increased 

by approximately 14.8% from FY 2008 to FY 2009. 

Performance Measures and Results. There were three 

performance measures related to Marine Safety in FY 2008, and all 

measures were met. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 16
 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Appendix C 

Non-Homeland Security Missions 

Marine Safety 

Performance Measure – Five-year

a

 average 

nd injuries 

number of commercial mariner deaths 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

FY 

2005 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

Target N/A N/A N/A N/A N/A N/A N/A <501 <529 

Actual N/A N/A N/A N/A N/A N/A N/A 494 475 

Result 

√ 

Met 

√ 

Met 

According to the Coast Guard, the five-year average number of 

commercial mariner deaths and injuries declined by about 4% from 

the revised average of 494 in FY 2008. The number of deaths and 

injuries reported in FY 2009 was about 22% fewer than average. 

This performance is better than FY 2010 and FY 2011 targets of 

fewer than or equal to 520 and fewer than or equal to 482 deaths 

and injuries, respectively. 

Perform

FY 

2001 

ance Me

FY 

2002 

asure – F

FY 

2003 

ive-year

Marine 

an

FY 

2004 

 average 

d inj

Safety 

FY 

2005 

number

uries 

FY 

2006 

 of comm

FY 

2007 

ercial p

FY 

2008 

assenger 

FY 

2009 

deaths 

Target N/A N/A N/A N/A N/A N/A N/A <225 <251 

Actual N/A N/A N/A N/A N/A N/A N/A 250 228 

Result 

X 

Not 

Met 

√ 

Met 

The five-year average number of passenger deaths and injuries 

declined nearly 9% from the revised average of 250 in FY 2008, 

and the number of deaths and injuries reported in FY 2009 was 

about 36% fewer than average. This performance is better than the 

FY 2010 target of fewer than or equal to 248 deaths and injuries. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 17
 
 

 

 

 

 

 

 

 

Appendix C 

Non-Homeland Security Missions 

Pe

FY 

2001 

recr

FY 

2002 

rforman

eationa

FY 

2003 

ce Meas

Marin

l

FY 

2004 

ure – F

 boatin

e Safety 

FY 

2005 

ive-year

g deaths

FY 

2006 

 average 

and inj

FY 

2007 

number o

uries 

FY 

2008 

f 

FY 

2009 

Target N/A N/A N/A N/A N/A N/A N/A <4,252 <4,248 

Actual N/A N/A N/A N/A N/A N/A N/A 4,147 4,038 

Result 

√ 

Met 

√ 

Met 

The five-year average number of recreational boating deaths and 

injuries declined by nearly 3% from the revised average of 4,147 in 

FY 2008, and the number of deaths and injuries reported in 

FY 2009 was about 13% fewer than average. This performance is 

better the than FY 2010 target of fewer than or equal to 4,185 

deaths and injuries. 

Marine Environmental Protection 

The Marine Environmental Protection program falls under the 

Coast Guard’s stewardship role and is concerned with averting the 

introduction of invasive species, stopping unauthorized ocean 

dumping, and preventing the discharge of oil or hazardous 

substances into the navigable waters of the United States. 

Resource Hours. The Coast Guard did not report resource hours 

for this mission prior to FY 2005. Resource hours declined by 

14.3% from FY 2008 to FY 2009. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 18
 
 

 

 

 

 

 

 

 X 

Appendix C 

Non-Homeland Security Missions 

Marine Environmental Protection Resource Hours 

6,000 

5,000 

4,000 

3,000 

2,000 

1,000 

0 

Baseline200120022003200420052006200720082009 

Fiscal Year 

Resource Hours 

Performance Measures and Results. There were three 

performance measures related to Marine Environmental Protection 

in FY 2009. Two measures were met and one was not met. 

