GAO-21-539, COVID-19: The Coast Guard Has Addressed Challenges, but Could Improve Telework Documentation and Personnel Data

Summary

GAO-21-539, a U.S. Government Accountability Office report to congressional addressees dated July 16, 2021, on the U.S. Coast Guard's response to the COVID-19 pandemic. It examines the Coast Guard's actions to reduce personnel exposure, the challenges it faced operating in a pandemic environment, and whether it maintained valid telework documentation and accurate COVID-19 data on personnel. GAO reports that from December 2020 through April 2021 the Coast Guard administered vaccines to 35,439 (about 64 percent) of its personnel. It finds that the Coast Guard lacks controls over telework documentation and that its personnel data are not reliable. GAO recommends valid telework agreements, at least annual review of those agreements and weekly audits of personnel status, and states that the Department of Homeland Security concurred.

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Full text

United States Government Accountability Office

Report to Congressional Addressees

July 2021

COVID-19
The Coast Guard Has
Addressed
Challenges, but Could
Improve Telework
Documentation and
Personnel Data

GAO-21-539


July 2021

COVID-19

Highlights of GAO-21-539, a report to
congressional addressees

The Coast Guard Has Addressed Challenges, but
Could Improve Telework Documentation and
Personnel Data

Why GAO Did This Study

What GAO Found

The Coast Guard is a multi-mission
maritime military service responsible
for maritime safety, security, and
environmental protection, among other
things. During the pandemic, the Coast
Guard has faced challenges in
balancing the need to safeguard its
personnel with its responsibility to
continue missions and operations.

The U.S. Coast Guard took steps to safeguard its personnel during the COVID19 pandemic by updating its policies and guidance, expanding telework, and
administering COVID-19 vaccines, among other efforts. For example, the Coast
Guard formed a COVID-19 Crisis Action Team comprising targeted working
groups to address COVID-19-related issues and develop new policies and
guidance. Further, from December 2020 through April 2021, the Coast Guard
administered vaccines to 35,439 (about 64 percent) of its personnel.

In response to a CARES Act mandate
and congressional requests, GAO
reviewed the Coast Guard’s efforts to
respond to the pandemic. This report
examines (1) the Coast Guard’s
actions to reduce the risk of COVID-19
exposure for its personnel; (2)
challenges the Coast Guard faced in
operating in a pandemic environment
and how it addressed them; and (3) the
extent to which the Coast Guard has
collected and maintained valid and
current telework documentation, as
well as accurate and complete COVID19 data on its personnel.
GAO reviewed Coast Guard COVID-19
policies and guidance, interviewed
officials from headquarters and a nonprobability sample of nine Coast Guard
sectors, and analyzed data on the
status of Coast Guard personnel
during the COVID-19 pandemic.

What GAO Recommends
GAO recommends the Coast Guard
ensure that (1) personnel have valid
telework agreements in place, (2)
these agreements are reviewed at
least annually, and (3) weekly audits
are conducted to verify the status of
personnel. The Department of
Homeland Security concurred with
these recommendations.

View GAO-21-539. For more information,
contact Heather MacLeod at (202) 512-8777
or macleodh@gao.gov.

Selected U.S. Coast Guard COVID-19 Crisis Action Team Working Groups

The Coast Guard also took actions to address a variety of challenges posed by
the COVID-19 pandemic. For example, officials from all nine sectors (i.e.,
operational field units) we interviewed identified challenges with information
technology system functionality when the Coast Guard expanded telework in
March 2020. This included insufficient network bandwidth and a lack of laptop
computers. To address these challenges, the Coast Guard increased network
bandwidth to allow more simultaneous users and provided additional laptops to
field offices. In addition, the Coast Guard faced other challenges during the
pandemic, including ensuring personnel continued to receive necessary training
and on-the-job experience.
GAO found that the Coast Guard lacks controls over telework documentation and
its personnel data are not reliable. First, the Coast Guard expanded its telework
program during the pandemic, but lacks controls to ensure that teleworking
personnel have valid and current telework agreements in place. Officials told us
that high levels of participation in its telework program may continue following the
pandemic. Thus, ensuring that all personnel who telework have valid and current
telework agreements in place will provide the Coast Guard with the information
needed to make decisions that require telework data, such as for space planning
or technology investments. Second, the Coast Guard modified its personnel
system to allow personnel to self-report and update their COVID-19 and telework
statuses. GAO analyzed these data from April 2020 through April 2021 and found
they were not reliable due to missing data and concerns about accuracy. In
particular, Coast Guard officials could not provide assurance or evidence that
weekly audits purposefully designed to verify the accuracy and completeness of
these data were being conducted. Without such assurance, the Coast Guard
may be relying on inaccurate and incomplete information when making decisions
that rely on these data, such as for assessing its operational readiness.
United States Government Accountability Office


Contents

Letter

1
Background
The Coast Guard Has Taken Steps to Safeguard Personnel and
Continue Its Missions during the COVID-19 Pandemic
The Coast Guard Took Actions to Address a Variety of Challenges
Posed by the COVID-19 Pandemic
The Coast Guard Lacks Controls over Telework Documentation
and Its Data on the COVID-19 and Telework Statuses of its
Personnel Are Not Reliable
Conclusions
Recommendations for Executive Actions
Agency Comments and Our Evaluation

5

29
37
38
39

Appendix I

Results of Interviews with Nine Coast Guard Sector Command-Level
Officials

43

Appendix II

Comments from the Department of Homeland Security

47

Appendix III

GAO Contact and Staff Acknowledgments

50

Table 1: The U.S. Coast Guard’s 11 Statutory Missions
Table 2: U.S. Coast Guard Workforce, by Personnel Type, as of
April 30, 2021
Table 3: Information on the U.S. Coast Guard Personnel System’s
COVID-19 and Telework Status Modules

7

8
17

Tables

8
33

Figures
Figure 1: Map of the U.S. Coast Guard’s Two Area Commands,
Nine Districts, and 37 Sectors
Figure 2: Information on Selected U.S. Coast Guard COVID-19
Crisis Action Team Working Groups and Their
Responsibilities
Figure 3: Timeline of Selected Events and U.S. Coast Guard
Guidance and Policies to Address the COVID-19
Pandemic

Page i

6
9
12

GAO-21-539 Coast Guard COVID-19 Response Efforts


Figure 4: Examples of U.S. Coast Guard Procedural Adjustments
to Mitigate the Risk of COVID-19 Exposure for Its
Personnel
Figure 5: COVID-19 Pandemic-Related Challenges Cited by U.S.
Coast Guard Officials
Figure 6: U.S. Coast Guard Personnel Assisting an Individual to
Disembark from a Cruise Ship Tender during the COVID19 Pandemic
Figure 7: Map of the Nine Coast Guard Sectors Included in our
Content Analysis of COVID-19 Challenges
Figure 8: Results of our Content Analysis of Challenges Cited
during Interviews Conducted with Officials from Nine
Coast Guard Sectors

14
17
22
43
45

Abbreviations
CDC
COVID-19
DHS
IT
PPE
VDI
VPN

U.S. Centers for Disease Control and Prevention
Coronavirus Disease 2019
Department of Homeland Security
information technology
personal protective equipment
virtual desktop infrastructure
virtual private network

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GAO-21-539 Coast Guard COVID-19 Response Efforts


Letter

441 G St. N.W.
Washington, DC 20548

July 16, 2021
Congressional Addressees
The U.S. Coast Guard—a multi-mission, maritime military service within
the Department of Homeland Security (DHS)—is responsible for
conducting 11 statutory missions. 1 These include protecting and
defending more than 95,000 miles of U.S. coastline and inland
waterways, safeguarding an economic region covering 4.5 million square
miles, and assisting people in distress or affected by natural and humanmade disasters.
The effects of the Coronavirus Disease 2019 (COVID-19) pandemic have
been devastating and resulted in catastrophic loss of life. As of mid-June
2021, about 33.4 million cases and about 593,000 deaths had been
reported in the U.S. 2 COVID-19 has also generated unprecedented
challenges for federal agencies tasked with addressing the pandemic’s
effects while continuing to carry out their missions. The Coast Guard has
faced such challenges, including in balancing its obligation to safeguard
1The Coast Guard’s 11 statutory missions were originally outlined in the Homeland
Security Act of 2002, Pub. L. No. 107-296, § 888, 116 Stat. 2249, and include: marine
safety; search and rescue; aids to navigation; living marine resources; marine
environmental protection; ice operations; ports, waterways, and coastal security; drug
interdiction; migrant interdiction; defense readiness; and other law enforcement. 6 U.S.C.
§ 468(a).
2Data on case counts are through June 18, 2021. Data on COVID-19 cases in the U.S.

are based on aggregate case reporting to the U.S. Centers for Disease Control and
Prevention (CDC) and include probable and confirmed cases as reported by states and
jurisdictions. CDC COVID-19 counts are subject to change due to delays or updates in
reported data from states and territories. According to CDC, the actual number of COVID19 cases is unknown for a variety of reasons, including that people who have been
infected may have not been tested or may have not sought medical care. See CDC,
“COVID Data Tracker: Trends in Number of COVID-19 Cases and Deaths in the U.S.
Reported to CDC, by State/Territory,” accessed June 24, 2021,
https://covid.cdc.gov/covid-data-tracker/#trends_dailytrendscases.

The number of deaths (about 593,000) include total deaths that occurred through the
week ending June 19, 2021. CDC’s National Center for Health Statistics COVID-19 death
counts in the U.S. are based on provisional counts from death certificate data, which do
not distinguish between laboratory-confirmed and probable COVID-19 deaths. Provisional
counts are incomplete due to an average delay of 2 weeks (a range of 1–8 weeks or
longer) for death certificate processing. See CDC, National Center for Health Statistics,
“Provisional Death Counts for Coronavirus Disease 2019 (COVID-19),” accessed June 24,
2021, https://www.cdc.gov/nchs/nvss/vsrr/covid19/index.htm.

