USCG / DHS Regulatory Affairs

Excerpt from U.S. Coast Guard Proceedings of the Marine Safety & Security Council magazine by Ms. Mary Kate Whalen, Associate General Counsel, Regulatory Affairs Law Division, Office of the General Counsel, Department of Homeland Security.


USCG Within DHS
The U.S. Coast Guard has one of the broadest missions in DHS, encompassing maritime safety and security, law enforcement, border protection, and environmental protection.

It’s not surprising, then, that the Coast Guard also has the largest and most varied regulatory agenda of any of the department’s components. The Coast Guard issues hundreds of regulations each year, ranging from local field regulations establishing or revising safety and security zones to complex regulatory actions proposing environmental protections and maritime security initiatives.

Regulations Can Improve Security
When DHS promulgates regulations to further the security of the homeland, it imposes obligations on millions of citizens—legally binding obligations that can result in significant costs. Therefore, it is critical that DHS regulations are well coordinated—within the department and the executive branch—to ensure that regulatory initiatives are implemented in compliance with applicable statutory authorities.

These regulations must also be the product of reasoned decision-making and consistent with the policies and priorities established by the White House, the Secretary of Homeland Security, and, with respect to Coast Guard regulations, the Commandant of the Coast Guard.

A Centralized Regulatory Process
The Regulatory Affairs Law Division’s Office of the General Counsel manages the centralized regulatory process for DHS. Regulatory Affairs works closely with the Coast Guard’s Office of Regulations and Administrative Law to coordinate Coast Guard regulations within DHS and through OMB’s interagency review process.

USCG/DHS Coordination
Regulatory Affairs economists also work closely with the Coast Guard’s Standards Evaluation and Analysis Division to develop and coordinate regulatory impact assessments supporting the Coast Guard’s regulatory initiatives.

The close partnership between Regulatory Affairs and the Coast Guard’s regulatory staff remains a highly valuable component of the continued success of the Coast Guard’s regulatory program.


For more information:
Full article is available at http://www.uscg.mil/proceedings/spring2010.

Subscribe online at http://www.uscg.mil/proceedings/subscribe.asp.

Developing Multi-Mission Regulations

Excerpt from U.S. Coast Guard Proceedings of the Marine Safety & Security Council magazine by Mr. Jaideep Sirkar, former Chief, U.S. Coast Guard Regulatory Project Development Division.

The U.S. Coast Guard has 11 missions:

• Ports, waterway, and coastal security
• Drug interdiction
• Aids to navigation
• Search and rescue
• Living marine resources
• Marine safety
• Defense readiness
• Migrant interdiction
• Marine environmental protection
• Ice operations
• Other law enforcement

One way we exercise the authority given to us by the U.S. Congress is through regulations. Since our roles and responsibilities are so diverse, our regulations will be equally diverse.

Our regulations are primarily contained in Title 33, Navigation and Navigable Waters, and Title 46, Shipping, of the Code of Federal Regulations.

Current Regulations
To review all Coast Guard regulations currently in effect, look at the online Code of Federal Regulations. You will notice regulations for “hardware”—ships, equipment, materials; those for “software”—operating/operational requirements, personnel requirements; and those for financial requirements.

You will also find, among other things, regulations on treatment of ships’ ballast water to prevent the introduction of non-indigenous species, regulations on inspection standards for towing vessels, discussion of standards for card readers that read identification cards for transportation workers, and environmental issues that include pollution sources such as engine emissions and oil spills.

Reg Agenda
Do you want to know what regulations the Coast Guard is currently working on, or is thinking of working on?

Go to: http://www.reginfo.gov/. Click on the link in the center of the page, “Current and Past Agendas and Plans and How to Use Them.” From the drop-down menu for “Select Agency,” select “Department of Homeland Security” and click “Submit.” Scroll down to the Coast Guard entries—the ones labeled “DHS/USCG.”


For more information:
Full article is available at http://www.uscg.mil/proceedings/spring2010.

Subscribe online at http://www.uscg.mil/proceedings/subscribe.asp.

Rulemaking Process Improvements

Excerpt from U.S. Coast Guard Proceedings of the Marine Safety & Security Council magazine by Mr. Jeff Lantz, U.S. Coast Guard Director of Commercial Regulations and Standards.