Marine Environmental Protection 

Performance Measure – Five-yea

per 100 m

r averag

illion sh

e numbe

ort tons

r of che

 shipped 

mical discharge incidents 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

FY 

2005 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

Target N/A N/A N/A N/A N/A N/A N/A <26.6 <25.9 

Actual N/A N/A N/A N/A N/A N/A N/A 19.8 17.8 

Result 

√ 

Met 

√ 

Met 

According to the Coast Guard, the 5-year average number of 

chemical spills per 100 million short tons shipped declined by 

about 10% from the revised average of 19.8 in FY 2008, and the 

number of chemical spills reported in FY 2009 was 33% fewer 

than average. This performance is better than FY 2010 and 

FY 2011 targets of fewer than or equal to 22.8 and fewer than or 

equal to 22 chemical spills, respectively. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 19
 
 

 

 

 

 

 

 

 X 

 

 

 

 

 X 

Appendix C 

Non-Homeland Security Missions 

Perfor

FY 

2001 

mance M

M

FY 

2002 

easure 

arine E

s

FY 

2003 

– Five-ye

h

nvironm

FY 

2004 

ar aver

ort tons

ent

FY 

2005 

al Pr

age num

 shipped 

FY 

2006 

otection 

ber of oi

FY 

2007 

l spills p

FY 

2008 

er 100 m

FY 

2009 

illion 

Target N/A N/A N/A N/A N/A N/A N/A <13.5 <13.5 

Actual N/A N/A N/A N/A N/A N/A N/A 12.7 11.8 

Result 

√ 

Met 

√ 

Met 

The 5-year average number of oil spills per 100 million short tons 

shipped declined by about 4% from the revised average of 13.2 in 

FY 2008, the number of oil spills reported in FY 2009 was 31% 

fewer than average. This better-than-expected performance is 

2.5% less than next year’s target of fewer than or equal to 12.1 oil 

spills; which having been built from a reliable baseline, is still 

considered an appropriate expectation for FY 2010. 

Perfor

compar

mance 

ed to the

FY 

2001 

M

Measure

 amount

FY 

2002 

arine E

 – Perce

 of oil re

FY 

2003 

FY 

2004 

nvironmental Pr

ntage of oil remo

leased for report

FY 

2005 

ection 

FY 

2006 

ot

ved or o

ed spills

FY 

2007 

therwise

 of 100 g

FY 

2008 

 mitigated a

allons or 

FY 

2009 

s 

more 

Target N/A N/A N/A N/A N/A N/A N/A 15% 16% 

Actual N/A N/A N/A N/A N/A N/A N/A No 

Data 

No 

Data 

Result 

X 

Not 

Met 

X 

Not 

Met 

According to the DHS FY 2009 Annual Performance Plan, not all 

oil spills are “disasters,” as defined by the Secretary's priorities for 

the homeland security enterprise. The Coast Guard has determined 

that this measure is unsupportable. According to the Coast Guard, 

this measure has too much variability in evaluating clean-up 

effectiveness for minor spills and does not have an effective 

mechanism for recording the result of oil spill clean-ups. The 

Coast Guard is developing a new Marine Environmental Response 

measure for implementation in the FY 2011 Annual Performance 

Plan. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 20
 
 

 

 

Appendix D 

Homeland Security Missions 

Homeland Security Missions 

The Performance Measures and Results for Appendix D were 

taken from the FY 2009 Annual Performance Report provided by 

the Coast Guard.4 

Total resource hours for homeland security missions peaked in 

FY 2004, and resource hours decreased 1.7% from FY 2008 to 

FY 2009. However, the FY 2009 level remains 115% above 

baseline levels, as depicted in the chart below. 

Homeland Security Resource Hours 

0 

100,000 

200,000 

300,000 

400,000 

500,000 

Baseline

200120022003200420052006200720082009 

Fiscal Year 

Resource Hours 

Performance Measures and Results. For FY 2009, the Coast 

Guard met 6 of 13 performance measures for its 5 homeland 

security missions, as compared with meeting 5 of 13 homeland 

security performance measures for FY 2008. 