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GAO-21-539 Coast Guard COVID-19 Response Efforts


approximately 55,500 active duty, reserve, and civilian personnel from
COVID-19 exposure with its responsibility to continue conducting its
statutory missions. To help achieve this balance, the Coast Guard
implemented new COVID-19 protocols and expanded the use of telework
to reduce the risk of COVID-19 exposure for its personnel and ensure its
workforce remains mission ready. According to Coast Guard data, the
Coast Guard had a total of at least 2,982 confirmed COVID-19 cases and
three reported deaths as of April 30, 2021.
The CARES Act includes a provision for GAO to report on its ongoing
monitoring and oversight efforts related to the COVID-19 pandemic. 3 This
report is part of our body of work in response to the CARES Act and
requests from the chairs of the House Homeland Security Committee and
the House Transportation and Infrastructure Committee, who asked us to
review the Coast Guard’s efforts in response to the COVID-19 pandemic. 4
This report addresses (1) the steps the Coast Guard has taken to reduce
the risk of its personnel being exposed to COVID-19, and to ensure its
ability to continue conducting statutory missions; (2) the challenges the
Coast Guard has faced in operating in a pandemic environment and how
it has addressed them; and (3) the extent to which the Coast Guard has
collected and maintained valid telework documentation, as well as
accurate data on how COVID-19 is affecting its personnel.
To address our first and second objectives, we reviewed relevant
pandemic-related Coast Guard documentation from January 2020
through April 2021, including its Novel Coronavirus (COVID-19) Planning
Order, COVID-19 Agile Workforce Guide, Contact Tracing in the Coast
Guard Guide, weekly COVID-19 leadership briefings, Marine Safety
Information Bulletins, and communications sent to all Coast Guard
personnel, called ALCOAST messages. 5 We also obtained information on
3Pub. L. No. 116-136, Title IX, § 19010, 134 Stat. 579.
4We regularly issue government-wide reports on the federal response to COVID-19. For

the latest report, see GAO, COVID-19: Sustained Federal Action Is Crucial as Pandemic
Enters Its Second Year, GAO-21-387 (Washington, D.C.: Mar. 31, 2021). Our next
government-wide report will be issued on July 19, 2021, and will be available on GAO’s
website at https://www.gao.gov/coronavirus.

5ALCOAST messages are generally administrative-type directives that communicate an

urgent policy change or update to all Coast Guard personnel. Marine Safety Information
Bulletins are publicly available on the Coast Guard’s website and contain information on
updates to Coast Guard guidance and responses to events affecting the maritime
transportation industry.

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GAO-21-539 Coast Guard COVID-19 Response Efforts


key aspects of the Coast Guard’s COVID-19 response, including the
number of training classes the Coast Guard provided virtually during the
pandemic and the number of personnel the Coast Guard vaccinated from
December 2020 through April 2021.
We also analyzed efforts the Coast Guard took to communicate COVID19-related information internally and coordinate externally with other
federal agencies, state and local governments, and maritime industry
stakeholder organizations. We also interviewed Coast Guard
headquarters officials in the COVID-19 Crisis Action Team, Office of
Health Services, Office of Emergency Management, and the Prevention
Directorate. In addition, we interviewed Coast Guard officials responsible
for managing the Coast Guard’s training program, information technology
(IT) systems, telework program, and COVID-19 vaccination efforts.
Further, we interviewed officials from five maritime industry stakeholder
organizations to determine the extent to which they coordinated with the
Coast Guard during the COVID-19 pandemic. 6
To address our second objective, we selected a non-probability sample of
nine of the 37 Coast Guard sectors (i.e., operational field units) that
included one sector from each of the nine Coast Guard districts, to ensure
our sample would be geographically diverse and encompass a range of
Coast Guard operations and mission activities. 7 Next, we conducted
semi-structured interviews with officials from these nine sectors to ask the
same questions and obtain the same types of information across all
interviews. Although the information obtained from these interviews is not
generalizable to all 37 Coast Guard sectors, it provided insights into the
range of challenges these sectors faced during the COVID-19 pandemic.
An analyst on the review team assessed the information obtained in the
sector interviews to identify common challenges and developed a list of
categories to capture the various types of challenges cited by sector

6We interviewed officials from the following organizations: American Association of Port
Authorities, American Waterways Operators, Cruise Lines International Association,
National Association of Waterfront Employers, and the Passenger Vessel Association. We
selected these organizations based on their experience operating in the maritime domain
and their regular interaction with the Coast Guard.
7The nine Coast Guard sectors we selected were: Anchorage, Columbia River, Detroit,

Honolulu, Key West, New York, Ohio Valley, San Diego, and Virginia.

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GAO-21-539 Coast Guard COVID-19 Response Efforts


officials. 8 A second analyst from the review team then reviewed and
finalized this list of categories and the challenges within each category.
Next, a team analyst reviewed and coded the information in each
interview into one of the categories and a second team analyst
independently verified these codes and the testimonial evidence used to
support them. The two analysts then reconciled any differences. For more
information on COVID-19 challenges specifically cited by Coast Guard
officials from the nine sectors we interviewed, see appendix I.
To address our third objective, we reviewed Coast Guard telework
program guidance and relevant ALCOAST messages. 9 We also
interviewed officials familiar with the Coast Guard telework program to
determine how COVID-19 had affected the program and identify program
requirements for participating personnel and their supervisors. We
compared this information against the Telework Enhancement Act of
2010, 10 the Office of Personnel Management’s telework guidance, 11 and
key aspects of Standards for Internal Control in the Federal
Government. 12 We determined that documentation requirements of
internal control standards were significant to this objective and assessed
the Coast Guard’s policies and procedures on telework to determine
whether the Coast Guard collected and maintained telework
documentation, including annual reviews of telework agreements.

8We did not independently verify statements made by Coast Guard sector officials we
interviewed. The results of these interviews are not generalizable and may not be
indicative of officials’ perspectives across all Coast Guard sectors. However, they
provided us with informative perspectives from frontline personnel on challenges Coast
Guard sector officials faced during the COVID-19 pandemic. Further, sector officials
provided information on challenges they faced during the pandemic in response to our
open-ended interview questions. As a result, while sector officials may not have
specifically cited a selected challenge during our interviews, this does not necessarily
mean their sectors did not experience that challenge during the COVID-19 pandemic.
9Coast Guard, Coast Guard Telework Program: Commandant Instruction 5330.4, Jan. 29,
2014.
10Pub. L. No. 111-292, 124 Stat. 3165 (Dec. 9, 2010), codified primarily at chapter 65 of

title 5, United States Code.

11Office of Personnel Management, Guide to Telework in the Federal Government

(Washington, D.C.: April 2011).

12GAO, Standards for Internal Control in the Federal Government, GAO-14-704G

(Washington, D.C.: Sept. 10, 2014).

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We also obtained and analyzed selected data from the Coast Guard
Personnel Accountability and Assessment System from April 2020
through April 2021. Specifically, in April 2020, the Coast Guard began
regularly collecting data on personnel’s COVID-19 status—whether they
are affected by COVID-19—and their telework status—whether they are
teleworking more than 50 percent of the time. We reviewed existing
information about this personnel system, conducted manual checks of
system data, and interviewed data users and officials responsible for
managing the data. We also reviewed documentation and interviewed
cognizant officials to discuss the Coast Guard’s process for collecting and
verifying these data and to determine how the Coast Guard and DHS
have used the data during the COVID-19 pandemic. Based on these
steps, we determined these data were not reliable for the purpose of
reporting on the COVID-19 and telework statuses of Coast Guard
personnel due to missing data and concerns about accuracy. We discuss
the reliability of these data later in our report. We also compared this
information against Coast Guard policy and key aspects of federal
internal control standards. 13 The control activities component of these
standards was significant to this objective and we assessed the Coast
Guard’s process for collecting and verifying these data to determine
whether it provided reasonable assurance regarding the data’s accuracy
and completeness.
We conducted this performance audit from June 2020 to July 2021 in
accordance with generally accepted government auditing standards.
Those standards require that we plan and perform the audit to obtain
sufficient, appropriate evidence to provide a reasonable basis for our
findings and conclusions based on our audit objectives. We believe the
evidence obtained provides a reasonable basis for our findings and
conclusions based on our audit.

Background

Coast Guard Field
Structure

The Coast Guard’s field structure is organized under two area
commands, the Atlantic and Pacific Area Commands. These two
commands oversee nine districts across the U.S., which, in turn,
collectively oversee 37 sectors, as shown in figure 1. Each Coast Guard
area, district, and sector is responsible for managing its assets and
accomplishing missions within its area of responsibility.

13GAO-14-704G.

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Figure 1: Map of the U.S. Coast Guard’s Two Area Commands, Nine Districts, and 37 Sectors

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Coast Guard Statutory
Missions

The Coast Guard is responsible for conducting the 11 statutory missions
outlined in federal law. 14 Table 1 provides an overview of these missions.

Table 1: The U.S. Coast Guard’s 11 Statutory Missions
Statutory mission

Mission description

Marine Safety

Enforce laws that prevent death, injury, and property loss in the marine environment.

Search and Rescue

Search for, and provide aid to, people who are in distress or imminent danger in the maritime
environment.

Aids to Navigation

Mitigate the risk to safe navigation by providing and maintaining more than 51,000 buoys, beacons,
lights, and other aids to mark channels and denote hazards.

Living Marine Resources

Enforce laws governing the conservation, management, and recovery of living marine resources, marine
protected species, and national marine sanctuaries and monuments.

Marine Environmental
Protection

Enforce laws that deter the introduction of invasive species into the maritime environment, stop
unauthorized ocean dumping, and prevent and respond to oil and chemical spills.

Ice Operations

Establish and maintain tracks for critical waterways, assist and escort vessels beset or stranded in ice,
and remove navigational hazards created by ice in navigable waterways.

Ports, Waterways, and
Coastal Security

Ensure the security of the waters subject to the jurisdiction of the United States and the waterways,
ports, and intermodal landside connections that comprise the marine transportation system, and protect
those who live or work on the water or who use the maritime environment for recreation.

Drug Interdiction

Stem the flow of illegal drugs into the United States via maritime routes.

Migrant Interdiction

Stem the flow of unlawful migration and human smuggling activities via maritime routes.

Defense Readiness

Maintain the training and capability necessary to immediately integrate with Department of Defense
forces in both peacetime operations and during times of war.

Other Law Enforcement

Enforce international treaties, including the prevention of illegal fishing in international waters.

Source: GAO presentation of U.S. Coast Guard information. | GAO-21-539

Note: The Coast Guard is responsible for conducting the 11 statutory missions outlined in federal law.
6 U.S.C. § 468(a).

Coast Guard Workforce

The Coast Guard workforce included approximately 55,500 active duty,
reserve, and civilian personnel as of April 30, 2021. 15 These include, for
example, operational field staff responsible for conducting the statutory
missions outlined in Table 1—such as search and rescue activities and
law enforcement operations—and mission support personnel responsible
for managing Coast Guard policy, planning, and logistics to meet mission

146 U.S.C. § 468(a).
15Members of the Coast Guard Auxiliary Force are not included in this number. These

personnel represent Coast Guard uniformed personnel who volunteer their time and
maritime experience in support of Coast Guard missions and operations.