The U.S. Coast Guard is the nation’s maritime guardian. One of our goals is to develop policies, develop regulations, and execute a technical compliance program to guide and enhance the Coast Guard’s marine safety, security, and stewardship missions.

A substantial increase in regulatory workload brought about by 9/11 and ensuing legislation placed the Coast Guard in a reactive rulemaking mode rather than a proactive leadership role. We were not staffed to address that increased regulatory workload as quickly as we would have liked.

In response to these increased demands, the Coast Guard embarked on an effort to improve the rulemaking process. We have already begun to implement some of these improvements, which provides us an opportunity to reduce our project backlog, improve our processes and measurements, and increase our efficiency.

For example, we will establish better communications and clearer expectations of the full range of staff members involved in each project, and ensure all requirements are fully understood before we embark on a particular regulation project. We have also clarified team roles and responsibilities and delegation of authority for each project, eliminating unnecessary overlapping regulation writing.

We are leveraging technology by adopting an intranet-based visual reporting system that will help us focus on important deadlines and establish priorities among the wide range of regulations under development.

In upcoming posts we will feature a cross-section of articles that cover the range of aspects associated with the rulemaking process. I hope that readers will have a better appreciation for our rulemaking process and the steps we take to address all stakeholders’ concerns.


For more information:
Full article is available at http://www.uscg.mil/proceedings/spring2010.

Subscribe online at http://www.uscg.mil/proceedings/subscribe.asp.

Proceedings Winter 2010-11 Issue Available Online

The current edition of Proceedings (Winter 2010-11 – Fishing Vessel Safety) is available online at http://www.uscg.mil/proceedings/.


This Fishing Vessel Safety issue contains a wealth of articles addressing U.S. Coast Guard efforts to prevent fishing vessel casualties at a very exciting and busy time in the prevention community, considering the recent passage of the Coast Guard Authorization Act of 2010.

The articles share lessons of the past as well as efforts to capitalize on research, to team with fishing industry stakeholders to provide realistic solutions, and to ensure that our personnel have the knowledge and ability to carry out our policies.

As you read the issue, we hope you will consider your role in fishing vessel safety and what you can do to make this program as successful as possible.

USCG Rulemaking

Excerpt from U.S. Coast Guard Proceedings of the Marine Safety & Security Council magazine by RADM William D. Baumgartner.


Though not as dramatic as a Coast Guard rescue swimmer pulling a survivor out of the water, well-written rules prevent countless marine casualties and security incidents. It’s important that industry and the American public have better insight into our rulemaking process and understand the value we place on it.

Producing good rules is tough. Doing so in a timely manner is even more difficult. Under the best of circumstances and with the best of processes, drafting regulations is very time intensive. The inherent complexity and time-intensive nature of the rulemaking process make it absolutely essential that we be as efficient and effective as possible.

Due to recent process and resource improvements, our production has increased significantly and we expect that the results will be evident to our stakeholders. I hope you enjoy this brief inside look in this next series of "USCG Rulemaking" posts taken from the Spring 2010 issue of Proceedings, and invite you to participate in the rulemaking process. Your feedback is essential.


For more information:
Full article is available at http://www.uscg.mil/proceedings/spring2010.

Subscribe online at http://www.uscg.mil/proceedings/subscribe.asp.

Lessons Learned—Vessel Breaks Mooring Lines, Grounds—Part II

Excerpt from U.S. Coast Guard Proceedings of the Marine Safety & Security Council magazine. Click here for part I.



The Analysis
One A/B was working his first time in Cook Inlet after only 27 days aboard the vessel. As he worked the lines alone, his inexperience, combined with the lack of a seasoned A/B to provide him with the necessary guidance on the vessel’s equipment, contributed to his releasing too much tension. This caused a strain on the other mooring lines, which then compromised the strength of the entire mooring system.

Contrary to Coast Guard ice guidelines, there was no seagoing watch present on the bridge and the engines were not kept in immediate standby.

Additionally, the operations manual at the facility necessitated mooring lines be doubled or tripled during extreme ice conditions, and required that transfer operations should be suspended within two hours of max flood or max ebb currents during ice conditions. The incident occurred within one minute of the calculated max flood.

The master’s failure to ensure that the vessel’s moorings were strong enough to hold during all anticipated conditions resulted in the Coast Guard seeking a two-month suspension of his license and merchant mariner document.