The performance measures and results for homeland security 

mission are summarized below. 

Ports, Waterways, and Coastal Security 

The Ports, Waterways, and Coastal Security mission is to prevent 

and protect against maritime security threats, reduce America’s 

vulnerability to those threats, and minimize the adverse 

consequences of maritime security incidents that occur. 

4 Department of Homeland Security Annual Performance Report, Fiscal Years 2009–2011. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 21
 
 

 

 

 X 

Appendix D 

Homeland Security Missions 

Resource Hours. Resource hours for Ports, Waterways, and 

Coastal Security rapidly increased in response to the events of 

September 11, 2001. Of all Coast Guard missions, this mission 

uses the largest percentage (25%) of resource hours. Resource 

h

Baseline200120022003200420052006200720082009 

Fiscal Year 

Resource Hours 

ours for this mission have decreased by 31.7 % since FY 2004. 

PWCS Resource Hours 

300,000 

250,000 

200,000 

150,000 

100,000 

50,000 

0 

Performance Measures and Results. There are seven 

performance measures related to Ports, Waterways, and Coastal 

Security. Of the seven measures, four were met and three were not 

met in FY 2009. 

Ports, Waterways, and Coastal Security 

Performance Measure – Critical infrastructure required visit rate 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

FY 

2005 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

Target N/A N/A N/A N/A N/A N/A N/A 100% 100% 

Actual N/A N/A N/A N/A N/A N/A N/A 69% 74% 

Result 

X 

Not 

Met 

X 

Not 

Met 

According to the Coast Guard, the 100% target reflects the optimal 

level of Coast Guard performance to reduce risk with existing 

resources. The Coast Guard utilizes risk-informed decision 

making to prioritize a suite of Ports, Waterways and Coastal 

Security activities on a daily basis. This is a contributing factor to 

the performance results, as certain activities were given higher 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 22
 
 

 

 

 

 

 

 

 

 

 X 

Appendix D 

Homeland Security Missions 

priority over critical infrastructure visits during FY 2009 based on 

risk assessments and other operational demands placed on Coast 

Guard multi-mission assets. This performance measure will be 

retired in FY 2010. 

Perfor

resulti

fr

FY 

2001 

mance M

ng from 

Port

FY 

2002 

easure – 

Coast G

om enter

s, Water

FY 

2003 

Percen

uard ef

ing the 

ways, a

FY 

2004 

tage of r

forts to p

United S

FY 

2005 

nd Coastal S

isk reduction of 

revent a weapon

tates via maritime m

FY 

2006 

ecur

FY 

2007 

ity 

maritim

 of mass 

eans 

FY 

2008 

e security 

destruc

FY 

2009 

risk 

tion 

Target N/A N/A N/A N/A N/A N/A N/A 4% 3% 

Actual N/A N/A N/A N/A N/A N/A N/A 12% 17% 

Result 

√ 

Met 

√ 

Met 

According to the Coast Guard, the data that comprises this measure 

comes from an annual quantitative self-assessment of the Coast 

Guard activities, such as maritime domain awareness, security 

regimes, and response activities that reduce the risk associated with 

a weapon of mass destruction entering the United States via the 

maritime domain. This performance measure gauges the Coast 

Guard’s estimated reduction in risk from an analytically 

determined baseline level of risk. The FY 2009 results for the 

percentage of risk reduction of a weapon of mass destruction 

entering the United States via maritime means were better than in 

FY 2008. According to the Coast Guard, this improved 

performance is attributable to expanded maritime domain 

awareness capacity in the Automatic Information System, Long 

Range Identification and Tracking Systems, and Rescue 21. This 

performance is better than FY 2010 and FY 2011 risk reduction 

targets of 12% and 11.8% risk reduction, respectively. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 23
 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

