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The COAST GUARD Journal of Safety & Security at Sea PFall 2019roceedingsof the Marine Safety & Security Council Maritime Governance Addressing the Nation’s Challenges Coast Guard at Work in Alaska In the background, the serene image of a raft of otters floating past Coast Guard Cutters SPAR and Douglas Munro, moored at home port in Womens Bay, Kodiak, Alaska, belies Coast Guard District 17’s busy start to 2019. Above, from left, An MH-60 Jayhawk helicopter crew from Air Station Kodiak located two missing men near Saltery Cove, Kodiak Island, on April 28; Maritime Security Response Team West personnel, including K-9 Bingo, trained with Alaska FBI’s Joint Terrorism Task Force in a full-scale anti-terrorism exercise in Cordova on April 23; Kodiak High School students participate in Women in Engineering Day activities aboard Coast Guard Cutter Douglas Munro in Kodiak on May 6; A dog anxiously awaits the return of her owner from the Coast Guard Cutter Douglas Munro, at its home port on April 23, after a 30-day deployment. Coast Guard photos PROCEEDINGS Fall 2019 Vol. 76, Number 2 Introduction Coordination Compliance and Conceptualizing Maritime and Policy Enforcement 6 Governance | Addressing the challenges of the modern Strengthening the Chain National Fisheries Observer maritime environment 31 of Responsibility Through 52 Program | Bridging the gaps by CAPT Russ Bowman and the Genuine Link | An between the fishing industry, Dr. Tiffany Smythe executive review of flag state fisheries management, and control in the United States conservation by LCDR Corydon F. Heard IV by LT Henry B. Ward and LCDR Christopher M. Nichols Promoting Safety and Maritime Governance 55 Competence through A Process-Based Remediation | Settlement Frameworks 39 Management System for agreements in Coast Guard Maritime Governance suspension and revocation Ocean Governance by CAPT Lee Boone, John actions 13 Perspectives | The case of Hannon, CDR Michael Reed, by CDR Christopher Jones and the Arctic and Julius DeSilva LT Mathew Schirle by LCDR Megan Drewniak and Dimitrios Dalaklis Combating Networks | The Enhancing Maritime Coast Guard’s role in 43 60 Governance | The role of confronting threats in A History of Governance private sector compliance the Western Hemisphere 19 in the Antarctic Region providers by LCDR Pat McMahon by LT Samuel Krakower by Ryan Allain and Thomas Wiker Common Sense Regulatory The Role of the Regulator | Supporting ballast water 23 Practices | Coast Guard 49 U.S. Coast Guard | discharge standard economic analysis from the 64 Capabilities to be relied upon beginning to Executive Order compliance by LCDR Matthew Brinkley and by LT Jacob Baldassini, LT James 13771 and beyond LCDR Pat McMahon by Stephen Jones and Carter, and LCDR Maria Wiener Jeffrey Horn Restoring Maritime 69 Governance Systems | The Charting a Course unique role of the National 28 for Rulemaking Strike Force in disaster by Dominique Christianson response and recovery by CDR Kelly Thorkilson, CDR Brett Workman, LCDR Timothy Brown, CDR Rob Treviño, and LCDR Allison Cox Editorial Team Samantha L. Quigley Executive Editor Antonio E. Balza Managing Editor Leslie C. Goodwin Graphic Designer Proceedings is published three times a year in On Deck the interest of safety at sea under the auspices of the Marine Safety & Security Council. Deputy Commandant’s Lessons Learned Special permission for republication, either 4 Perspective 77 Working with in whole or in part, except for copyrighted by Vice Admiral Daniel B. Abel International Partners material, is not required, provided credit is given to Proceedings. on Marine Casualty Champion’s Point of View Investigations | The articles contained in Proceedings 4 by Timothy Brown by LCDR Randy Preston are submitted by diverse public and pri- vate interests in the maritime community as a means to promote maritime safety Historical Snapshot Chemical of the Quarter and security. The views expressed by the 75 D-Day, Operation Neptune, 80 Understanding Sodium authors do not necessarily represent those and the Matchbox Fleet Hypochlorite of the U.S. Coast Guard or the Depart- by Petty Officer 3rd Class by Hillary Sadoff ment of Homeland Security or represent David Micallef official policy. Nautical Queries Graphics provided by the Coast Guard and its Jack Hamlin: D-Day in Engineering licensors, unless otherwise indicated. 