Follow-up
As a direct result of this grounding, the Coast Guard continues to conduct spot-checks of vessels mooring at Cook Inlet facilities to ensure they take adequate extreme weather precautions.

These spot-checks include the following tasks:

• Affirm proper vessel mooring.
• Ensure all deck personnel are equipped with protective winter clothing.
• Conduct an operational test of steering gear.
• Confirm a properly heated wheelhouse and living quarters.
• Conduct an operational test of ballast and emergency fire pumps.
• Conduct an operational test of all deck mooring winches and anchor windlasses.
• Confirm that a heated medium is available to primary and secondary sea chests to prevent icing.
• Confirm that all systems and machinery will be operable in ice-filled waters and air temperatures to -40°F.
• Ensure that the emergency generator is fully fueled and the generator is set to automatic mode and do an operational test of the generator, conducted by setting it to “manual” and back.
• Conduct a briefing for the vessel’s personnel to discuss the requirements needed to maintain compliance with ice guidelines while at the dock or underway.

For more information:
Full article is available at http://www.uscg.mil/proceedings/winter2009.

Subscribe online at http://www.uscg.mil/proceedings/subscribe.asp.

Lessons Learned—Vessel Breaks Mooring Lines, Grounds—Part I

Excerpt from U.S. Coast Guard Proceedings of the Marine Safety & Security Council magazine by Ms. Krista Reddington, special correspondent to Proceedings.



Lessons learned from USCG casualty reports are regularly featured in Proceedings of the Marine Safety & Security Council magazine. These articles explore marine incidents and the causal factors, outline the subsequent U.S. Coast Guard marine casualty investigations, and describe the lessons learned as a result.

It is important to note that lives were lost in some of the marine casualties we present. Out of respect for the deceased, their families, and surviving crewmembers, we do not mention the name of any person involved.



In Nikiski, Alaska, in the early morning of February 2, 2006, the tank vessel Seabulk Pride (pictured below) broke free of its mooring lines due to the current and ice in the arctic Cook Inlet. The cargo transfer hoses separated as the vessel drifted from the pier, discharging oil onto the dock.

Though ice and current were clearly causal factors leading to the breakaway, the investigation determined that human error was primarily responsible for the casualty.


The Incident
The events leading to the incident began in a very routine manner. By 5:15 a.m., ice had begun flowing near the vessel. Video footage showed a significant amount of ice moving past the dock, and medium-sized ice pans were evident.

Prior to the breakaway, strain gauges indicated that the strain in the mooring lines had increased within a six-second period to an approximated tension of 50 to 100 tons. Before the line parted, the A/B (able-bodied seaman) on deck was tending the lines.

At 5:23 a.m., two A/Bs were on watch when the after spring wire parted, followed shortly by the other spring wire.

Initial Response
The pilot ordered anchors dropped. Because the starboard anchor was frozen in place, only the port anchor could be released, and the current kept the bow pointed toward the shoreline.

Multiple mooring lines fouled the propeller, leaving the main engine unavailable, so the master was limited to using rudder and anchors to maneuver the vessel away from shore. The vessel remained at the mercy of the current and grounded just over half a nautical mile north northwest of the dock.

Grounded
Fortunately, the double hull functioned as it was designed. Though the outer hull was penetrated by rocks, no oil contained within the tanks was spilled into Cook Inlet.

In Part II, we will describe the Coast Guard analysis and follow-up.


For more information:
Full article is available at http://www.uscg.mil/proceedings/winter2009.

Subscribe online at http://www.uscg.mil/proceedings/subscribe.asp.

Brownwater University

Excerpt from U.S. Coast Guard Proceedings of the Marine Safety & Security Council magazine by CDR Hal R. Pitts, former Waterways Manager, U.S. Coast Guard Sector Houston/Galveston; Mr. Raymond Butler, Executive Director, Gulf Intracoastal Canal Association; and Ms. Tava Foret, Chairperson, Houston/Galveston Navigation Safety Advisory Committee.


Recently USCG Sector Houston/Galveston personnel and the Houston/Galveston Navigation Safety Advisory Committee created a program to increase their understanding of the inland towing industry.

Unlike mariners who ply their trade in open ocean or “blue” water, inland mariners who navigate the “muddy Mississippi” and other “brown” water have unique concerns.