X 

Appendix D 

Homeland Security Missions 

Perfor

FY 

2001 

mance M

Port

s

FY 

2002 

easure 

FY 

2003 

s, Water

– Percen

ubject t

FY 

2004 

ways, a

tage of 

o Coast 

FY 

2005 

nd Coastal S

reduction of all 

Guard influence 

FY 

2006 

ecur

FY 

2007 

ity 

maritime 

FY 

2008 

security r

FY 

2009 

isk 

Target N/A N/A N/A N/A Est. 14% 15% 15% 21% 

Actual N/A N/A N/A N/A 3.40% 17% 15% 20% 31% 

Result N/A 

√ 

Met 

√ 

Met 

√ 

Met 

√ 

Met 

The data that comprises this measure comes from an annual 

quantitative self-assessment of the Coast Guard’s activities, such 

as maritime domain awareness, security regimes, and response 

activities with regard to risk reduction. This performance measure 

gauges the reduction in risk from an analytically determined 

baseline level of risk. The FY 2009 results for percentage of 

reduction in the maritime terrorism risk over which the Coast 

Guard has influence were better than in FY 2008, partly due to 

improvements made to the model and data collection process. 

According to the Coast Guard, this improved performance is 

attributable to expanded maritime domain awareness capacity in 

the Automatic Information System, Long Range Identification and 

Tracking Systems, and Rescue 21. This performance is better than 

the FY 2010 and FY 2011 target of greater than 19%, for both 

years. 

Ports, Waterways, and Coastal Security 

Perf

res

ormance 

U

Measur

ulting from Coa

nited St

e –Perce

st Guard 

ates via 

efforts 

ntage of reducti

to preve

maritime 

on of ma

nt a terr

ritime s

orist ent

ecurity r

ering the 

isk 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

FY 

2005 

FY 

2006 

means 

FY 

2007 

FY 

2008 

FY 

2009 

Target N/A N/A N/A N/A N/A N/A N/A 21% 21% 

Actual N/A N/A N/A N/A N/A N/A N/A 29% 42% 

Result 

√ 

Met 

√ 

Met 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 24
 
 

 

 

 

 

Appendix D 

Homeland Security Missions 

The data that comprises this measure comes from an annual 

quantitative self-assessment of the Coast Guard’s activities, such 

as maritime domain awareness, security regimes, and response 

activities that reduce the risk associated from a terrorist entering 

the United States via the maritime domain. This performance 

measure gauges the Coast Guard’s estimated reduction in risk from 

an analytically determined baseline level of risk. The FY 2009 

results for percent risk reduction of a terrorist entering the United 

States via maritime means were better than in FY 2008. According 

to the Coast Guard, this improved performance is attributable to 

expanded Maritime Domain Awareness capacity in the Automatic 

Information System, Long Range Identification and Tracking 

Systems, and Rescue 21. This performance is better than the 

FY 2010 and FY 2011 targets of 29% and 27.9%, respectively. 

Perf

FY 

2001 

ormance 

Po

FY 

2002 

r

Measur

Creden

FY 

2003 

ts, Wate

e – Num

tial (TW

FY 

2004 

rways, a

ber of T

IC) spo

FY 

2005 

nd Coastal Se

ransportation W

t checks 

FY 

2006 

cu

FY 

2007 

rity 

FY 

2008 

orkers Identification 

FY 

2009 

Target 

N/A N/A N/A N/A N/A N/A N/A 30,000 94,500 

Actual 

N/A N/A N/A N/A N/A N/A N/A 0 39,150 

Result 

X 

Not 

Met 

X 

Not 

Met 

This performance measure counts the number of Transportation 

Workers Identification Credential spot checks made during the 

year. For FY 2009, the data reflects less than a full year of spot 

checks because of an extension in the national compliance date to 

April 15, 2009. This measure is being retired in FY 2010 and a 

new measure has been developed to better capture the program’s 

outcomes and activities. The new measure will capture the Annual 

Transportation Worker Identification Credential compliance rate. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 25
 
 

 

 

 

 

 

 

 

 

X 

 

not 

met 

 

 

 

 

 

 

