	DHS Has Made Substantial Progress in Improving Maritime Security

Our work has shown that DHS and its component agencies—particularly  the Coast Guard and CBP—have made substantial progress in  implementing various programs that, collectively, have improved maritime  security. In general, our maritime security-related work has addressed  four areas: (1) national and port-level security planning, (2) port facility  and vessel security, (3) maritime domain awareness and information  sharing, and (4) international supply chain security. Developing port-level security plans: The Coast Guard has  developed Area Maritime Security Plans (AMSP) around the country  to enhance the security of domestic ports. These security plan reviews and inspections have
Conducting vessel crew screenings: To enhance the security of  port facilities, both CBP and the Coast Guard receive and screen  advance information on commercial vessels and their crew before  they arrive at U.S. ports and assess risks based on this information. Maritime Domain Awareness and Information Sharing

DHS has worked with its component agencies to increase maritime  domain awareness and taken steps to (1) conduct risk assessments, (2)  establish area security committees, (3) implement a vessel tracking  system, and (4) better share information with other law enforcement  agencies through interagency operations centers. In addition, in July 2011, CBP  developed the Small Vessel Reporting System to better track small  boats arriving from foreign locations and deployed this system to eight  field locations. International Supply Chain Security

DHS and its component agencies have implemented a number of  programs and activities intended to improve the security of the  international supply chain, including: enhancing cargo screening and  inspections, deploying new cargo screening technologies to better detect  contraband, implementing programs to inspect U.S.-bound cargo at  foreign ports, partnering with the trade industry, and engaging with  international partners. Challenges Have Hindered Implementation of Maritime Security Programs

DHS and its component agencies have encountered a number of  challenges in implementing programs and activities to enhance maritime  security since the enactment of MTSA in 2002. In general, these  challenges are related to (1) program management and implementation;  (2) partnerships and collaboration; (3) resources, funding, and  sustainability; and (4) performance measures. However, as we reported in July  2003, CBP initially did not have a strategic plan or workforce plan for  this security program, which are essential to long-term success and  accountability. Inadequate acquisitions management: DHS has also experienced  challenges managing some of its acquisition programs. Budget and funding constraints: Budget and funding decisions also  affect the implementation of maritime security programs. For example,  within the constrained fiscal environment that the federal government  is operating, the Coast Guard has had to prioritize its activities and  Coast Guard data indicate that some units are not able to meet self- imposed standards related to certain security activities—including  boarding and escorting vessels. For example, we reported in November 2011  that the Coast Guard developed a measure to report its performance  in reducing maritime risk, but faced challenges using this measure to  inform decisions. The Department of Homeland Security (DHS) is the lead federal agency  responsible for implementing MTSA requirements and related maritime  security programs. DHS relies on a number of its component agencies  that have responsibilities related to maritime security, including the  following:
U.S. Coast Guard: The Coast Guard has primary responsibility for  ensuring the safety and security of U.S. maritime interests and leading  homeland security efforts in the maritime domain. This appendix is based primarily on GAO reports and testimonies issued  from August 2002 through July 2012 related to maritime, port, vessel, and  cargo security efforts of the federal government, and other aspects of  implementing MTSA-related security requirements. The appendix also  includes selected updates—conducted in August 2012—to the  information provided in these previously-issued products on the actions  DHS and its component agencies have taken to address  recommendations made in these products and the obligations for key  programs and activities through May 2012. National Strategy for Maritime Security

We were unable to obtain funding information for this strategy. Area Maritime Security Plans

		Area Maritime Security Plans (AMSPs) are developed by the Coast Guard with input from applicable governmental and private entities and these plans serve as the primary means to identify and coordinate Coast Guard procedures related to prevention, protection, and security response. Our work also found areas for improvement as well. For example, in  February 2008 we made recommendations to help ensure effective  implementation of MTSA-required facility inspections. GAO-10-400. Such activities fall under the Coast Guard’s ports,  waterways and coastal security mission. DHS  generally concurred with the recommendation and is in the process of  implementing it. Supply Chain Security: Examinations of High-Risk Cargo at Foreign Seaports  Have Increased, but Improved Data Collection and Performance Measures Are  Needed.
Why GAO Did This Study

