Introduction To Marine Safety - U. S. Coast Guard Auxiliary
Introduction to Marine SafetyandEnvironmental ProtectionUnited States Coast GuardDeputy for Operations Policy and Capabilities(CG-DCO-D)Office of Auxiliary & Boating Safety (CG-BCX)Coast Guard Auxiliary Division (CG-BCX-1)Coast Guard Auxiliary Prevention DirectorateRevised: 19 April 2013(links updated 33 APR 2019)
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Introduction to Marine Safety and Environmental Protection(Prevention)(modified 04/19/13)Table of Contents1.02.03.0Introduction and Learning Objectives1.1Introduction1.2Learning Objectives1.3Review Questions and End of Course ExamMarine Safety2.1Coast Guard Missions and Structure2.2The Importance of Marine Safety Regulations and Enforcement2.3The Marine Safety Program2.4Marine Safety Manual (MSM)2.5The Marine Inspection (MI) Program2.6Port Safety and Security (PSS) Program2.7PSS Program Evaluation and ManagementAuxiliary Support for Coast Guard Marine Safety (Prevention) Programs3.1Maritime Observation Mission (MOM)3.2Container Inspection Support3.3Support for Ferry and Small Passenger Vessel Inspections3.4Examination of Commercial Towing Vessels (UTV) and UninspectedPassenger Vessels (UPV)3.5America’s Waterway WatchIMSEP3
4.05.03.6Support for Regional Exam Centers and field visits to maritimetraining schools3.7Commercial Fishing Vessel Examinations (CFVEs) and“Dockwalkers” public affairs support3.8Development of training and qualifications standards and materialsfor Auxiliary members participating in marine safety programs andactivities3.9Facility Inspections3.10Domestic & Port State Inspections3.11Investigations3.12Auxiliary Performance Qualification Standards (PQS) insupport of Marine Safety ProgramsThe Marine Environmental Protection (MEP) Program4.1History4.2Program Activities4.3Pollution Response Activities4.4Response Oversight4.5International Conventions4.6Coast Guard In-House Compliance with Environmental Law4.7Marine Pollution Financial Responsibility and CompensationActivityAuxiliary Support for Coast Guard Marine Environmental Protection andResponse Programs5.1“Sea Partners” and “Officer Snook” Education & Public OutreachProgram5.2Aquatic Nuisance Species (ANS) MitigationIMSEP4
6.07.08.05.3The Good Mate Program5.4National Clean Boating Campaign/Clean Vessel Act Support5.5Clean Marina Program Support5.6National Marine Debris Monitoring and Beach Cleanup Programs5.7Marine Mammal Monitoring5.8HAZMAT/HAZWOPER Education and Patrol Support5.9Auxiliary Assistant Pollution Responder (AUX-ED)Marine Transportation Systems (CG-5PW)(formerly Office of Waterways Management (CG-55)6.1Program Objectives6.2ProgramsAuxiliary Support for Coast Guard Marine Transportation Systems7.1Maritime Observation Mission (MOM)7.2Identification of Abandoned Vessels and Barges7.3Local Harbor Safety Committees7.4Support for the National Oceanic and Atmospheric Administration(NOAA) and the United States Army Corps of Engineers (USACE)with Chart Updating7.5Auxiliary Bridge Administration Program7.6ATONs and PATONSRecreational Boating Safety Program8.1Mission8.2History and Today8.3Boat ResponsiblyIMSEP5
9.010.011.012.0Planning and Emergency Management9.1Training and Familiarization with the Incident Command System(ICS) and Auxiliary requirements9.2Guidelines for Emergency Response9.3Auxiliary Support to the Coast Guard for Local and Area Planning9.4Cooperation and Team-Building with Local Emergency ResponseOrganizations9.5The Development of Field Training Exercises and Drills to EvaluateEmergency PreparednessControl and Enforcement Actions10.1Flag State and Port State Responsibilities10.2Vessel Categories10.3Inspection Types10.4Merchant Mariner Licensing10.5Marine Investigations10.6Sources of Authority10.7Control and Enforcement Action10.8Intervention and International AgreementsFederal Laws and Regulations11.1Definitions11.2Legal and Regulatory Publications11.3Coast Guard GuidanceOccupational Safety and Health12.1Framework12.2Command Organization and ResponsibilitiesIMSEP6
13.012.3Occupational Medical Surveillance and Evaluation Program(OMSEP)12.4Marine Safety Field Hazards12.5Evaluating and Controlling Field Hazards12.6Confined Space SafetyConduct and Ethics13.1Standards of Ethical Conduct13.2ProfessionalismReview QuestionsAppendixWeb Links to:U.S. Coast GuardU.S. S. IndianapolisThe SultanaAnswers to Review QuestionsIMSEP7