 

 

X 

 

not 

met 

Appendix D 

Homeland Security Missions 

Perfo

FY 

2001 

rmance

Port

FY 

2002 

 Measur

FY 

2003 

s, Water

e – Risk 

FY 

2004 

ways, an

reducti

FY 

2005 

d Coastal S

on due t

FY 

2006 

ecur

o consequence m

FY 

2007 

ity 

gem

FY 

2008 

ana ent 

FY 

2009 

Target N/A N/A N/A N/A N/A N/A N/A 6% 6% 

Actual N/A N/A N/A N/A N/A N/A N/A 5% 9% 

Result 

X 

Not 

Met 

√ 

Met 

According to the Coast Guard, the data that comprises this measure 

comes from an annual quantitative self-assessment of the Coast 

Guard’s activities, such as maritime domain awareness, security 

regimes, and recovery operations, with regard to risk reduction. 

The performance measure gauges the Coast Guard’s estimated 

reduction in risk from an analytically determined baseline level of 

risk. The FY 2009 results for risk reduction due to consequence 

management were better than in FY 2008. According to the Coast 

Guard, this improved performance is attributable to expanded 

maritime domain awareness capacity in the Automatic Information 

System, Long Range Identification and Tracking Systems, and 

Rescue 21. The Coast Guard also attributes this improvement 

partly to improvements made to the model and data collection 

process. This performance is better than FY 2010 and FY 2011 

risk reduction targets of 4% and greater than 3%, respectively. 

Performance M

FY 

2001 

Port

easure 

FY 

2002 

FY 

2003 

s, Water

– HighFY 

2004 

ways, a

capacity

FY 

2005 

nd Coastal Se

 passenger vess

FY 

2006 

c

FY 

2007 

urity 

el requ

FY 

2008 

ired escort r

FY 

2009 

ate 

Target N/A N/A N/A N/A N/A N/A N/A 100% 100% 

Actual N/A N/A N/A N/A N/A N/A N/A 58% 53% 

Result 

X 

Not 

Met 

X 

Not 

Met 

According to the Coast Guard, the 100% target reflects the optimal 

level of Coast Guard performance to reduce risk with existing 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 26 
 

 

Appendix D 

Homeland Security Missions 

resources. The Coast Guard utilizes risk informed decision making 

to prioritize a suite of Ports, Waterways, and Coastal Security 

activities on a daily basis. This is a contributing factor to the 

performance results, as certain activities were given higher priority 

over high-capacity passenger vessel escorts during FY 2009 based 

on risk assessments and other operational demands placed on 

Coast Guard multi-mission assets. 

Drug Interdiction 

The Coast Guard’s Drug Interdiction mission is key to combating 

the flow of illegal drugs into the United States. The Coast Guard is 

the lead federal agency for maritime drug interdiction and shares 

responsibility for air interdiction with U.S. Customs and Border 

Protection. 

Resource Hours. As shown in the chart below, FY 2009 resource 

hours for the Drug Interdiction mission increased by 6.2% from 

FY 2008, but are 34% below baseline levels. 

Illegal Drug Interdiction Resource Hours 

140,000 

120,000 

100,000 

80,000 

60,000 

40,000 

20,000 

0 

Baseline200120022003200420052006200720082009 

Fiscal Year 

Resource Hours 

Performance Measures and Results. There was one new 

performance measure related to Drug Interdiction for FY 2009, and 

it was not met. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 27
 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Appendix D 

Homeland Security Missions 

Drug Interdiction 

Performance Measure – Removal rate for cocaine from noncommercial vessels 

in a maritime transit zone 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

FY 

2005 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

Target 15.7% 

Actual 15.0% 

Result 

X 

Not 

Met 

According to the Coast Guard, to improve its data, in 2009 it 

transitioned from the Interagency Assessment of Cocaine 

Movement to the Consolidated Counterdrug Database as the best 

source of cocaine movement estimates. The Consolidated 

Counterdrug Database uses quarterly, event-based estimates rather 

than annual production and consumption-based estimates used by 

the Interagency Assessment of Cocaine Movement. According to 

the Coast Guard, the deviation from the target was minor and there 

was no effect on overall program performance. The Coast Guard 

has several initiatives under way to increase interdiction capability 

and capacity. 