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needs. 16 Table 2 provides more information on the Coast Guard
workforce, by personnel type.
Table 2: U.S. Coast Guard Workforce, by Personnel Type, as of April 30, 2021
Personnel type

Description

Active duty

Full-time military personnel responsible for carrying out the Coast Guard’s 11
statutory missions.

Number of personnel
40,518

Reserve dutya

Part-time military personnel trained and qualified to take duty in times of war or
national emergency, and to augment Coast Guard forces and provide surge
capacity to respond to natural or human-made disasters, accidents, and all other
hazards.

6,139

Civilian

Full-time, non-military personnel supporting the Coast Guard’s missions.

Total

8,877
55,534

Source: GAO analysis of Coast Guard documentation and data. | GAO-21-539

Note: Members of the Coast Guard Auxiliary force are not included in this table. These personnel
represent Coast Guard uniformed personnel who volunteer their time and maritime experience in
support of Coast Guard missions and operations.
a
Coast Guard reserve personnel are required to participate in part-time training activities each year.
These personnel may be ordered to active duty status to meet the Coast Guard’s operational needs.

The Coast Guard Has
Taken Steps to
Safeguard Personnel
and Continue Its
Missions during the
COVID-19 Pandemic
The Coast Guard Formed
a Crisis Action Team and
Developed New Policies
and Guidance

In March 2020, the Coast Guard formed a COVID-19 Crisis Action Team
to develop and synchronize Coast Guard policies and guidance focused
on assisting its personnel to continue safely and effectively conducting
their missions during the pandemic. The Crisis Action Team consists of
working groups focused on addressing specific aspects of the Coast

16As we discuss later in this report, certain Coast Guard positions are not conducive to

telework. For example, Coast Guard personnel working as cutter crew members or
conducting search and rescue activities are generally not able to telework.

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Guard’s pandemic response (see fig. 2). 17 For example, the contact
tracing working group developed policies, guidance, and tools for
implementing the Coast Guard’s Contact Tracing Program, which is
intended to limit the spread of COVID-19 among personnel. Among other
things, this working group focused on how to incorporate necessary
privacy protections for different types of Coast Guard personnel (i.e.,
active duty, civilian, and reserve personnel) into its policy, according to
Coast Guard officials.
Figure 2: Information on Selected U.S. Coast Guard COVID-19 Crisis Action Team Working Groups and Their Responsibilities

a
In November 2020, the COVID-19 vaccine working group transitioned to the COVID-19 Vaccine
Incident Command.

The Coast Guard developed and issued numerous and timely COVID-19
guidance documents during the pandemic. These guidance documents
17Crisis Action Team officials told us that the team started with six working groups in

March 2020 and expanded to over 30 working groups during the pandemic. These
working groups consist of around 250 full-time personnel from Coast Guard headquarters,
according to these officials.

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addressed a variety of topics, but generally focused on how best to
safeguard personnel and ensure its continued ability to conduct its
missions. These included the COVID-19 Planning Order, messages sent
to all Coast Guard personnel—called ALCOAST messages—and other
relevant guidance. Crisis Action Team officials told us that the Coast
Guard’s existing policies and guidance were not relevant or specific
enough to address the unprecedented challenges they faced when the
COVID-19 pandemic began. As a result, the Crisis Action Team updated
or created policies and guidance to provide operational units with useful
information on how to safely and effectively operate according to the
conditions in their areas of operations. Officials from all nine sectors we
interviewed stated that Coast Guard headquarters had provided relevant
and timely guidance while also providing operational command-level
officials discretion in implementing this guidance, as appropriate. For
example, an official from one sector told us that the sector had the
discretion and autonomy to decide how best to conduct operations based
on the prevalence of COVID-19 and its associated risks in the sector’s
area of responsibility.
Coast Guard COVID-19 Planning Order. On February 14, 2020, the
Coast Guard published its COVID-19 Planning Order to provide Coast
Guard personnel with a single source of information for planning,
preparing for, and responding to missions and operational scenarios
during the pandemic. The Coast Guard has regularly updated this
document with new information on, among other topics, proper personal
protective equipment (PPE) usage, risk mitigation procedures, and
vaccine distribution efforts. For example, the COVID-19 Planning Order
describes the process for determining whether an individual should
quarantine or isolate for different types of scenarios, including after being
exposed to a confirmed COVID-19 case, experiencing symptoms, or
testing positive for COVID-19. In addition, it outlines how personnel are to
report their statuses in the Coast Guard Personnel Accountability and
Assessment System, which the Coast Guard uses to track how personnel
are affected by COVID-19, as described later in the report.
ALCOAST messages. During the 15 months from January 2020 through
April 2021, the Coast Guard issued 88 ALCOAST messages to all
personnel with information and updates regarding Coast Guard
operations and safety procedures during the pandemic. These messages
included guidance on mass gatherings, alternative work schedules,
telework, proper PPE usage, and travel and leave policies, among other
topics. For example, in March 2020, a message outlined which statutory
missions were priorities for personnel to continue conducting—such as

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search and rescue—and which missions could be deferred. The Coast
Guard subsequently updated these priorities to reflect extended
pandemic conditions in later messages sent in May and August 2020.
Other relevant guidance. The Coast Guard also developed or
implemented additional guidance to address other aspects of the COVID19 pandemic, such as a workforce guide and a vaccination prioritization
framework. The COVID-19 Agile Workforce Guide is intended to help
protect the Coast Guard workforce while ensuring mission readiness. For
example, this guide provides a methodology for operational unit
commanders to use for assessing the risk of COVID-19 and tailoring
mitigation measures to local conditions. In addition, the Coast Guard
administered vaccines using the Department of Defense’s prioritization
framework, which aligns with the national framework issued by the U.S.
Centers for Disease Control and Prevention (CDC). 18
The Coast Guard took steps to issue this guidance and communicate
other COVID-19-related information internally through virtual meetings, a
COVID-19 website, and leadership briefings. Officials told us that early on
in the pandemic (around March–May 2020), they held virtual, weekly town
hall meetings to disseminate relevant information to all personnel. In
addition, a town hall meeting in March 2021 focused on addressing
issues and questions related to vaccine availability, viability, and
distribution efforts. The Coast Guard also developed an internal website
that has acted as a “one-stop shop” for communicating information and
guidance regarding the pandemic to all of its personnel.
Figure 3 shows selected events and various guidance and policies the
Coast Guard issued from February 2020 through April 2021.

18The Department of Defense framework prioritized critical and mission essential

personnel, including those working in health care, law enforcement, fire rescue, or search
and rescue.

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Figure 3: Timeline of Selected Events and U.S. Coast Guard Guidance and Policies to Address the COVID-19 Pandemic

The Coast Guard regularly updated the COVID-19 Planning Order.

a

The Coast Guard
Increased Workplace
Flexibilities, Established
COVID-19 Protocols, and
Administered Vaccines

In March 2020, the Coast Guard began taking steps aimed at mitigating
the risk of exposure for its personnel and ensuring its ability to continue
conducting missions. These included expanding workplace flexibilities,
such as telework and alternative work schedules, as well as implementing
new COVID-19 protocols to mitigate the risk to personnel, including for
those physically present in Coast Guard workplaces and those
conducting statutory missions in the field. In addition, in mid-December
2020, the Coast Guard began administering vaccines to its personnel.
Telework. According to Coast Guard documentation, in March 2020, the
Coast Guard implemented telework to the greatest extent possible for
those personnel who are able to conduct their work remotely as a means
to reduce the risk of COVID-19 exposure. 19 Coast Guard officials told us
19In March 2020, the Coast Guard modified its telework program in response to the

COVID-19 pandemic to maximize telework and, in turn, minimize the number of Coast
Guard personnel reporting to the workplace. These modifications also allowed certain
eligible personnel to telework for 100 percent of their time. Prior to the COVID-19
pandemic, personnel had to report to a duty site at least twice during a pay period.

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that, as a result, participation in its telework program increased rapidly
during the pandemic, adding that implementing telework helped to
safeguard personnel and has proven to be a very useful tool. For
example, Coast Guard officials from one sector we interviewed stated that
they maximized telework for personnel who can effectively complete work
activities remotely, such as personnel who primarily work on a computer.
Work schedule adjustments. Coast Guard officials told us that many
positions—such as working in an emergency response center or as a
cutter crew member—cannot be conducted remotely. As a result, the
Coast Guard took steps to mitigate the risk of COVID-19 exposure for
personnel who generally cannot telework. For example, the Coast Guard
provided flexibility for modified work schedules, including allowing
employees to work split shifts on different hours to decrease the number
of individuals present in the workplace at any given time. Officials from
one sector told us they adjusted the sector shift structure to form new
work groups and implement staggered work shifts to mitigate the risk of
exposure and help reduce the likelihood of any confirmed COVID-19 case
within one group affecting another group.
New COVID-19 workplace protocols. The Coast Guard adjusted its
physical workspaces and implemented new workplace protocols to
mitigate the risk of COVID-19 exposure. These included: (1) requiring
members to social distance when possible and wear cloth face coverings
or masks when it was not, (2) installing sanitization stations in its offices,
(3) shifting workstations further apart, and (4) installing barriers between
workstations. Figure 4 highlights certain adjustments the Coast Guard
made to mitigate the risk of COVID-19 exposure for its personnel.

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Figure 4: Examples of U.S. Coast Guard Procedural Adjustments to Mitigate the Risk of COVID-19 Exposure for Its Personnel

New COVID-19 protocols for conducting Coast Guard missions. The
Coast Guard also implemented new protocols to safeguard its personnel
while conducting statutory missions. Overall, the Coast Guard generally
continued to conduct its statutory missions during the pandemic, while
implementing changes to mitigate COVID-19 risks to its personnel. For
example, personnel conducting search and rescue operations were
required to wear different combinations of PPE according to the risk level
associated with any given operation. In addition, Coast Guard
headquarters provided operational commanders flexibility to defer certain
missions and activities, when necessary. For example, in some cases,
operational commanders deferred required vessel inspections or

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authorized that certain vessel inspections could be conducted virtually to
reduce the risk to personnel. 20
COVID-19 vaccinations. On December 16, 2020, the Coast Guard
began administering COVID-19 vaccines to its personnel according to a
prioritization framework. This framework prioritized critical and mission
essential personnel, including those working in health care, law
enforcement, fire rescue, or search and rescue. According to Coast
Guard data, between December 16, 2020, and April 30, 2021, the Coast
Guard fully vaccinated 32,013 personnel (or about 58 percent of the total
workforce) and partially vaccinated an additional 3,426 personnel, who
were awaiting their second dose. 21 These personnel received the vaccine
at Coast Guard medical clinics or through a mobile vaccine distribution
effort. Coast Guard officials told us that they implemented a mobile
vaccine distribution effort to ensure more equitable access for all Coast
Guard personnel.

