Review of Coast Guard's Oversight of the TWIC Program

Submitting OIG:

Report Description:

DHS did not complete an assessment of the security value of the Transportation Worker Identification Credential (TWIC) program as required by law. This occurred because DHS experienced challenges identifying an office responsible for the effort. As a result, Coast Guard does not have a full understanding of the extent to which the TWIC program addresses security risks in the maritime environment. This will continue to impact the Coast Guard’s ability to properly develop and enforce regulations governing the TWIC program. For example, Coast Guard did not clearly define the applicability of facilities that have certain dangerous cargo in bulk when developing a final rule to implement the use of TWIC readers at high-risk maritime facilities. Without oversight and policy improvements in the TWIC program, high-risk facilities may continue to operate without enhanced security measures, putting these facilities at an increased security risk. In addition, Coast Guard needs to improve its oversight of the TWIC program to reduce the risk of transportation security incidents. Due to technical problems and lack of awareness of procedures, Coast Guard did not make full use of the TWIC card’s biometric features as intended by Congress to ensure only eligible individuals have unescorted access to secure areas of regulated facilities. During inspections at regulated facilities from FYs 2016 through 2017, Coast Guard only used electronic readers to verify, on average, about one in every 15 TWIC cards against TSA’s canceled card list. This occurred because the majority of the TWIC readers in the field have reached the end of their service life. Furthermore, the Coast Guard’s guidance governing oversight of the TWIC program is fragmented, which led to confusion and inconsistent inspection procedures. This resulted in fewer regulatory confiscations of TWIC cards. The Department concurred with our four recommendations, and described the corrective actions it is taking and plans to take.

Date Issued:

Friday, September 28, 2018

Agency Reviewed / Investigated:

Department of Homeland Security

Submitting OIG-Specific Report Number:

OIG-18-88

Component, if applicable:

United States Coast Guard (USCG)

Location(s):

United States

Type of Report:

Audit

Number of Recommendations:

View Document:

Attachment	Size
OIG-18-88-Sep18.pdf	1.3 MB

Additional Details Link:

https://www.oig.dhs.gov/sites/default/files/assets/2018-10/OIG-18-88-Sep18.pdf

Recommendation Number	Recommendation Status	Significant Recommendation
2	Open	No
We recommend the Coast Guard's Assistant Commandant for Prevention Policy take action to more clearly define the applicable facilities that have certain dangerous cargo in bulk and which must implement the use of electronic TWIC readers as an access control measure.
4	Open	No
We recommend the Coast Guard's Assistant Commandant for Prevention Policy revise and strengthen the Coast Guard TWIC Verification and Enforcement Guide. At a minimum, the policy should: - streamline guidance for oversight of the TWIC program by consolidating requirements from other interim Coast Guard policy documents; - include more specific procedures for recording the results of electronic TWIC verifications in the Marine Information for Safety and Law Enforcement system, such as updating the reference to the appropriate user guide and requiring inspectors to add a narrative explanation when card readers are not used for verifications; - define Coast Guard facility inspectors as law enforcement personnel, clarify the inspectors' authority for performing regulatory confiscations of TWIC cards, and outline the required procedures for documenting regulatory confiscations in the Marine Information for Safety and Law Enforcement system and returning the cards to TSA; and - specify key documents that Coast Guard facility inspectors must upload in the Marine Information for Safety and Law Enforcement system for annual compliance exams and security spot checks at regulated facilities, including but not limited to the completed inspection checklist, Form CG-835F, enforcement actions, and evidence of corrective action taken.

Recommendation Number

Recommendation Status

Significant Recommendation

Additional Details

Open

We recommend the Coast Guard's Assistant Commandant for Prevention Policy take action to more clearly define the applicable facilities that have certain dangerous cargo in bulk and which must implement the use of electronic TWIC readers as an access control measure.

Open

We recommend the Coast Guard's Assistant Commandant for Prevention Policy revise and strengthen the Coast Guard TWIC Verification and Enforcement Guide. At a minimum, the policy should: - streamline guidance for oversight of the TWIC program by consolidating requirements from other interim Coast Guard policy documents; - include more specific procedures for recording the results of electronic TWIC verifications in the Marine Information for Safety and Law Enforcement system, such as updating the reference to the appropriate user guide and requiring inspectors to add a narrative explanation when card readers are not used for verifications; - define Coast Guard facility inspectors as law enforcement personnel, clarify the inspectors' authority for performing regulatory confiscations of TWIC cards, and outline the required procedures for documenting regulatory confiscations in the Marine Information for Safety and Law Enforcement system and returning the cards to TSA; and - specify key documents that Coast Guard facility inspectors must upload in the Marine Information for Safety and Law Enforcement system for annual compliance exams and security spot checks at regulated facilities, including but not limited to the completed inspection checklist, Form CG-835F, enforcement actions, and evidence of corrective action taken.

Search form

Review of Coast Guard's Oversight of the TWIC Program

Related Open Recommendations