Introduction to Marine Safety and Environmental Protection1.0Introduction and Learning Objectives1.1IntroductionThis course is designed to introduce members of Team Coast Guard – ActiveDuty, Reserve, Auxiliary and Civil Service – to the marine safety organization,history, missions, functions and programs of the United States Coast Guard. Thecourse is intended primarily for non-resident training purposes. Taking advantageof its web-based information, each course component may be detached andupdated independently. This insures that the course can be continuously updatedas programs and organizations change and evolve over time.Trainees and members will be required to have access to the internet to retrievethe numerous web documents referenced. The Introduction to Marine Safety andEnvironmental Protection end of course exam has questions from this documentand many of these web resources.Coast Guard web pages on the Marine Safety Program:The US Coast Guard HistorianThe Auxiliary Prevention DepartmentThe Code of Federal Regulations (CFR)The United States Code (USC)Marine Safety Manuals (MSM)1.2Learning ObjectivesCompletion of this course will accomplish the following objectives. Acquaint the trainee with the history and organization of the MarineSafety and Environmental Protection functions of the Coast Guard.Provide the trainee an overview of the organization and content of CoastGuard Marine Safety and Environmental Protection programs.Provide the trainee a basic working knowledge of the Marine SafetyManual and the Code of Federal Regulations.Provide a basic educational component for members working towardqualifications in Marine Safety and Environmental Protection and a firststep in meeting the qualifications for the Marine Safety TrainingRibbon and the Marine Safety Insignia.Satisfy member basic education requirements in Marine Safety andEnvironmental Protection and provide for member recognition andcontinuing education credit.IMSEP8
1.3Review Questions and End of Course ExamIt is recommended that each student read and answer the review questions inorder to be familiar with the substance as well as the format of questions that willappear on the End of Course Exam. There are questions taken directly from thisdocument and questions that will require access to web pages referenced in thetext. Students should not attempt the End of Course Exam unless they are able topass the review questions with a score of 90%. Answers to the review questionswill be found in the Appendix.IMSEP9
2.0Marine Safety2.12.1.1Coast Guard Missions and StructureCoast Guard MissionsThe U.S. Coast Guard is the principal federal agency charged with MaritimeSafety, Maritime Security and Maritime Mobility. Additional Coast Guardmissions include National Defense and Protection of our Natural Resources.There are numerous Missions as shown below, assigned to the Coast Guard. Thiscourse will concentrate on two, Maritime Safety and Protection of NaturalResources.Many of these mission-programs benefit more than one role, but each directlysupports the roles of safety, security and stewardship.ProgramMissionMarine SafetyMaritime SafetySaving Lives and ProtectingPropertySearch and RescueRecreational Boater SafetyPassenger Vessel SafetyInternational Ice PatrolPort SecurityMaritime SecurityIllegal Drug InterdictionAlien Migrant InterdictionEstablishing and Maintaining aSecure Maritime System whileFacilitating its use for theNational GoodEEZ & Living Marine ResourceGeneral Maritime LawLaw/Treaty EnforcementIMSEP10
Maritime MobilityAids to NavigationIcebreaking ServicesVessel Traffic ServicesBridge AdministrationRules of the RoadNational DefenseGeneral Defense DutiesMaritime Intercept OperationsDeployed Port Operations and SecurityPeacetime EngagementEnvironmental Defense OperationsProtection of NaturalResourcesManaging the Sustainable &Effective use of its Inland,Coastal and Ocean Waters &Resources for the FutureMarine and Environmental ScienceLiving Marine Resources ProtectionForeign Vessel InspectionsMarine Pollution Education, Prevention,Response, and EnforcementMarine Environmental ProtectionIMSEP11