The Coast Guard
Regularly Coordinated
with External Entities
during the Pandemic

The Coast Guard used established mechanisms to coordinate regularly
with other federal agencies, state and local governments, and maritime
industry stakeholders during the pandemic. These mechanisms included
recurring meetings established prior to the pandemic to help coordinate
regional issues among maritime stakeholders. For example, Area
Maritime Security Committees, established in 2002, are intended to
enhance communication between port stakeholders in federal, state and
local agencies, and maritime industry organizations to address maritime
security. 22
Officials from all nine sectors we interviewed told us they regularly
attended these and other coordination meetings during the pandemic. 23 In
addition, officials from eight of the nine sectors we interviewed told us
that, during the pandemic, this coordination increased in frequency or was
20During a virtual inspection, Coast Guard personnel may review pictures, video, and

vessel logs, among other information, in lieu of inspecting a vessel in person. We are
reviewing the Coast Guard Marine Inspection Program and plan to report on this issue by
early 2022.

21The Coast Guard administered the Pfizer and Moderna vaccines, which both require two

doses for full vaccination, and the Johnson & Johnson vaccine, which requires one dose
for full vaccination.
22Pub. L. No. 107-295, §102, 116 Stat. 2064, 2068. 46 USC 70112(a)(1)(C)(i).
23In addition, Coast Guard sector officials told us that they attended port coordination

meetings and Harbor Safety Committee meetings, which address issues that may include
the safety, security, mobility, and environmental protection of a local port or waterway.

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held virtually rather than in-person. For example, officials from one sector
told us in October 2020 that while Area Maritime Security Committee
meetings were normally held on a quarterly basis prior to the pandemic,
these meetings increased to a biweekly basis during the pandemic.
The Coast Guard also coordinated directly with federal agencies to
address specific COVID-19-related issues. For example, the Coast Guard
established a temporary liaison position with CDC to monitor and address
the challenge of safely disembarking potentially COVID-infected
passengers and crew from cruise ships in U.S. waters. The Coast Guard
also coordinated directly with the Federal Emergency Management
Agency to provide direct assistance to state, local, tribal, and territorial
governments. For example, the Coast Guard provided support by
transporting personnel and cargo by helicopter and airplane in Hawaii and
Alaska. Coast Guard officials also told us they have two full-time liaison
officers who work at the Federal Emergency Management Agency’s
headquarters who have been useful in coordinating both prior to and
during the COVID-19 pandemic.
In addition to participating in relevant coordination meetings, the Coast
Guard also communicated with maritime industry stakeholder
organizations, including by publicly issuing guidance in its Marine Safety
Information Bulletins. Personnel from all five maritime industry
stakeholder organizations we interviewed told us that their experiences in
coordinating with the Coast Guard during the COVID-19 pandemic had
been very positive. 24 Further, they also told us these bulletins contained
important information, which they regularly used and distributed to their
members. For example, a March 2020 bulletin detailed the Coast Guard’s
amended process for conducting remote inspections during the COVID19 pandemic to verify vessel compliance and, if needed, for temporarily
deferring required vessel inspections. 25

24We interviewed officials from the following organizations: American Association of Port

Authorities, American Waterways Operators, Cruise Lines International Association,
National Association of Waterfront Employers, and the Passenger Vessel Association.

25Marine Safety Information Bulletin. MSIB 09-20, Vessel Inspections, Exams, and
Documentation (March 26, 2020).

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The Coast Guard
Took Actions to
Address a Variety of
Challenges Posed by
the COVID-19
Pandemic

The Coast Guard took actions to address a variety of challenges it faced
in operating during the COVID-19 pandemic. Coast Guard officials we
interviewed emphasized that taking steps to safeguard Coast Guard
personnel was a primary goal in addressing these challenges throughout
the pandemic. The challenges cited by officials we interviewed included:
(1) initial challenges the Coast Guard faced during the first few months of
the pandemic (i.e., March–May 2020), (2) challenges the Coast Guard
faced in conducting its 11 statutory missions in a pandemic environment,
and (3) challenges that directly affected Coast Guard personnel (see fig.
5).
Figure 5: COVID-19 Pandemic-Related Challenges Cited by U.S. Coast Guard
Officials

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The Coast Guard Faced
Several Challenges Early
on in the COVID-19
Pandemic

Coast Guard officials we interviewed cited a number of challenges
associated with conducting operations during the first few months of the
COVID-19 pandemic (i.e., March–May 2020). These challenges included:
(1) IT system functionality, (2) an initial lack of COVID-19 information and
guidance, (3) initial shortages of PPE, and (4) managing passengers
disembarking from cruise ships.
IT system functionality. Coast Guard officials at headquarters and
across all nine sectors we interviewed stated that IT system functionality
presented significant challenges, especially during the first few months of
the COVID-19 pandemic when the Coast Guard expanded its telework
program. These challenges included: (1) insufficient network bandwidth
and remote access challenges, (2) limited number of laptop computers,
and (3) difficulty conducting virtual meetings due to technology.
•

Insufficient network bandwidth and remote access challenges. Coast
Guard officials at headquarters and from eight of the nine sectors we
interviewed told us that the Coast Guard’s IT system did not have the
necessary network bandwidth or remote access capability to support
the large number of personnel who began to telework in March 2020.
For example, officials we interviewed from two sectors noted that the
Coast Guard’s network was slow and often crashed or dropped users
who then had to attempt to log back onto the system—a process they
noted was often time-consuming. In another example, officials from
one sector stated that insufficient bandwidth meant that only some
personnel could access the network remotely while others were only
able to access to check their email. Further, officials in the Coast
Guard’s training office told us that the IT system’s unreliability made it
difficult to provide remote training—a key issue given that many inperson training classes had been canceled in the pandemic’s early
months. Officials responsible for managing the Coast Guard’s IT
system told us they addressed this challenge by undertaking a
number of efforts, to include increasing overall network bandwidth and
upgrading three out of four network hub sites by the end of April 2020
to support the increased number of teleworking personnel. 26 Officials
from six sectors noted that challenges associated with insufficient

26In June 2020, the Coast Guard upgraded its virtual private network (VPN) from being

capable of supporting less than 1,000 concurrent users, according to officials, to more
than 40,000 concurrent users when using a Coast Guard-issued laptop. Further, in August
2020, the Coast Guard increased the number of concurrent users on its virtual desktop
infrastructure (VDI) from 3,000 to 4,000, which allowed personnel to access the system
with their personal laptops. In December 2020, the Coast Guard upgraded its fourth
network hub site.

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network bandwidth and remote access during March and April 2020
improved in subsequent months.
•

Limited number of laptop computers. Coast Guard officials at
headquarters and from four of the nine sectors we interviewed told us
that a shortage of available laptop computers made it difficult for some
personnel to telework. Officials from one sector explained that the
laptop shortage meant that some personnel had to focus on tasks that
could be completed at home without IT system access, such as
studying for an upcoming training class or reviewing vessel inspection
documentation. Officials from another sector told us the laptop
shortage required personnel to access the IT system using their
personal computers, which can result in performance issues and slow
network speeds. According to Coast Guard documentation, to
address this challenge and help facilitate remote telework, Coast
Guard headquarters staff provided more than 2,500 laptops to sectors
from March through July 2020. 27 Headquarters officials explained that
prior to the pandemic, the Coast Guard had already planned to
replace desktop computers with laptops to provide personnel with
more flexibility in working away from their offices, and added that the
Coast Guard quickly pivoted to implement this plan when the
pandemic began. These officials also told us that the pandemic had
confirmed the Coast Guard’s long-term vision of cultivating a more
mobile workforce.

•

Difficulty conducting virtual meetings due to technology. Coast Guard
officials from five of the nine sectors we interviewed told us that
conducting virtual meetings was initially difficult due to technology
challenges, including a lack of available teleconference lines and
problems with video conferencing technology. For example, officials
from one sector explained that collaborating with other federal, state,
and local officials was onerous since attendees to any given
teleconference may not be capable of using the software or
technological platform being employed for that meeting. Coast Guard
officials also told us that when the pandemic began, the microphone
and camera on Coast Guard-issued laptop computers were disabled
for security reasons, which made actively participating in virtual
videoconferences and teleconferences difficult. To address these

27Coast Guard officials told us they used funding provided by the 2020 CARES Act to fund

improvements to the Coast Guard’s IT system, including the provision of laptop
computers. Pub. L. No. 116-136, 134 Stat. 281, 542. They explained the Coast Guard
plans to continue using this 2-year funding for IT system improvements, including
additional laptops. For example, the Coast Guard provided an additional 5,036 laptops
from July 2020 through April 2021 to training centers and other units to support its
transition to a more mobile workforce.

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initial challenges, Coast Guard officials stated they deployed a new
secure collaboration and communication tool in April 2020 and
enabled microphones and cameras on laptop computers to improve
users’ ability to connect virtually. In addition, as of April 2021, the
Coast Guard was working to continually improve the virtual
collaboration tools available for personnel, such as by adding on-line
document-sharing capabilities and increasing cybersecurity
safeguards.
An initial lack of COVID-19 information and guidance. Coast Guard
officials from six of the nine sectors we interviewed told us that a lack of
information and guidance during the first weeks of the COVID-19
pandemic presented challenges. For example, sector officials told us that
this lack of guidance made it difficult to know how to operate safely and
required sector-level personnel to make decisions based on local
conditions until Coast Guard headquarters provided more specific
guidance. However, an official from one sector clarified that during the
pandemic’s first weeks it would have been nearly impossible for
headquarters to develop and implement Coast Guard-wide policies that
kept pace with the rapidly changing COVID-19 environment. Further,
officials from all nine sectors we interviewed stated that following this
initial phase, Coast Guard headquarters did develop and issue relevant,
timely guidance for addressing the COVID-19 pandemic.
Initial shortages of PPE. Coast Guard officials from four of the nine
sectors we interviewed told us that a shortage of PPE during the early
weeks of the COVID-19 pandemic affected their ability to conduct
missions or operations safely. For example, Coast Guard officials from
two sectors cited challenges in ensuring its personnel had the right types
of PPE—specifically N95 masks—and the quantity necessary to maintain
operations. 28 Despite limited supplies, officials from all four sectors
indicated that this equipment was provided to personnel who needed it—
such as their frontline operational personnel—to mitigate the risk of
exposure when conducting missions. Officials from two sectors noted that
the PPE shortage was a nationwide challenge early in the pandemic and
told us that Coast Guard leadership took steps quickly to address the
shortage. For example, the Coast Guard developed a PPE tracker
28In addition, officials from another sector noted that aviation personnel faced challenges

in wearing both standard N95 masks and aviation helmets with integrated microphones.
Specifically, Coast Guard officials told us that N95 masks hindered aircrew’s ability to
communicate with each other via aircraft communication systems and radios. To address
this challenge, the Coast Guard identified a specific type of N95 mask that provided a
lower profile for the wearers and improved crew members’ ability to communicate.