According to the Coast Guard, the second National Security Cutter 

(USCGC WAESCHE) and increased deployed days of Airborne 

Use of Force-capable helicopters will provide more capacity to 

help counter non-commercial maritime conveyances in FY 2010. 

The Coast Guard will also increase the size of the Law 

Enforcement Detachment program, which was responsible for 54% 

of the cocaine removed by the Coast Guard in FY 2009. Growing 

domestic partnerships and expanding bilateral agreements and 

international training programs are critical force-multipliers to 

counter the transnational drug threat. The Coast Guard will 

continue its international engagement through development and 

sustainment of these agreements, as well as the deployment of 

mobile training teams to support Theater Security Cooperation 

initiatives. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 28
 
 

 

 

 

Appendix D 

Homeland Security Missions 

Such engagements strengthen ties with source and transit zone 

partner nations5, increases their maritime law enforcement 

competency and capability, reduces the destabilizing effects of 

illicit drug smuggling, and enhances the movement of legitimate 

commerce within their territorial seas. According to the Coast 

Guard, this engagement includes the support of coordinated efforts 

to combat drug smuggling through joint and combined planning. 

Undocumented Migrant Interdiction 

The Undocumented Migrant Interdiction mission responsibilities 

consist of enforcing immigration laws at sea. To fulfill its 

responsibilities, the Coast Guard conducts patrols and coordinates 

with other federal agencies and foreign countries to interdict 

undocumented migrants at sea, denying them entry via maritime 

routes to the United States, its territories, and its possessions. 

Resource Hours. Resource hours increased slightly by 1.6% from 

FY 2008 to FY 2009, and remained more than 150% above 

baseline levels. 

Undocumented Migrant Interdiction Resource 

Hours 

120,000 

100,000 

80,000 

60,000 

40,000 

20,000 

0 

Baseline200120022003200420052006200720082009 

Fiscal Year 

Resource Hours 

Performance Measures and Results. There was one 

performance measure related to Migrant Interdiction for FY 2009, 

and it was met. 

5

 Transit zone partners are those partner nations located within the drug transit zone that cooperate and 

work closely with U.S. interdiction forces to deter and interdict drugs smuggled through the transit zone 

towards the U.S. These countries include those located within the transit zone corridors designated as 

Mexico–Central America and the Caribbean. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 29
 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Appendix D 

Homeland Security Missions 

Migrant Interdiction 

Performance Measure – Percentage of undocumented migrants who attempt to 

enter the United States via maritime routes “that are interdicted” 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

FY 

2005 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

Target N/A 65% 69.9% 

Actual 65.20% 62.70% 84.4% 

Result 

X 

Not 

Met 

√ 

Met 

According to the Coast Guard, in FY 2009 the percentage of 

undocumented migrants who attempted to enter the United States 

using maritime means that were interdicted was at a record high 

and resulted in an 84.4% interdiction rate. Based on historical 

results, including FY 2009, the program’s interdiction rate has 

averaged approximately 70%. The program set a target for 

FY 2010 of 74%. 

Defense Readiness 

The Defense Readiness mission provides essential capabilities to 

support national security and military strategies. Resource hours 

depict the execution of these defense missions, while the 

performance measures and results measure the Coast Guard’s 

readiness to perform the mission. 

Resource Hours. As shown in the chart below, resource hours for 

Defense Readiness reached their highest level in FY 2009 in 

comparison with the baseline. Resource hours increased by 31% 

from FY 2008 to FY 2009. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 30
 
 

 

 

 

 

 

 

 

 

 

 

 

 

Appendix D 

Homeland Security Missions 

Defense Readiness Resource Hours 

60,000 

50,000 

40,000 

30,000 

20,000 

10,000 

0 

Baseline200120022003200420052006200720082009 

Fiscal Year 

Resource Hours 

Performance Measures and Results. There were three 

performance measures related to Defense Readiness for FY 2009, 

and none of them were met. 

