Coast Guard Oversight: Actions Needed to Strengthen Collaboration on Investigations
Fast Facts
The Coast Guard Investigative Service and Department of Homeland Security Office of Inspector General have overlapping authorities to investigate certain complaints involving the Coast Guard.
The agencies could improve collaboration on Coast Guard complaints. Clarifying roles and responsibilities for referring complaints and establishing regular communication to deconflict investigative activities, for example, could help the agencies prevent duplicative investigations and use resources effectively and appropriately.
Our recommendations address these issues.
A hand reaching out to a screen that says "investigation" and has several icons, including a magnifying glass
Highlights
What GAO Found
The Coast Guard Investigative Service (CGIS) and the Department of Homeland Security (DHS) Office of Inspector General (OIG) have some overlapping authorities to investigate complaints regarding the Coast Guard. From October 2018 through May 2024, CGIS investigated at least 4,951 such complaints, and DHS OIG investigated 70 such complaints. CGIS is an independent investigative body within the Coast Guard that primarily conducts criminal investigations related to Coast Guard personnel, assets, and operations. DHS OIG investigates complaints of alleged criminal, civil, and administrative misconduct involving Coast Guard employees, contractors, and programs, among others.
CGIS and DHS OIG identified the need to prevent duplicative investigations, but the two agencies have not fully followed five out of six selected leading practices for collaboration. For example, the agencies have different perspectives on which complaints CGIS should refer to DHS OIG. Fully following these five practices to improve collaboration, consistent with their statutory responsibilities, would better position the agencies to deconflict their investigative activities and ensure effective and appropriate allocation of resources.
Extent of Coast Guard Investigative Service (CGIS) and Department of Homeland Security (DHS) Office of Inspector General (OIG) Collaboration
Why GAO Did This Study
CGIS and DHS OIG play critical roles in overseeing the Coast Guard—a multi-mission maritime military service within DHS that employs more than 51,000 personnel.
The James M. Inhofe National Defense Authorization Act for Fiscal Year 2023 includes a provision for GAO to assess the oversight of Coast Guard activities. This report examines the extent that (1) DHS OIG has processes in place to ensure timely and effective oversight of Coast Guard activities and (2) CGIS and DHS OIG coordinate on complaints, among other things.
GAO evaluated CGIS’s and DHS OIG’s processes for referring Coast Guard complaints to one another against GAO-identified leading practices for collaboration. GAO analyzed CGIS and DHS OIG investigative data, reviewed the 2003 memorandum of understanding and CGIS standard operating procedures, and interviewed CGIS and DHS OIG officials.
Recommendations
GAO is making four recommendations to the Coast Guard and three recommendations to DHS OIG to, among other things, improve collaboration between CGIS and the OIG. DHS concurred with each of the four recommendations to the Coast Guard. DHS OIG neither agreed nor disagreed with the three recommendations and expressed concern with several aspects of the report. GAO maintains that its findings are accurate and its recommendations remain warranted.
Recommendations for Executive Action
| Agency Affected | Recommendation | Status |
|---|---|---|
| DHS Office of Inspector General | The DHS Inspector General should assess the extent to which data access affects oversight project time frames and take action in response to the findings from the assessment. (Recommendation 1) |
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| United States Coast Guard | The Commandant of the Coast Guard should ensure the CGIS Director develops and implements a process to regularly assess the extent to which CGIS is adhering to established policies for referring complaints to DHS OIG. This process should include identifying corrective action, as needed, based on the results of such assessments. (Recommendation 2) |
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| United States Coast Guard | The Commandant of the Coast Guard should ensure the CGIS Director establishes regular communication with DHS OIG for deconflicting investigative activities. (Recommendation 3) |
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| DHS Office of Inspector General | The DHS Inspector General should establish regular communication with CGIS for deconflicting investigative activities. (Recommendation 4) |
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| United States Coast Guard | The Commandant of the Coast Guard should ensure the CGIS Director clarifies roles and responsibilities for referring Coast Guard complaints and updates policies and procedures (such as the 2003 memorandum of understanding or another policy document), consistent with those of DHS OIG, accordingly. (Recommendation 5) |
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| DHS Office of Inspector General | The DHS Inspector General should clarify roles and responsibilities for referring Coast Guard complaints and update policies and procedures (such as the 2003 memorandum of understanding or another policy document), consistent with those of CGIS, accordingly. (Recommendation 6) |
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
|
| United States Coast Guard | The Commandant of the Coast Guard should ensure the CGIS Director develops and implements a process to ensure CGIS adheres to established policies for reporting investigative information to DHS OIG. (Recommendation 7) |
When we confirm what actions the agency has taken in response to this recommendation, we will provide updated information.
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