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designed to actively manage its existing PPE inventory across all units
and to anticipate its future needs. In addition, the Coast Guard developed
a central “PPE One-Stop” website as a central source for all PPE-related
information, such as guidance on appropriate PPE usage, best practices
for conserving PPE, and guidelines for the re-use of N95 masks,
according to a senior Coast Guard official.
Managing passengers disembarking from cruise ships. Coast Guard
officials at headquarters and from one of the sectors we interviewed told
us that managing how to disembark more than 250,000 potentially
COVID-19-infected passengers from cruise ships presented a challenge
early in the pandemic. In particular, headquarters officials stated that
Coast Guard leadership was focused on this Coast Guard-wide challenge
during the pandemic’s early months. To address this challenge, Coast
Guard headquarters officials closely tracked the daily status and location
of cruise ships still at sea and planned for how to disembark passengers
safely (see fig. 6). Sector officials also told us they closely coordinated
with local officials to safely disembark local residents from one cruise ship
experiencing a COVID-19 outbreak while all non-residents were required
to remain on board.

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Figure 6: U.S. Coast Guard Personnel Assisting an Individual to Disembark from a
Cruise Ship Tender during the COVID-19 Pandemic

In March 2020, the Coast Guard formed the National Marine
Transportation System Recovery Unit Support Cell to address the
challenge posed by cruise ships bound for U.S. ports. This unit closely
coordinated with other federal agencies—including CDC and the Federal
Emergency Management Agency—and maritime industry stakeholder
organizations through weekly teleconferences and provided daily status
briefs to Coast Guard and DHS leadership. In coordination with these
stakeholders, the unit assisted in disembarking more than 250,000 cruise
ship passengers from 76 vessels before transitioning to support other
aspects of the federal pandemic relief effort, such as assessing how
COVID-19 had affected the domestic commercial fishing vessel fleet,
passenger ferry operations, and maritime commercial trade.

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The Coast Guard Took
Actions to Address
COVID-19 Challenges in
Conducting Missions

Coast Guard officials we interviewed cited three challenges associated
with conducting the Coast Guard’s 11 statutory missions in a pandemic
environment. These challenges included: (1) balancing the need to
safeguard personnel and continue conducting missions, (2) following
COVID-19 policies and procedures, and (3) navigating differences in
COVID-19 policies and restrictions.
Balancing the need to safeguard personnel and continue conducting
missions. Coast Guard officials from five of the nine sectors we
interviewed told us it was difficult to address two competing priorities
during the pandemic—safeguarding personnel and ensuring that statutory
missions continued. For example, officials from one sector stated that
achieving this balance required making difficult judgments on how best to
implement safety precautions for personnel without being overly cautious.
Another sector official explained that while this challenge did not have a
clear solution, the Coast Guard had taken steps to address it—including
by prioritizing certain statutory missions over others during the pandemic.
For example, the Coast Guard prioritized its search and rescue
operations to continue providing life-saving services to individuals in
distress, but also developed guidance specifically tailored to mitigate
rescue personnel’s exposure to COVID-19 during such operations. For
instance, this guidance states that all rescued survivors should wear a
face covering if they cannot maintain more than 6 feet distance from
Coast Guard personnel. 29
The Coast Guard established a risk assessment tool in April 2020 to help
operational commanders decide how and when to conduct missions and
activities, and the best way to safeguard personnel responsible for
carrying them out. Specifically, the tool is designed to evaluate the
relative exposure risk associated with conducting different types of
missions and identify appropriate mitigation measures. For example, for
operations that may require physically restraining someone—such as
during a law enforcement action—the tool states that Coast Guard
personnel wear full PPE—including N95 masks, protective gloves, and
coveralls—to reduce the risk of COVID-19 exposure.
Following COVID-19 policies and procedures. Coast Guard officials
from seven of the nine sectors we interviewed cited challenges in
following the Coast Guard’s COVID-19 policies and procedures while
29If such individuals are exhibiting COVID-19 symptoms, the Coast Guard guidance

requires they wear a surgical mask to reduce Coast Guard personnel’s risk of exposure.

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conducting certain statutory missions, including policies associated with
social distancing, wearing PPE, and contact tracing. For example, officials
from four sectors explained that certain personnel—including vessel and
aircraft crew members and personnel staffing emergency operations
centers—cannot realistically follow social distancing guidance because of
the lack of available space in these environments. In addition, officials
from one sector told us that wearing PPE—such as N95 masks, goggles,
and protective gloves—can be difficult to employ for extended periods of
time in certain conditions, such as high heat and humidity environments.
Further, another official explained that wearing N95 masks and goggles
prone to fogging could be dangerous during law enforcement operations,
such as boarding a vessel during a counter-drug operation.
Coast Guard officials from four of the nine sectors we interviewed also
cited challenges in following the Coast Guard’s contact tracing and
quarantine procedures. This policy requires personnel having been in
close contact with a confirmed COVID-19 case to quarantine for up to 14
days, which made it difficult for operational commanders to maintain
mission readiness and plan for future operations, according to these
officials. 30 For example, officials from one sector explained that planning
operations without knowing exactly how many individuals may be in
isolation or quarantine—and therefore unavailable to participate—was
difficult. Another sector official told us that any confirmed COVID-19
cases among personnel had an effect on the larger workforce.
Specifically, he explained that while two sector personnel had tested
positive for COVID-19 as of November 2020, 30 individuals had to
quarantine as a result of these two confirmed COVID-19 cases, which
created workforce challenges and directly affected the sector’s mission
readiness.
As noted earlier, Coast Guard officials we interviewed emphasized that
safeguarding personnel was a primary goal throughout the COVID-19
pandemic. While implementing the Coast Guard’s COVID-19 policies may
have presented challenges, headquarters officials told us such policies
30Coast Guard documentation defines quarantine as “a Command Directed separation of

a person or group of people, reasonably believed to have been exposed to a
communicable disease but not yet symptomatic, from others who have not been so
exposed, to prevent the possible spread of the communicable disease. The person should
minimize contact with others and only go out for groceries, medicine, or other essentials.”
Personnel who have been in close contact with an individual who has tested positive for
COVID-19 are required to quarantine for 14 days from the date of potential exposure,
according to Coast Guard policy, though the quarantine period can be decreased in
certain situations, such as a negative COVID-19 test result.

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were purposefully developed and issued to mitigate the risk of COVID-19
exposure to Coast Guard personnel. As a result, the officials explained
these policies and procedures were necessary to ensure the Coast Guard
workforce remained healthy and capable of conducting its statutory
missions.
Navigating differences in COVID-19 policies and restrictions. Coast
Guard officials from four of the nine sectors we interviewed cited
difficulties in navigating differing COVID-19 policies and restrictions
among state and local governments during the pandemic that did not
always align with each other or with those implemented by the Coast
Guard. For example, officials from one sector told us that since its area of
responsibility spans 10 states, identifying and abiding by the wide range
of state and local restrictions was difficult. Further, officials from two
sectors explained that 14-day quarantine periods implemented by certain
states also presented personnel challenges. For example, officials from
one sector explained that such 14-day quarantine periods were difficult
for personnel returning from out-of-state leave and for newly transferred
personnel, who in some cases, were confined in hotel rooms with their
spouses, children, and pets.
A senior sector official explained that, as a federal entity, the Coast Guard
is not required to follow local and state policies regarding the COVID-19
pandemic, which are often more restrictive than federal policies.
However, Coast Guard officials from three sectors we interviewed told us
they had made efforts to respect and follow state and local COVID-19
restrictions whenever possible. For example, officials from one sector told
us they adopted the most aggressive, restrictive policies in their area to
ensure sector personnel were always operating at or above the level
required by local jurisdictions. In another example, officials from one
sector told us they developed additional protocols above and beyond
existing Coast Guard policies to manage travel to Alaskan Native and
remote communities during the pandemic. They explained these efforts
were necessary to build trust and ensure that Coast Guard personnel did
not inadvertently transmit COVID-19 to these vulnerable communities.

The Coast Guard Took
Actions to Address
COVID-19 Challenges that
Directly Affected
Personnel

Coast Guard officials we interviewed cited four challenges that have
directly affected Coast Guard personnel during the COVID-19 pandemic.
These challenges included: (1) continuing to provide training and ensure
the proficiency of personnel, (2) adapting to and maintaining relationships
in a virtual environment, (3) overseeing personnel’s off-duty activities, and
(4) addressing the lack of child care options for applicable personnel.

