Coast Guard: Opportunities Exist to Strengthen Foreign Port Security Assessment Program
Fast Facts
Terrorists and criminals can target the U.S. supply chain through security vulnerabilities in foreign ports. The Coast Guard's International Port Security Program aims to assess and strengthen the security of these ports.
We reviewed the program, which resumed full operations in May 2021 after being impacted by the pandemic. We found that the Coast Guard could:
More consistently assess security in countries that don't allow port visits
Share assessment information with other agencies working on supply chain security
Coordinate with the State Department on strengthening foreign port security
Our recommendations are to address these issues.
Highlights
What GAO Found
Under its International Port Security Program, the Coast Guard has assessed the security of foreign maritime ports. Since 2014, the Coast Guard generally met its triennial foreign port security assessment requirement before the COVID-19 pandemic led it to suspend its country assessment visits during fiscal years 2020 and 2021. The program resumed its visits in May 2021.
Coast Guard Foreign Port Security Assessments, Fiscal Years 2014 through 2022
The Coast Guard has faced a longstanding challenge in accessing some countries' ports to conduct assessments. In recent years, the service began using alternative approaches—such as using Coast Guard intelligence—to make determinations for some countries it has been unable to visit. However, the program has not consistently done so. By documenting procedures for using alternative approaches, the Coast Guard could better ensure that personnel consistently implement this practice.
The program documents the results of its foreign port assessments in various reports. However, as of September 2022, it had not disseminated its most comprehensive report (known as its annual report) to Customs and Border Protection (CBP) and other federal agencies that may have a vested interest in receiving it. For example, it had not shared them with CBP, which is required to assess the information in its supply chain security efforts. By sharing its annual reports with CBP and other federal agencies, the Coast Guard could better support its "whole of government” approach for securing the U.S. supply chain.
Like the Coast Guard, the State Department provides capacity building to help its maritime trading partners strengthen their port security. However, the two agencies have not regularly coordinated planning and implementation in these efforts. By establishing a process for doing so, they can better ensure that they are complementing, rather than potentially overlapping, their efforts.
Why GAO Did This Study
The U.S. Coast Guard is a multi-mission maritime military service within the Department of Homeland Security responsible for securing the U.S. maritime transportation system.
The William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021 includes a provision for GAO to review the Coast Guard's International Port Security Program. This report addresses, among other things, the extent the Coast Guard: (1) assessed foreign port security from fiscal years 2014 through 2022, and (2) shared its foreign port assessments and coordinated capacity building efforts with relevant federal stakeholders.
GAO reviewed relevant law and federal guidance, analyzed Coast Guard and State Department documentation and data, and interviewed cognizant officials from these agencies and CBP.
Recommendations
GAO is making six recommendations, including that the Coast Guard document its procedures for using alternative approaches to make foreign port security assessment determinations, share its annual assessment reports with CBP and other federal agencies it identifies as having a vested interest, and establish a process with the State Department for coordinating foreign port security capacity building.
The Department of Homeland Security and State Department concurred with the recommendations.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| United States Coast Guard | The Commandant of the Coast Guard should ensure the International Port Security Program documents procedures describing when and how it should use alternative approaches to issue a foreign port security assessment determination. (Recommendation 1) |
In April 2023, we found that while the Coast Guard had used alternative approaches to determine whether a country is meeting the international port security standards, it did not have documented procedures for doing so. We recommended that the Coast Guard should ensure the international port security program documents procedures describing when and how it should use alternative approaches to issue a foreign port security assessment determination. The Coast Guard concurred with the recommendation. In April 2024, the Coast Guard documented a new procedure to conduct alternative methods for foreign port assessments. The procedure describes steps the component shall do when conducting these assessments, such as to the extent possible identify port facility information, facility stakeholders, access control, landside and waterside surveillance and monitoring, condition of security perimeter and security equipment, cargo security measures, any know security incidents, and stowaway incidents. Further, the procedure identifies the circumstance when the Coast Guard should conduct such assessments. Specifically, the procedure states that alternative assessments may be conducted when a country's ports are not accessible for in-person assessments. By documenting procedures for when and how the program should use alternative approaches to meet its triennial assessment requirements, the Coast Guard could better ensure that program personnel consistently implement the practice.
