The Coast Guard has nine districts that report to  the Area Commands. Coast Guard Management Tools for Aligning Personnel to Meet Mission Needs

The Coast Guard has also developed management tools to help it align  its personnel with its missions. The Coast Guard’s Process for Allocating Assets Has Limitations that Constrain Its Strategic Effectiveness

		Coast Guard Headquarters’ Strategic Planning Directions Reflect Asset Performance Capacities Rather Than Achievable Goals

Coast Guard headquarters does not provide field units with strategic,  realistic goals for allocating assets, by mission. As  a result, as shown in figure 4, the asset resource hours allocated in the  Strategic Planning Directions have consistently exceeded the asset  resource hours actually used by Coast Guard field units during fiscal  years 2010 through 2015. Until the Coast Guard implements CG-LIMS or another system for asset  allocation, using current and accessible information from field units, such  as Operational Performance Assessment Reports and Planning  Assessments, to inform asset hour allocations in the annual Strategic  Planning Directions—in addition to the asset performance capacities  currently used—will better ensure that the Coast Guard is effectively  communicating strategic intent to its field units, realistically identifying any  operational limitations of its assets, and making more informed asset  resource hour allocation decisions that are aligned with its strategic goals. The Coast Guard uses the Standard  Operational Planning Process (SOPP) to allocate asset resource hours to  its field units for meeting their missions, but this planning process  allocates maximum asset resource hour capacities and does not also  include more realistic operational targets. However, by incorporating data  that field units provide to Coast Guard headquarters on assets’  performance—such as Operational Performance Assessment Reports  and Planning Assessments—to inform asset hour allocations in  headquarters’ annual Strategic Planning Directions, the Coast Guard  would be better positioned to ensure it is identifying any operational  limitations of its assets, making more informed asset resource hour  allocation decisions, and more effectively communicating strategic intent  to its field units. The Coast Guard has developed management tools, such as manpower  requirements determinations, to help it strategically align its personnel  with its missions, but Coast Guard officials state they cannot meet the  demand for these analyses and have not established a process to  prioritize them because they do not have sufficient staff and lack a system  to help analyze the MRA workload. Because the Coast Guard does not  have a systematic process for identifying and prioritizing the most  important manpower requirements analyses to complete, it does not have  reasonable assurance that the highest priority missions are fully  supported with the appropriate number of staff possessing the requisite  mix of skills and abilities. Further, with regard to the third recommendation, the Department stated  that the Coast Guard would be prioritizing manpower requirements  analyses of unstudied units and incorporating all available manpower  data into future personnel decisions, as resources permit, by October  2016.
Why GAO Did This Study

Following the terrorist attacks of September 11, 2001, the Coast Guard has been charged with expanded missions. Further, constrained budgets in recent years have underscored the importance of strategically allocating its assets and personnel to meet these missions.
GAO was asked to review the Coast Guard's resource allocation process. This report addresses the extent to which the Coast Guard: (1) employs an effective process to strategically allocate assets to meet its missions, and (2) has determined workforce requirements and addressed identified personnel needs.
GAO reviewed Coast Guard planning and workforce requirements documents and asset performance data for fiscal years 2010 through 2015. GAO also discussed the planning process and personnel needs with Coast Guard officials at headquarters; as well as at the two Area and nine District Commands.

What GAO Found

The Coast Guard developed and uses the Standard Operational Planning Process to annually allocate asset (aircraft and vessels) resource hours to field units for meeting missions, but the headquarters' Strategic Planning Directions used in this process do not provide field units with strategic, realistic goals. Rather, headquarters' Strategic Planning Directions allocate maximum resource hour capacities for each asset—such as 700 hours per Jayhawk helicopter per year. As shown below, these asset allocations have consistently exceeded actual asset resource hours used by field units. By better incorporating data on assets' actual use that field units provide to Coast Guard headquarters—such as Operational Performance Assessment Reports —to inform asset allocation goals in its Strategic Planning Directions, the Coast Guard would better ensure that it effectively communicates strategic intent to its field units and makes more informed asset allocation decisions that are aligned with its strategic goals.
The Coast Guard has developed management tools, such as manpower requirements analyses, to help it determine workforce requirements and help align its personnel with its missions. However, a Coast Guard official responsible for these analyses stated that the Coast Guard cannot meet the demand for these analyses because it does not have sufficient staff and a system to help analyze and prioritize the manpower requirements analyses that need to be completed. Without a systematic process for prioritizing the most important manpower requirements analyses to complete, consistent with leading program management practices, the Coast Guard does not have reasonable assurance that the highest priority missions are fully supported with the appropriate number of staff possessing the requisite mix of skills and abilities.

What GAO Recommends

GAO is making three recommendations to the Coast Guard, including to incorporate field unit input to inform its allocation decisions and to develop a systematic process that prioritizes the most critical manpower requirements analyses to complete. DHS concurred with the recommendations and stated it is taking actions, such as including field unit input into its planning process and prioritizing manpower requirements analyses of unstudied units, as resources permit.