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Continuing to provide training and ensure the proficiency of
personnel. Coast Guard officials at headquarters and from six of the nine
sectors we interviewed cited ensuring that personnel continued to receive
necessary training and maintain proficiency during the pandemic as a
significant challenge. For example, officials in the Office of Emergency
Management and from two sectors told us that because of travel
restrictions and training facility closures, many personnel were not able to
participate in important training classes essential for mission readiness
and professional development. Further, personnel who were able to
attend in-person training initially had to complete a 14-day medical
monitoring period at the training center prior to the course, which required
several weeks spent away from their home units. One sector official noted
that attending an in-person training class required some individuals to
arrive 2 weeks prior to the class for the monitoring period and
subsequently telework for 2 weeks following the class before physically
returning to the worksite. The official noted that this represented a
significant hardship for both individuals and their units, which had to plan
for individuals’ weeks-long absences. In November 2020, the Coast
Guard updated its policy after receiving feedback from some field units to
allow selected personnel to complete the 14-day monitoring period at
home to provide flexibility and reduce hardship.
Coast Guard officials in five of the nine sectors we interviewed also cited
concerns about the Coast Guard’s ability to address a potential backlog in
training following the pandemic. In addition, officials from three sectors
explained that COVID-19 may have reduced proficiency among personnel
who have had fewer opportunities for on-the-job training due to
decreased operations during the pandemic. For example, in October
2020, officials from one sector noted that personnel had not boarded or
conducted inspections of any cruise ships since March 2020.
The Coast Guard has taken steps to address challenges associated with
providing training and ensuring personnel proficiency during the
pandemic. First, officials in the Coast Guard’s training office told us they
worked with field unit personnel to identify and offer classes deemed
necessary to conduct statutory missions and defer those classes that
could be postponed. Second, while the Coast Guard began transitioning
selected in-person training classes to a virtual format in October 2019,
officials told us this effort accelerated during the COVID-19 pandemic. For
example, Coast Guard officials told us that from March 2020 through April
2021, the Coast Guard delivered 320 online training classes and
continues to increase online training opportunities. Third, officials
responsible for training told us in November 2020 that they had assessed

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data and feedback from operational commanders to help identify which
training classes should be convened to address the potential backlog.
Fourth, the Coast Guard produced an after action report in September
2020 that assessed its training system’s operations and identified best
practices, including allowing personnel to complete prerequisite training
classes virtually prior to attending in-person classes.
Adapting to and maintaining relationships in a virtual environment.
Coast Guard officials at headquarters and from six of the nine sectors we
interviewed told us that adapting to a virtual environment during the
pandemic had been difficult. For example, officials from two sectors told
us that transitioning to a virtual environment disrupted the normal rhythm
of work for personnel accustomed to working in-person at the workplace
and in the field. Further, officials from another sector stated that virtual
teleconferences were not as robust or useful as face-to-face meetings
where individuals are more likely to maintain professional relationships.
Coast Guard Prevention Directorate officials concurred, stating that while
telework and physical separation requirements have helped to safeguard
personnel, they have also made communication and information sharing
more difficult. Even so, these officials told us the Coast Guard has
focused energy and effort on maintaining high levels of virtual
communication and connectedness among personnel to address this
challenge. For example, Coast Guard officials stated they implemented
weekly virtual events open to all personnel during the pandemic, including
town hall meetings and “Wellness Wednesdays” events. Officials told us
such events provide a useful forum for personnel to connect and discuss
important topics, including key workforce challenges, correct PPE usage,
mental health issues, and working while children are at home.
Overseeing personnel’s off-duty activities. Coast Guard officials from
five of the nine sectors we interviewed told us that striking a balance
between allowing Coast Guard personnel to live a normal life during offduty hours and ensuring the continued health and safety of the workforce
had been challenging. For example, officials from one sector explained
that leadership cannot realistically control an individual’s actions while off
duty or traveling on leave, where the individual could be exposed to
COVID-19 and subsequently infect coworkers following their return to the
workplace. To address this challenge, the Coast Guard communicated
with personnel regarding the need to make safe choices. For example, a
July 2020 ALCOAST message warned personnel that their personal
choices while off duty affect the Coast Guard’s ability to perform its
missions and encouraged them to apply risk management principles to
mitigate the risk of COVID-19 exposure. In addition, the Coast Guard

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implemented formal processes for approving travel leave, including
requiring individuals to submit a form to their supervisor detailing
information on their leave plans. Supervisors then reviewed this
information and met with the individual to discuss risk factors and
potential mitigation techniques before approving the leave.
Addressing the lack of child care options for applicable personnel.
Coast Guard officials in headquarters and from seven of the nine sectors
we interviewed stated that a lack of available child care options for
personnel who have children presented a significant challenge as a result
of daycare and school closures during the pandemic. To address this
challenge, the Crisis Action Team created the Family Concerns and
Support Working Group. Officials from this working group, as well as from
three sectors we interviewed, cited expanded telework and the use of
alternative work schedules as critical in providing personnel with key
flexibilities to help them balance child care and work.
Further, one official explained that from March through July 2020, the
Coast Guard provided direct child care services for mission essential
personnel through nine Coast Guard-run child development centers and
provided financial support through its fee assistance program to
personnel with children enrolled in community-based child care centers. 31
This official told us this assistance helped to ensure that mission essential
personnel could continue conducting the Coast Guard’s statutory
missions. In July 2020, the Coast Guard began scaling up efforts to
provide child care for non-mission essential personnel, according to
Coast Guard officials. 32 While these efforts have been useful, officials told
us that child care challenges continue to affect personnel—particularly
those who work night and weekend shifts and therefore have limited child
care options.

31The Coast Guard Child Care Subsidy Benefit program helps to defray the cost of child

care for active duty personnel and reserve personnel who have been called to active duty
for at least 180 consecutive days. This benefit is to help meet the needs of eligible families
where the spouse or partner is working, attending school, or both.

32As of the end of April 2021, the Coast Guard’s nine child development centers were at

79 percent enrollment and providing care to 502 children, according to Coast Guard
officials. In addition, these officials explained that 1,668 children were enrolled in its
Subsidy Benefit program during this same period, but explained that this number would
increase as more community-based child care centers re-opened. Last, Coast Guard
officials also noted that some Coast Guard personnel use child care services provided by
the Department of Defense.

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The Coast Guard
Lacks Controls over
Telework
Documentation and
Its Data on the
COVID-19 and
Telework Statuses of
its Personnel Are Not
Reliable
The Coast Guard Lacks
Controls to Ensure All
Teleworking Personnel
Have Valid and Current
Telework Agreements

In January 2014, the Coast Guard established its telework program,
which allows active duty, civilian, and reserve personnel to telework if
their supervisor identifies their position as eligible. 33 However, the Coast
Guard lacks controls to ensure that documentation required to participate
in the telework program is in place. The program, in accordance with the
Telework Enhancement Act, requires eligible individuals who will
telework, as well as their supervisors, to complete mandatory telework
training and sign a telework agreement to ensure the individuals have a
valid telework agreement in place before their telework begins. 34 In
addition, participating individuals and their supervisors are to review these
telework agreements annually, or more frequently, if needed, to ensure
the telework agreements are current.
Telework training. The Coast Guard telework program includes two
mandatory telework training classes—one tailored to participating
personnel and one to supervisors. 35 These classes provide important
information regarding the telework program’s rules and regulations,
according to Coast Guard officials.

33Coast Guard, Coast Guard Telework Program: Commandant Instruction 5330.4, Jan.

29, 2014). According to Coast Guard policy, an individual who is able to perform work
activities away from their regular worksite is eligible to telework.

34Telework Enhancement Act. Pub. L. No. 111-292, §2,124 Stat. 3165; 5 U.S.C. § 6503.
35According to the Coast Guard website, these telework training classes were developed

by the Office of Personnel Management and the General Services Administration to meet
the interactive training requirements of the Telework Enhancement Act.

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Telework agreements. Telework agreements provide a mechanism to
validate that participating personnel and their supervisors understand
their responsibilities and are in agreement regarding the specific work
arrangements before participating in the telework program. In addition,
the Coast Guard telework agreement includes a designated line where
personnel and supervisors must self-certify that they have completed the
mandatory telework training.
Annual telework agreement renewals. The Coast Guard telework
program requires participating personnel and their supervisors to review
telework agreements annually—or more frequently if there is a change in
work schedule or other circumstances—to ensure the agreements remain
current.
When we asked Coast Guard officials how they ensure that all telework
program participants have met these requirements, they explained that
completing these program requirements is the responsibility of
participating personnel and their supervisors. They added that these
personnel and their supervisors are solely responsible for retaining local
copies of these agreements—either electronically or in a paper-based
format—and do not submit these copies to management or further
document that they have been completed. 36 Coast Guard headquarters
officials confirmed that they do not track whether all applicable personnel
and their supervisors have valid telework agreements. As a result, they
were not able to tell us how many telework agreements were in place
across the Coast Guard or how many teleworking personnel may not
have the required telework agreements in place.
In addition, Coast Guard officials told us that although supervisors are to
review telework agreements at least annually, these agreements are not
required to be updated if there are no changes in status. Further, they
explained these annual supervisory reviews are not documented to
ensure they are taking place, which raises questions about whether
information in these telework agreements remain current.
The Telework Enhancement Act of 2010 requires agencies to ensure that
any federal employee participating in telework enters into a written
agreement with an agency manager. In accordance with this Act, Coast
36Coast Guard headquarters officials told us that it only retains electronic copies of

telework agreements that have been denied or terminated.

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Guard policy states that prior to participating in telework, all personnel
and their supervisors must enter into a valid telework agreement to verify
they have completed the mandatory telework training classes and are
aware of all program policies. 37 Coast Guard policy also requires
supervisors to review telework agreements at least annually, or more
frequently, as needed. In addition, the Office of Personnel Management’s
telework guidance states that telework agreements are living documents
that should be regularly reviewed and re-signed by both the supervisor
and teleworker. 38 Further, federal internal control standards state that
documentation is a necessary part of an effective internal control
system. 39 Therefore, as applied to telework agreements, these standards
support the practice of documenting these annual reviews.
Coast Guard headquarters officials told us that civilian personnel record
hours spent teleworking in WebTA, an automated time keeping system,
which supervisors are then to review and verify every 2 weeks. 40 While
recording this information in WebTA may be useful, it is not a substitute
for ensuring that required telework agreements have been completed and
signed in accordance with Coast Guard policy. Further, unlike civilian
personnel, active duty and reserve personnel—who comprise
approximately 84 percent of the total Coast Guard workforce—do not
record hours spent teleworking in WebTA. Instead, Coast Guard officials
told us they rely on individual supervisors to collect and retain this
information—along with documentation of valid telework agreements—at
the local level for all applicable active duty and reserve personnel under
their command.
Developing and implementing additional internal controls to ensure that
all personnel and supervisors participating in the telework program have
completed telework agreements and that supervisors have reviewed and
re-signed agreements at least annually would provide the Coast Guard
with better assurance that its telework program policies are being met.
First, ensuring that valid telework agreements are in place would help
provide the Coast Guard with assurance that all participating personnel—
37Coast Guard, Coast Guard Telework Program: Commandant Instruction 5330.4.
38Office of Personnel Management, Guide to Telework in the Federal Government

(Washington, D.C.: April 2011).

39GAO, Standards for Internal Control in the Federal Government, GAO-14-704G

(Washington, D.C.: Sept. 10, 2014).

40The officials added that the total number of Coast Guard civilian personnel participating
in the telework program at any given time is, therefore, captured in this WebTA system.