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| United States Coast Guard | The Commandant of the Coast Guard should ensure the service disseminates the International Port Security Program's annual foreign port assessment reports to CBP. (Recommendation 2) |
In April 2023, we found that the Coast Guard's International Port Security Program had not shared its most comprehensive report (known as its annual report) with U.S. Customs and Border Protection (CBP). The program's annual reports serve as the primary source of information summarizing the program's most recent findings for its trading partners and countries with ports of interest to the United States. CBP has a vested interest in receiving the annual report. Notably, federal law requires CBP to assess the program's foreign port assessment findings, among other factors, when making decisions regarding designation of foreign seaports to participate in its Container Security Initiative program. We recommended the Coast Guard share the annual report with CBP. In response, in June 2023, the Coast Guard provided a memorandum indicating that it had disseminated the annual report to CBP. Further, in June 2023, the Coast Guard established procedures to ensure it provided disseminated future annual reports to CBP. Specifically, Coast Guard's Annual Report Distribution guidance lists CBP as having a vested interest in receiving the annual report. By disseminating its annual reports to CBP, the program can better support CBP to assess, as directed, the Coast Guard's foreign port assessments in its Container Security Initiative port selections.
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| United States Coast Guard | The Commandant of the Coast Guard should ensure the service determines which federal agencies have a vested interest in receiving the International Port Security Program's annual foreign port security assessment reports and disseminate its reports to them. (Recommendation 3) |
In April 2023, we found that the Coast Guard's International Port Security Program had not shared its most comprehensive report (known as its annual report) with U.S. Customs and Border Protection (CBP) and other federal agencies it identified as having a vested interest in receiving it. We recommended that the Coast Guard ensure it determines which federal agencies have a vested interest in receiving the report and disseminate its reports to them. In response, in June 2023, the Coast Guard documented its determination that other departments and agencies had a vested interest in receiving the report, such as the Transportation Security Administration and Department of Defense. The Coast Guard subsequently sent these agencies its 2023 annual report. By determining whether other federal agencies beyond CBP and State could benefit from receiving the program's annual reports---and disseminating the reports to them---the Coast Guard can more fully leverage its foreign port assessments to support its policy for a whole of government approach for securing the U.S. supply chain.
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| United States Coast Guard | The Commandant of the Coast Guard should ensure the International Port Security Program establishes a process with cognizant Department of State offices to coordinate planning on foreign maritime port security capacity building. (Recommendation 4) |
In April 2023, we found that while the Coast Guard and the State Department both provide capacity building to countries to support maritime antiterrorism efforts, the two agencies had not regularly coordinated their efforts. We recommended the Coast Guard establish a process with cognizant State Department offices to coordinate planning on foreign maritime port security capacity building. The Coast Guard concurred. In December 2023, it established communication protocols to increase collaboration with the State Department on port security capacity building with foreign trade partners. For example, according a 2023 Coast Guard memorandum, the Coast Guard and State Department's Office of Counter Terrorism agreed to meet at least annually to review their security assistance plans. Further, Coast Guard memorialized this collaboration in its port security program instructions. By establishing this process, the Coast Guard can better ensure that its foreign port capacity building activities are complementing, rather than potentially overlapping with the State Department's similar capacity building activities.
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| Department of State | The Secretary of State should ensure its cognizant offices establish a process to coordinate planning with each other and with the Coast Guard International Port Security Program to implement maritime port security related capacity building. (Recommendation 5) |
In April 2023, we found that while the Coast Guard and the State Department both provide capacity building to countries to support maritime antiterrorism efforts, they had not regularly coordinated their efforts. We recommended that the State Department should ensure its cognizant offices establish a process to coordinate planning with each other and with the Coast Guard International Port Security Program to implement maritime port security related capacity building. The State Department concurred. In December 2023, it coordinated on and agreed to communication protocols to increase collaboration with the Coast Guard on port security capacity building with foreign trade partners. For example, according a 2023 memorandum between Coast Guard and State, the State Department's Bureau of Counter Terrorism agreed to meet at least annually with the Coast Guard's International Port Security Program to review their security assistance implementation plans. The State department also agreed to exchange information with the program, and internally, as needed, with key state department offices, including with its Bureau of Diplomatic Security's Anti-terrorism Assistance program -which develops and implements capacity-building activities for foreign governments and their ports. By establishing a process for coordinating their capacity building planning and implementation, the State Department and Coast Guard can each better ensure that they are complementing, rather than potentially overlapping their efforts.
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| United States Coast Guard | The Commandant of the Coast Guard should ensure the International Port Security Program incorporates performance measures that fully address the program's two key objectives of meeting its triennial assessment mandate and assessing risk to maritime security by assessing security at all visited ports. (Recommendation 6) |
The Coast Guard concurred with the recommendation and stated that it would develop appropriate internal performance measures and a mechanism to monitor their progress in meeting the measures. As of August 2024, officials stated the Coast Guard's international port security program's efforts to develop performance measures are underway, but more work needs to be done. Specifically, Coast Guard officials stated that they developed initial performance measures and took the first steps to develop an information system to monitor progress in meeting their performance measures. They stated that their intent to develop more advanced internal performance measures and complete the monitoring system by the end of September 2025. We continue to monitor the Coast Guard's progress on implementing this recommendation.
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