Reflecting this, the effort became known as “Brownwater University.”

Pictured: CAPT William J. Diehl, commander of USCG Sector Houston/Galveston, welcomes the March 2009 class of Brownwater University.

The “Plank-Owner” Class
One challenge was deciding how to structure the curriculum and how much information to present in each topic area to keep BWU within the agreed length of two days.

The inaugural class consisted of 40 Coast Guard personnel from Sector Houston/Galveston and Marine Safety Units Port Arthur, Lake Charles, and Galveston. Course critiques were favorable overall. Although rough around the edges, Brownwater University was a step in the right direction.

Something for Everyone
BWU has been revised and the target audience has expanded to include personnel from the inland towing industry, other government agencies, congressional staff members, Coast Guard personnel throughout the Eighth Coast Guard District, and representatives from Coast Guard Atlantic Area.

Pictured: Captain Jerry Torok of American Commercial Lines provides simulator instruction as MST3 Emily Fulbright works the controls.



The combination of students and presenters from the Coast Guard and the inland towing industry has improved the training forum and created opportunities to strengthen relationships, particularly for new personnel or Coast Guard personnel with limited experience in the Gulf region. As such, BWU provides an opportunity for Coast Guard personnel to learn the unique characteristics of the inland towing industry from industry experts.

Similarly, it provides an opportunity for inland towing industry personnel to learn from Coast Guard experts about USCG regulations, vessel examinations, investigations, and other activities.

Successes and the Way Ahead
The curriculum has been updated and BWU now boasts more than 150 “graduates.” Additionally, BWU was recognized as a “best practice” at a recent National Harbor Safety Committee Conference.

The development team has completed a final curriculum revision, and future revisions will be scheduled triennially to keep the information current. Additionally, the Eighth Coast Guard District and Sector Houston/Galveston are identifying resources to support BWU in the future, and will continue to schedule the twice-yearly classes.

Last picture: MST3 Emily Fulbright operates towboat controls in the Seamen’s Church Institute bridge simulator while Mr. Larry Godfrey observes.


For more information:
Full article is available at http://www.uscg.mil/proceedings/winter2009.

Subscribe online at http://www.uscg.mil/proceedings/subscribe.asp.

Dive ALIVE

Excerpt from U.S. Coast Guard Proceedings of the Marine Safety & Security Council magazine by LT David Ambos, Senior Investigating Officer, U.S. Coast Guard Sector Key West.


In the last week of July, the Florida Keys opens its annual lobster season with a two-day “mini-season.” This event attracts thousands of enthusiasts from all over the U.S. who dive and snorkel for lobster.

Unfortunately, during the 2006 mini-season five divers died. These incidents, along with several other dive-related deaths, raised a flag of concern at U.S. Coast Guard Sector Key West.

Although the casualties occurred on a variety of vessels and experience level varied among victims, the casualties typically fell into three categories: diver complacency, diver training/error, or pre-existing medical conditions.


The Stand Up
Identifying a need for intervention, Sector Key West staff made contact with several other state and local law enforcement agencies and created the “Dive ALIVE” initiative.

The mission: to increase the safety, health, and well-being of snorkelers and scuba divers through education. Public outreach included distributing the “Dive ALIVE” card, a quick reference that hit the streets prior to the lobster mini-season. Shown in the picture above, the safety card contains an easy-to-remember “ALIVE” mnemonic device that serves as a refresher for all divers.



Lobster Rodeo
The second major outreach effort was the “lobster rodeo,” which occurred the day before the opening of the lobster mini-season and focused on education.

The showpiece of the rodeo was the group of underwater scuba skills refresher stations, controlled by a certified dive instructor, who took each participating diver through a complete dive refresher in a controlled environment. Education ranged from simple mask clearing to buddy breathing. In the picture at left, lobster rodeo participants demonstrate the use of a hyperbaric chamber.

Additionally, participating agencies and various professional dive agencies set up information booths to pass out diver safety and environmental/reef safety pamphlets. In the picture below, representatives from various regulatory agencies answer questions, pass out safety and regulatory information, and advise rodeo attendees about lobster “no take” zones.


















For more information:
Full article is available at http://www.uscg.mil/proceedings/winter2009.

Subscribe online at http://www.uscg.mil/proceedings/subscribe.asp.