Perf

FY 

2001 

FY 

2002 

ormance 

D

FY 

2003 

Measur

efense

FY 

2004 

e – Defe

 Readines

FY 

2005 

nse rea

s 

FY 

2006 

diness of

FY 

2007 

 patrol bo

FY 

2008 

ats 

FY 

2009 

Target N/A N/A N/A N/A N/A N/A 100% 100% 

Actual N/A N/A N/A N/A N/A 100% 95% 94% 

Result 

X 

Not 

Met 

X 

Not 

Met 

According to the Coast Guard, it did not meet its target primarily 

because of asset availability of the aging patrol boat inventory. 

Patrol boat readiness is being addressed in part by Coast Guard 

acquisition programs to procure assets, such as the National 

Security Cutter, that will yield increased capability for Defense 

Readiness mission performance. This measure was retired in 

FY 2009 and will be replaced with one new performance measure, 

which is outlined at the end of this section. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 31
 
 

 

 

 

 

 

 

 

 

 

 

 

Defense Readiness 

Performance Measure – Percentage of time that Coast Guard assets included in 

the Combatant Commander Operational Plans are ready at a Status of 

Resources and Training System (SORTS) rating of 2 or better 

FY FY FY FY FY FY FY FY FY 

2001 2002 2003 2004 2005 2006 2007 2008 2009 

Target 100% 100% 100% 100% 100% 100% 100% 100% 100% 

Actual 67% 70% 78% 76% 69% 62% 51% 56% 44% 

X X X X X X X X X 

Not Not Not Not Not Not Not Not Not Result Met Met Met Met Met Met Met Met Met 

According to the Coast Guard, the low performance results are 

primarily attributable to personnel and training shortfalls between 

deployments for these reserve forces. Resolution of Port Security 

Unit personnel shortfalls along with unit training requirements 

should improve unit readiness. The Port Security Units have been 

placed under the command of the Deployable Operations Group, 

which should allow more focus on these reserve units to improve 

performance results. This measure was retired in 2009 and will be 

replaced with one new performance measure, which is outlined at 

the end of this section. 

Appendix D 

Homeland Security Missions 

Defense Readiness 

Performance Measure – Defense readiness of Port Security Units 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

FY 

2005 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

Target N/A N/A N/A N/A N/A N/A 100% 100% 

Actual N/A N/A N/A N/A N/A N/A 24.45% 19.8% 

Result 

X 

Not 

Met 

X 

Not 

Met 

According to the Coast Guard, Port Security Unit readiness 

remained below standards, largely because of personnel shortfalls 

and the demands of unit training requirements. Asset deficiencies 

are being addressed in part by Coast Guard acquisition programs, 

such as the National Security Cutter acquisition, which will yield 

essential system-wide capability improvements for maritime 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 32
 
 

 

Appendix D 

Homeland Security Missions 

homeland security priorities and sustain operational performance. 

This measure was retired in FY 2009. 

A new performance measure, “Defense Readiness Assessment of 

all Coast Guard high endurance cutters, patrol boats, and port 

security units,” will be instated in FY 2010 and will replace the 

three performance measures used in FY 2009. This measure 

gauges whether these Coast Guard assets meet the minimum 

standards established in the Status of Resources and Training 

System, to assess deployment readiness for Department of Defense 

operations. 

Other Law Enforcement 

Other Law Enforcement is responsible for preventing illegal foreign 

fishing vessel encroachment in the United States Exclusive 

Economic Zone.6

 The Coast Guard focuses on three high-threat 

areas for illegal foreign incursions: the United States–Mexican 

border in the Gulf of Mexico, the United States–Russian Maritime 

Boundary Line in the Bering Sea, and the eight noncontiguous 

Exclusive Economic Zones in the Western/Central Pacific. 