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including active duty, reserve, and civilian personnel—and their
supervisors have completed the mandatory telework training and are
aware of all policies guiding the program. Second, agencies that do not
document that required annual reviews of telework agreements have
occurred lack an important internal control to help ensure that information
in these agreements remain current. Given that Coast Guard officials
anticipate that high levels of participation in its telework program may
continue following the COVID-19 pandemic, ensuring that all personnel
who telework have valid and current telework agreements in place will
provide the Coast Guard with the information needed to make decisions
that require telework data, such as for space planning or technology
investments.

The Coast Guard Adapted
Its Personnel System to
Address Evolving Needs

The Coast Guard adapted its Personnel Accountability and Assessment
System (personnel system) in April 2020 to help track and account for
personnel during the COVID-19 pandemic. This personnel system is
designed to account for, manage, and monitor Coast Guard personnel
and their families who are affected by a catastrophic event or natural
disaster. For example, in the event of a hurricane, the Coast Guard may
issue an “Order to Account” through text message or email prompting all
personnel in the affected geographic areas to report their status and the
statuses of any dependents. According to Coast Guard documentation,
such reporting is critical in monitoring personnel and identifying any
individuals that may require assistance.
To address evolving needs posed by the COVID-19 pandemic, the Coast
Guard incorporated two new modules into its personnel system to allow
individuals to regularly self-report both their COVID-19 status—whether
they are currently affected by COVID-19—as well as their telework
status. 41 Table 3 provides more information on status options personnel
are able to select within the COVID-19 and telework modules.

41Coast Guard supervisory officials, called Commanding Officer Representatives, are

responsible for monitoring this information for personnel under their command. These
representatives also have system rights to report the COVID-19 and telework statuses for
personnel under their command. Coast Guard personnel are not required to enter COVID19 or telework statuses for their dependents.

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Table 3: Information on the U.S. Coast Guard Personnel System’s COVID-19 and Telework Status Modules
Module

Status option

Description of status

COVID-19 status

Unaffected

Individual has not been diagnosed with COVID-19 or knowingly been exposed to someone
who has been diagnosed with it

Quarantined

Individual has either been exposed to COVID-19, is suspected of having been exposed or
is displaying symptoms of COVID-19, and is separated from the general population

Isolated

Individual has tested positive for COVID-19 or been diagnosed with COVID-19 by a health
care professional, and has been separated from others who have not been exposed

Hospitalized

Individual has been admitted to the hospital due to COVID-19

Released

Diagnosed individual has been released from isolation or hospitalization

Deceased

Individual has died due to diagnosed COVID-19a

Unreported

No status has been set (default status)

Working on-site

Individual spends 50 percent or more of work time on-site at normal work locationb

Working off-site

Individual spends 50 percent or more of work time away from normal work location, using
situational telework

Not working

Individual is unable to work at normal work site and unable to telework

Unknown

No status has been set (default status)

Telework status

Source: GAO analysis of Coast Guard documentation. | GAO-21-539
a
Individuals are not able to self-select “deceased” as a status in the COVID-19 module. However,
Coast Guard supervisory officials called Commanding Officer Representatives, who are responsible
for monitoring these data for personnel under their command, are able to select this status.

This status includes individuals teleworking under their normal work schedules for less than 50
percent of work time.

b

According to Coast Guard policy, applicable personnel are to log into the
personnel system, self-report their initial COVID-19 and telework
statuses, and then subsequently update their information upon any
change in their statuses. This policy states that all active duty personnel
and reserve personnel on active duty orders are required to self-report
and regularly update their COVID-19 and telework statuses. In contrast,
civilian personnel and reserve personnel who are performing training
activities while in inactive duty status are encouraged to self-report these
statuses, but are not required to do so. 42 Further, once personnel have
self-reported their statuses, supervisory officials, called Commanding
42Coast Guard reserve personnel who are performing training activities while in inactive

duty status are required to participate in part-time training activities each year. These
personnel may be ordered to active duty status to meet the Coast Guard’s operational
needs. Coast Guard senior leadership made the decision not to require civilians to selfreport their COVID-19 and telework statuses due to privacy concerns associated with
personnel having to disclose protected health information and the challenges associated
with negotiating with the numerous unions that represent Coast Guard civilian personnel.

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Officer Representatives, are responsible for monitoring information
entered into these two modules for personnel under their command.
These representatives are also required to conduct weekly audits for the
purpose of validating the status information to ensure that (1) applicable
personnel under their command have self-reported their statuses into
these two modules, as required, and that (2) the statuses are accurate
and current. 43
On April 20, 2020, the Coast Guard sent an Alert and Warning System
notice marked as “high importance” to all personnel requiring all
applicable individuals to log into the personnel system and self-report
their COVID-19 and telework statuses within 4 days. 44 This notice
included step-by-step instructions on how to log into the personnel
system and correctly update the two new modules. In addition, the Coast
Guard issued two ALCOAST messages—one each in April and May
2020—reiterating that applicable personnel are required to self-report
COVID-19 and telework statuses and that Commanding Officer
Representatives are responsible for conducting weekly audits to verify the
accuracy and completeness of the COVID-19 and telework status
information for all personnel under their command. Further, the Coast
Guard updated its COVID-19 Planning Order to include, among other
things, the detailed process for determining which COVID-19 status to
select based on any given scenario.
Coast Guard documentation states that the accurate and timely tracking
of data on personnel’s COVID-19 and telework statuses aids strategiclevel decision-making during the pandemic, such as those associated
with resource allocation and the operational readiness of the Coast Guard
workforce. For example, data on personnel’s COVID-19 statuses are
included in weekly reports to senior leadership for the purposes of
assessing both Coast Guard-wide operational readiness as well as the
individual unit’s (e.g., sector) ability to continue carrying out its missions.
43Coast Guard officials told us that Commanding Officer Representatives are located

throughout the Coast Guard and unit-level representatives are to validate data for
personnel under their command before this information is sent up the Coast Guard chain
of command. As of April 30, 2021, there were 2,608 total Commanding Officer
Representatives responsible for monitoring data on the COVID-19 and telework statuses
of Coast Guard personnel, according to the Coast Guard. These included 1,082
representatives at the sector level, 283 representatives at the district level, 325
representatives at the area level, and 918 representatives at the headquarters level.

44The Alert and Warning System is a mass notification system that allows the Coast

Guard to rapidly disseminate targeted alerts to all of its personnel.

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Coast Guard officials also told us they use the personnel system’s data to
meet DHS reporting requirements—including the total number of
confirmed COVID-19 cases among Coast Guard personnel and the
percentage of the Coast Guard’s workforce who are teleworking. For
example, according to personnel system data, the Coast Guard had a
total of at least 2,982 confirmed COVID-19 cases and three reported
deaths as of April 30, 2021. Officials responsible for tracking these data
stated that this total underestimates the number of actual COVID-19
cases because of the method the Coast Guard uses to compile the data
to meet DHS reporting requirements. 45

Coast Guard Data on the
COVID-19 and Telework
Statuses of its Personnel
Are Not Reliable

Our analysis found that data on the COVID-19 and telework statuses of
Coast Guard personnel from April 2020 through April 2021 were not
reliable due to missing data and concerns about accuracy. Specifically,
the data consistently include thousands of active duty, reserve, and
civilian personnel with “unreported” and “unknown” COVID-19 and
telework statuses, respectively, which raises questions about the
accuracy and completeness of these data. For example, according to
these data, the number of personnel with “unreported” COVID-19
statuses ranged from a low of 1,959 individuals in August 2020 to a high
of 4,455 individuals in April 2021. 46 Further, the number of personnel with
“unknown” telework statuses ranged from a low of 2,479 individuals in
August 2020 to a high of 5,108 individuals in April 2021.
When we asked Coast Guard officials about these missing COVID-19 and
telework statuses, they stated that these missing data most likely
represent civilian personnel, who are not required, but only encouraged to
self-report their statuses. According to our analysis, however, many of the
missing statuses in the personnel system were for active duty personnel,
who are required by Coast Guard policy to self-report their statuses. For
45Data on the number of confirmed COVID-19 cases among Coast Guard personnel only

includes individuals who both (1) self-reported the COVID-19 module’s “isolated” status
and (2) manually indicated they had received a positive COVID-19 test result by typing
this information into a text box within the module, according to a Coast Guard official
familiar with these data. In turn, these data do not include Coast Guard personnel who (1)
did not receive a positive COVID-19 test result (but may nonetheless have been clinically
diagnosed with COVID-19) or (2) did not accurately enter information into the COVID-19
module.
46According to Coast Guard officials, the personnel system captures a daily snapshot of

information on personnel’s COVID-19 and telework statuses. We requested, and the
Coast Guard provided, a daily snapshot of this information consecutively for every two
weeks from April 2020 through April 2021. Since the Coast Guard only began collecting
these data in late April 2020, the earliest data we use for the purposes of this analysis is
from May 2020.

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example, according to Coast Guard data, the number of active duty
personnel with “unreported” COVID-19 statuses ranged from a low of 487
individuals in August 2020 to a high of 1,295 in October 2020. Further,
these same data indicate that the number of active duty personnel with
“unknown” telework statuses ranged from a low of 653 individuals in
August 2020 to a high of 1,602 in May 2020.
Coast Guard headquarters officials told us they did not know why the
statuses for these active duty personnel would be missing given that they
are required to self-report this information. Further, the officials told us
they were not sure why Commanding Officer Representatives would not
have taken steps to address any missing statuses when conducting
weekly audits, as required by Coast Guard policy. In particular, Coast
Guard policy states that Commanding Officer Representatives are to
conduct weekly audits to (1) ensure that all applicable personnel have
self-reported their COVID-19 and telework statuses, and (2) verify that all
data reported are accurate. 47 In addition, federal internal control
standards state that agencies should design control activities to achieve
objectives and respond to risks. 48 These include information system
controls designed to, among other things, ensure the accuracy and
completeness of system data.
By requiring weekly audits of data in its personnel system, the Coast
Guard has a control in place that is designed to verify the accuracy and
completeness of all data reported in this system. However, the presence
of missing information on the COVID-19 and telework statuses,
specifically for active duty personnel who are required to self-report this
information, raises concerns about whether Commanding Officer
Representatives are carrying out these weekly audits as required by
policy. Further, Coast Guard headquarters officials stated there is no
formal process in place for documenting or confirming that these
representatives have conducted weekly audits and the officials could not
provide assurance or evidence that these audits were being conducted.
As stated earlier, Coast Guard policy requires active duty personnel—
approximately 40,500 individuals as of April 2021—to regularly report

47Coast Guard, Coast Guard Personnel Accountability & Assessment System: COVID-19
Reporting Tool Combined Member & COR User Guide, June 2020.
48GAO-14-704G.