76 a Matchbox | 81 Editorial Contact by Samantha L. Quigley Deck 83 Email: [email protected] Mail Commandant (CG-5PS) ATTN: Editor, Proceedings Magazine U.S. Coast Guard Stop 7318 2703 Martin Luther King Jr. Ave. S.E. Washington, DC 20593-7318 On the Cover: Maritime governance Web: www.dco.uscg.mil/proceedings is a difficult concept but affects Phone: (202) 372-2316 all maritime nations. The United Subscription Requests States is no exception, and this Proceedings is free of charge and published issue of Proceedings explains the in April, August, and December. Coast Guard’s approach to the topic. Subscriptions: The Polar regions are important www.dco.uscg.mil/proceedings considerations in U.S. maritime governance. The new Polar Security Cutter, depicted on the back cover, is key to the Coast Guard’s mission to secure U.S. interests in these regions. Adrian Grosu | Bigstock.com Admiral Karl L. Schultz Commandant U.S. Coast Guard Deputy The Marine Safety Commandant’s & Security Council of the United States Coast Guard Perspective by VICE ADMIRAL DANIEL B. ABEL Rear Admiral Steven J. Andersen Judge Advocate General Deputy Commandant for Operations & Chief Counsel U.S. Coast Guard Chairman Rear Admiral Melissa Bert In November 2018 the Commandant of Senior-Leadership/Resource-Library/. Director of Governmental the Coast Guard released his updated That plan is organized around three and Public Affairs Coast Guard Strategic Plan, available at strategic priorities to ensure the Coast Member https://www.uscg.mil/Leadership/ Guard remains Ready, Relevant and Rear Admiral Thomas G. Allan Assistant Commandant for Resources, Chief Financial Officer Member Rear Admiral Richard V. Timme Assistant Commandant for Prevention Policy Member Captain David C. Barata Director of Inspections and Compliance Member Champion’s Mr. Jeffrey G. Lantz Director of Commercial Point of View Regulations and Standards Member Mr. Michael D. Emerson by TIMOTHY BROWN Director of Marine Office Chief Transportation Systems Office of Standards, Evaluation and Development Member U.S. Coast Guard Rear Admiral Douglas M. Fears Assistant Commandant for Response Policy Maritime governance is a wide rang- maritime governance, but while pre- Member ing topic, with a nexus to all 11 of the paring for this edition of Proceedings Ms. Dana S. Tulis Coast Guard’s statutory missions. There we agreed on a working definition that Director of Incident Management is no broadly agreed upon definition of served us well. and Preparedness Policy Member Mr. William R. Grawe Director of National Pollution Funds Center Member Ms. Rebecca D. Orban Executive Secretary 4 Proceedings Fall 2019 Responsive. Specifically, those priorities seek to ensure domain make [the nation] vulnerable to dangerous the Coast Guard will: threats, including transnational crime, terrorist activity, • Maximize readiness today and tomorrow; illegal exploitation of natural resources, and territorial • Address the nation’s complex maritime expansionism.” challenges; and Noting these challenges to pose significant threats • Deliver mission excellence anytime, anywhere. to our national interests, then strengthening maritime In establishing this strategic framework, the governance is a key objective to enhancing the Coast Commandant’s plan provides an assessment of the pre- Guard’s ability to police, detect, deter, and counter mari- vailing strategic environment highlighting the many time threats. The articles in this edition of Proceedings challenges facing the nation and the Coast Guard. Acknowledging the maritime nature of our Nation and examine the partnerships, policies and operations that our dependence upon the sea for security and economic bolster maritime governance. By leveraging the Coast prosperity, this assessment of the strategic environment Guard’s enforcement and regulatory authorities, our acknowledges our dependence on open trade, travel and singular capabilities, and cooperating with partners in rules based governance. Yet, despite this dependence, the public and private sectors, the service is uniquely the plan notes that, “… the vastness, anonymity, and positioned to work across the full spectrum of maritime inherent challenges of governance over the maritime operations. The ability of the government, through direct actions and governance at the strategic level. partnerships with private, non-governmental and interna- Proceedings is always a group effort, and this edi- tional entities, to exercise effective control over its maritime tion on maritime governance relied on an exceptionally domain. broad group of authors across the service, private indus- In the pages that follow, we have attempted to explain try, and academia. It was a distinct pleasure to learn the historical and legal underpinnings of maritime from some of the leading experts and practitioners in the governance demonstrate the relevance of an effective field. I am indebted to the authors, to retired CAPT Ben maritime governance system and show the value the Hawkins, deputy director of Commercial Regulations Coast Guard brings to the nation and the world through implementation of its maritime governance