Ports, waterways, and vessels handle billions of dollars in cargo annually and an attack on this maritime transportation system could impact the global economy. November 2012 marks the 10-year anniversary of MTSA, which required a wide range of security improvements. DHS is the lead federal department responsible for implementing MTSA and it relies on its component agencies, such as the Coast Guard and CBP, to help implement the act. The Coast Guard is responsible for U.S. maritime security interests and CBP is responsible for screening arriving vessel crew and cargo. This testimony summarizes GAO's work on implementation of MTSA requirements over the last decade and addresses (1) progress the federal government has made in improving maritime security and (2) key challenges that DHS and its component agencies have encountered in implementing maritime security-related programs. GAO was unable to identify all related federal spending, but estimated funding for certain programs. For example, from 2004 through May 2012, CBP obligated over $390 million to fund its program to partner with companies to review the security of their supply chains. This statement is based on GAO products issued from August 2002 through July 2012, as well as updates on the status of recommendations made and budget data obtained in August 2012.

What GAO Found

GAO's work has shown that the Department of Homeland Security (DHS), through its component agencies, particularly the Coast Guard and U.S. Customs and Border Protection (CBP), have made substantial progress in implementing various programs that, collectively, have improved maritime security. In general, GAO's work on maritime security programs falls under four areas: (1) security planning, (2) port facility and vessel security, (3) maritime domain awareness and information sharing, and (4) international supply chain security. DHS has, among other things, developed various maritime security programs and strategies and has implemented and exercised security plans. For example, the Coast Guard has developed Area Maritime Security Plans around the country to identify and coordinate Coast Guard procedures related to prevention, protection, and security response at domestic ports. In addition, to enhance the security of U.S. ports, the Coast Guard has implemented programs to conduct annual inspections of port facilities. To enhance the security of vessels, both CBP and the Coast Guard receive and screen advance information on commercial vessels and their crews before they arrive at U.S. ports and prepare risk assessments based on this information. Further, DHS and its component agencies have increased maritime domain awareness and have taken steps to better share information by improving risk management and implementing a vessel tracking system, among other things. For example, in July 2011, CBP developed the Small Vessel Reporting System to better track small boats arriving from foreign locations and deployed this system to eight field locations. DHS and its component agencies have also taken actions to improve international supply chain security, including developing new technologies to detect contraband, implementing programs to inspect U.S.-bound cargo at foreign ports, and establishing partnerships with the trade industry community and foreign governments.
Although DHS and its components have made substantial progress, they have encountered challenges in implementing initiatives and programs to enhance maritime security since the enactment of the Maritime Security Transportation Act (MTSA) in 2002 in the areas of: (1) program management and implementation; (2) partnerships and collaboration; (3) resources, funding, and sustainability; and (4) performance measures. For example, CBP designed and implemented an initiative that placed CBP staff at foreign seaports to work with host nation customs officials to identify high-risk, U.S.-bound container cargo, but CBP initially did not have a strategic or workforce plan to guide its efforts. Further, the Coast Guard faced collaboration challenges when developing and implementing its information management system for enhancing information sharing with key federal, state, and local law enforcement agencies because it did not systematically solicit input from these stakeholders. Budget and funding decisions have also affected the implementation of maritime security programs. For example, Coast Guard data indicate that some of its units are not able to meet self-imposed standards related to certain security activities--including boarding and escorting vessels. In addition, DHS has experienced challenges in developing effective performance measures for assessing the progress of its maritime security programs. For example, the Coast Guard developed a performance measure to assess its performance in reducing maritime risk, but has faced challenges using this measure to inform decisions.

What GAO Recommends

GAO has made recommendations to DHS in prior reports and testimonies to strengthen its maritime security programs. DHS generally concurred and has implemented or is in the process of implementing them.