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their COVID-19 and telework statuses in the personnel system. 49 In
contrast, Coast Guard policy does not require civilian personnel to report
their COVID-19 and telework statuses. 50 However, the Coast Guard does
encourage them to do so and the majority of civilian personnel do report
this information. For example, of the 9,249 civilian personnel included in
the Coast Guard personnel system as of April 30, 2021, Coast Guard
data indicate that 8,242 (89 percent) had reported their COVID-19
statuses and 8,132 (88 percent) had reported their telework statuses.
While collecting such data is useful in accounting for personnel and
informing decisions during the pandemic, the Coast Guard must also
ensure that these data are accurate. As previously described, the Coast
Guard requires weekly audits as a control measure for ensuring the
accuracy of the data; however, it does not have assurance that these
audits are being conducted. As a result, the Coast Guard does not have
assurance that reported data on the COVID-19 and telework statuses of
all its personnel are accurate and complete.
Coast Guard officials stated they had not taken steps to improve the
accuracy and completeness of its data on personnel’s COVID-19 and
telework statuses because they determined that available data was
sufficient to meet the Coast Guard’s needs. As described earlier, the
Coast Guard regularly uses these data to meet weekly DHS reporting
requirements and to aid leadership in making resource allocation
decisions and in determining the operational readiness of the Coast
Guard workforce at both the organization wide and individual unit levels.
However, the Coast Guard does not have assurance that its required
process for verifying these data—weekly audits—are actually being
conducted and that these data are accurate and complete. Without such
assurance, the Coast Guard and DHS may be relying on inaccurate and
incomplete data when making decisions that rely on these data, such as
for assessing the Coast Guard’s telework posture and determining its
operational readiness to conduct statutory missions.

Conclusions

In response to the unprecedented challenges caused by the COVID-19
pandemic, beginning in early 2020, the Coast Guard took actions to
safeguard its personnel and continue conducting its statutory missions,
49In addition, Coast Guard policy also requires reserve personnel on active duty orders to

self-report this information.

50In addition, Coast Guard reserve personnel who are performing training activities while

in inactive duty status are not required to self-report this information, but are encouraged
to do so.

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including expanding telework to reduce the risk of COVID-19 exposure for
its personnel. However, the Coast Guard lacks assurance that all
teleworking personnel and their supervisors have completed two key
program requirements—namely, completing and signing telework
agreements prior to beginning telework and reviewing these agreements
annually, or more frequently as needed. Developing and implementing
additional controls to ensure all participating personnel and their
supervisors have valid and current telework agreements in place would
provide the Coast Guard with the information it needs regarding its
telework program, which is particularly important given that Coast Guard
officials anticipate telework levels may remain relatively high following the
COVID-19 pandemic.
Further, the Coast Guard began collecting new data on the COVID-19
and telework statuses of its personnel, but our analysis found they were
not reliable due to missing data and concerns about accuracy. Although
Coast Guard policy requires that weekly audits be conducted to verify the
accuracy and completeness of these data, the Coast Guard does not
have assurance or evidence that these audits are being conducted.
Ensuring that weekly audits are being conducted to verify the accuracy
and completeness of these data is critical in providing DHS and Coast
Guard leadership with assurance they are relying on quality information
when making operational decisions.

Recommendations for
Executive Actions

We are making the following three recommendations to the Coast Guard:
The Commandant of the Coast Guard should develop and implement
additional internal controls to ensure that all personnel participating in the
Coast Guard’s telework program have valid telework agreements in
place. (Recommendation 1)
The Commandant of the Coast Guard should develop and implement
additional internal controls to ensure that supervisors review telework
agreements at least annually and document these reviews.
(Recommendation 2)
The Commandant of the Coast Guard should ensure that required weekly
audits are being conducted to verify the accuracy and completeness of
data on the COVID-19 and telework statuses of Coast Guard personnel.
(Recommendation 3)

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Agency Comments
and Our Evaluation

We provided a draft of this report to DHS and the Coast Guard for review
and comment. The Coast Guard provided technical comments, which we
have incorporated into the report as appropriate. In addition, DHS
provided written comments, which are reprinted in appendix II and
summarized below.
DHS concurred with our first and second recommendations, stating that
the Coast Guard’s existing telework program policy requires that all
participating personnel have valid telework agreements in place, and that
these agreements are to be reviewed at least annually. DHS also stated
that the Coast Guard plans to issue a Coast Guard-wide notification on an
annual basis to remind personnel about these telework program
requirements. To address the intent of our first and second
recommendations, the Coast Guard will also need to ensure that all
teleworking personnel have valid telework agreements in place and that
their supervisors review these agreements and document their reviews at
least annually.
In addition, DHS concurred with our third recommendation, and described
the Coast Guard’s planned and completed actions in response to it. To
address the intent of our recommendation, the Coast Guard will also need
to ensure that required weekly audits are being conducted to verify the
accuracy and completeness of data on the COVID-19 and telework
statuses of Coast Guard personnel. We will monitor DHS’s and the Coast
Guard’s efforts in addressing these three recommendations.
We are sending copies of this report to the appropriate congressional
committees, the Secretary of Homeland Security, the Commandant of the
Coast Guard, and other interested parties. In addition, the report is
available at no charge on the GAO website at http://www.gao.gov.
If you or your staffs have any questions about this report, please contact
Heather MacLeod at 202-512-8777 or macleodh@gao.gov. Contact
points for our Offices of Congressional Relations and Public Affairs may

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be found on the last page of this report. GAO staff that made key
contributions to this report are listed in appendix III.

Heather MacLeod
Acting Director, Homeland Security and Justice Issues

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List of addressees
The Honorable Patrick Leahy
Chairman
The Honorable Richard Shelby
Vice Chairman
Committee on Appropriations
United States Senate
The Honorable Ron Wyden
Chairman
The Honorable Mike Crapo
Ranking Member
Committee on Finance
United States Senate
The Honorable Patty Murray
Chair
The Honorable Richard Burr
Ranking Member
Committee on Health, Education, Labor, and Pensions
United States Senate
The Honorable Gary C. Peters
Chairman
The Honorable Rob Portman
Ranking Member
Committee on Homeland Security and Governmental Affairs
United States Senate
The Honorable Rosa L. DeLauro
Chairwoman
The Honorable Kay Granger
Ranking Member
Committee on Appropriations
House of Representatives
The Honorable Frank Pallone, Jr.
Chair
The Honorable Cathy McMorris Rodgers
Republican Leader
Committee on Energy and Commerce
House of Representatives

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The Honorable Bennie G. Thompson
Chairman
The Honorable John Katko
Ranking Member
Committee on Homeland Security
House of Representatives
The Honorable Carolyn B. Maloney
Chairwoman
The Honorable James Comer
Ranking Member
Committee on Oversight and Reform
House of Representatives
The Honorable Richard Neal
Chair
The Honorable Kevin Brady
Republican Leader
Committee on Ways and Means
House of Representatives
The Honorable Peter A. DeFazio
Chair
Committee on Transportation and Infrastructure
House of Representatives

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Appendix I: Results of Interviews with Nine
Coast Guard Sector Command-Level
Officials
Appendix I: Results of Interviews with Nine
Coast Guard Sector Command-Level Officials

We interviewed Coast Guard officials from nine sectors to obtain their
perspectives regarding safeguarding Coast Guard personnel and
continuing to conduct statutory missions during the COVID-19 pandemic.
To select the sectors, we selected a non-probability sample of one sector
from each of the Coast Guard’s nine districts to allow for geographic
diversity, among other factors. Figure 7 identifies the nine sectors we
selected for interviews.
Figure 7: Map of the Nine Coast Guard Sectors Included in our Content Analysis of COVID-19 Challenges

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Appendix I: Results of Interviews with Nine
Coast Guard Sector Command-Level Officials

In conducting these sector interviews, we asked Coast Guard officials to
identify any challenges associated with safeguarding Coast Guard
personnel and continuing to conduct statutory missions during the
COVID-19 pandemic. We then conducted a content analysis by
assessing the information obtained from our interviews with Coast Guard
officials from nine sectors to identify common challenges cited by officials
from at least two sectors. 1 We then organized the challenges cited into
broader categories. Figure 8 describes the results of our content analysis
of information and responses obtained from officials at nine Coast Guard
sectors.

1This appendix only includes challenges cited by Coast Guard officials from at least two of
the nine sectors interviewed.

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Appendix I: Results of Interviews with Nine
Coast Guard Sector Command-Level Officials

Figure 8: Results of our Content Analysis of Challenges Cited during Interviews Conducted with Officials from Nine Coast
Guard Sectors

Notes: This figure presents information obtained through interviews we conducted with Coast Guard
officials from nine Coast Guard sectors. This figure does not include information from other interviews
we conducted with officials from Coast Guard headquarters. The information presented outlines all

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Appendix I: Results of Interviews with Nine
Coast Guard Sector Command-Level Officials

challenges cited by Coast Guard officials from more than one sector. We did not independently verify
statements made by Coast Guard sector officials we interviewed. The results of these interviews are
not generalizable and may not be indicative of officials’ perspectives across all Coast Guard sectors.
However, they provided us with informative perspectives from frontline personnel on challenges
Coast Guard sector officials faced during the COVID-19 pandemic. Further, sector officials provided
information on challenges they faced during the pandemic in response to our open-ended interview
questions. As a result, while sector officials may not have specifically cited a selected challenge
during our interviews, this does not necessarily mean their sectors did not experience this challenge
during the COVID-19 pandemic. In addition, information obtained through our interviews with sector
officials also helped to inform our findings (described earlier) regarding the challenges the Coast
Guard faced during the COVID-19 pandemic, and the actions the Coast Guard took to address them.

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Appendix II: Comments from the Department
of Homeland Security
Appendix II: Comments from the Department
of Homeland Security

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Appendix II: Comments from the Department
of Homeland Security

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Appendix II: Comments from the Department
of Homeland Security

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Appendix III: GAO Contact and Staff
Acknowledgments
Appendix III: GAO Contact and Staff
Acknowledgments

GAO Contact

Heather MacLeod at 202-512-8777 or macleodh@gao.gov.

Staff
Acknowledgments

In addition to the contact named above, Christopher Conrad (Assistant
Director), Bryan Bourgault (Analyst-in-Charge), and Emily Hutz made key
contributions to this report. Nathan Anderson, Ben Crossley, Dominick
Dale, Dave Hooper, and Amanda Miller also contributed to this report.

(104385)

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