Resource Hours. As shown in the chart below, the resource hours 

for the Other Law Enforcement mission were below baseline in 

every year before FY 2007. After increasing in FY 2007, resource 

hours decreased 19.2% in FY 2009 to below the baseline level. 

6

 An Exclusive Economic Zone generally extends to a distance of 200 nautical miles (370 km) out from its 

coast. Within the Exclusive Economic Zone, the coastal state has sovereign rights for the purpose of 

exploring, exploiting, conserving, and managing natural resources, both living and nonliving, of the seabed, 

subsoil, and the subjacent waters; and with regard to other activities, for the economic exploitation and 

exploration of the zone. The U.S. has the largest Exclusive Economic Zone in the world, encompassing 

more than 2.25 million square miles and 90,000 miles of coast line. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 33
 
 

 

 

 

 

 

 

 

 

Appendix D 

Homeland Security Missions 

Other Law Enforcement Resource Hours 

10,000 

8,000 

6,000 

4,000 

2,000 

0 

Baseline200120022003200420052006200720082009 

Fiscal Year 

Resource Hours 

Performance Measures and Results. There was one 

performance measure related to Other Law Enforcement for 

FY 2009 and it was met. 

Other Law Enforcement 

Performance Measure – Number of incursions into the 

U.S. Exclusive Economic Zone 

FY 

2001 

FY 

2002 

FY 

2003 

FY 

2004 

FY 

2005 

FY 

2006 

FY 

2007 

FY 

2008 

FY 

2009 

Target <202 <202 <202 <202 <200 <199 <199 <195 <195 

Actual 212 250 152 247 171 164 119 81 112 

Result 

X 

Not 

Met 

X 

Not 

Met 

√ 

Met 

X 

Not 

Met 

√ 

Met 

√ 

Met 

√ 

Met 

√ 

Met 

√ 

Met 

Based on historical data, anticipated increased success in detecting 

United States Exclusive Economic Zone incursions along the 

United States–Mexico maritime border in the Gulf of Mexico, and 

an anticipated increase in illegal encroachments into the Exclusive 

Economic Zone, the program plans to maintain its FY 2010 target 

of fewer than 190 incursions as an aggressive but achievable 

target. 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 34
 
 

Appendix E 

Major Contributors to This Report 

Brooke Bebow, Director 

Lorinda Couch, Project Lead 

Nga Dang, Program Analyst 

James Bess, Referencer 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 35
 
 

Appendix F 

Report Distribution 

Department of Homeland Security 

Secretary 

Deputy Secretary 

Chief of Staff 

Deputy Chief of Staff 

General Counsel 

Executive Secretariat 

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 

USCG Audit Liaison 

Office of Management and Budget 

Chief, Homeland Security Branch 

DHS OIG Budget Examiner 

Congress 

Congressional Oversight and Appropriations Committees, as 

appropriate 

Annual Review of the United States Coast Guard’s Mission Performance (FY 2009) 

Page 36
 
ADDITIONAL INFORMATION AND COPIES 

To obtain additional copies of this report, please call the Office of Inspector General (OIG) at (202) 254-4100, 

fax your request to (202) 254-4305, or visit the OIG web site at www.dhs.gov/oig. 

OIG HOTLINE 

To report alleged fraud, waste, abuse or mismanagement, or any other kind of criminal or noncriminal 

misconduct relative to department programs or operations: 

• Call our Hotline at 1-800-323-8603; 

• Fax the complaint directly to us at (202) 254-4292; 

• Email us at DHSOIGHOTLINE@dhs.gov; or 

• Write to us at: 

DHS Office of Inspector General/MAIL STOP 2600, 

Attention: Office of Investigations - Hotline, 

245 Murray Drive, SW, Building 410, 

Washington, DC 20528. 

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