2.1.2Coast Guard StructureA. SectorsIn 2006, by the authority of the Commandant, the Coast Guard reorganized allfield units including Marine Safety Offices, Groups, Vessel Traffic Services(VTSs), and, in some cases, Air Stations, into Sector Commands having largelyor entirely the same Areas of Responsibility (AOR). Sector Commanders arevested with all the rights, responsibilities, duties, and authority of a GroupCommander and a Commanding Officer, Marine Safety Office (MSO), asprovided for in United States Coast Guard Regulations 1992, COMDTINSTM5000.3 (series).B. Sector Commanders carry out the Sector’s missions as follows:1. Captain of the Port (COTP) COMDTINST M5401.6 1-22. Federal Maritime Security Coordinator (FMSC) when serving as COTPfor an Area Maritime Security (AMS) area pursuant to 33 CFR§103.2003. Federal On-Scene Coordinator (FOSC) consistent with the NationalContingency Plan4. Officer in Charge, Marine Inspection (OCMI)5. Search and Rescue (SAR) Mission Coordinator (SMC)C. Unified CommandThe tragic events of September 11, 2001, substantially altered recognition ofsecurity risks to marine transportation similar to changes in environmental riskthat were recognized as the result of major pollution incidents. This reinforced theimportance of collaborative preparedness for incident management and the needfor a unified command construct that:1. improves mission planning execution and performance outcomes,2. increases interaction and coordination between operational commandsand interagency partners,3. manages and helps develop the Common Operational Picture (COP),4. brings new focus to the value of planning and sustainment ofoperational readiness, and5. shares information and intelligence more rapidly than before.Sectors are structured along process lines to manage the full range of operationalprevention and response activities. The decision to develop Sectors was anextension of previous actions to consolidate field units over the years and was alogical next step to formalize the successes and best practices that have beenoperational in the field. Sectors adopted the successful model that was groundIMSEP12
tested in New York City and Baltimore on September 11th.D. Sector MissionsThe mission of each Coast Guard Sector is to accomplish assigned Coast Guardmissions, functions, and responsibilities. Sector mission objectives include:1. provision of unified command and control for the integrated conduct ofoperations,2. coordinated leveraging of maritime partner relationships,3. foresight in planning, and4. aggressive risk-based employment of assets and capabilities within theassigned AOR.E. Preparedness ContinuumThe move to Sectors represents a transformation from a Coast Guard traditionallyorganized around its operational programs, to one that is organized around thepreparedness continuum of prevention, protection, response and recovery withprogrammatic and functional areas of responsibility embedded as sub-elements.The organization construct relies on integrated coordination of all assignedoperational capabilities to optimize utilization of Coast Guard resources inaccomplishing assigned agency missions, functions and responsibilities. Itrecognizes that, in a broad sense, all Coast Guard operational activities are eitherfocused on prevention of an incident or illegal event, or in response to mitigatethe undesired effects of an incident. The command and control processes used toexecute those two operational mission areas are interrelated as follows:1. PreventionFocuses largely on gaining compliance with regulatory standardsand the design and maintenance of waterway systems to prevent incidents.Prevention functions include:(a) inspections/examinations of vessels and waterfront facilities toensure compliance with federal safety, security, andenvironmental regulations,(b) investigations of marine casualties to determine the cause ofaccidents, pursuing Maritime Personnel Actions/CivilPenalties, and to serve as a feedback loop into complianceinspections and regulatory development,(c) develop and maintain the waterway navigation infrastructure(i.e. Aids to Navigation (ATON)), and(d) manage traffic through Vessel Traffic System (VTS) centersand the use of Captain of the Port Order, Limited Access Areas,IMSEP13
and Regulated Navigation Areas.2. ResponseFocuses on command and control activities associated with an emergencyincident response and/or heightened threat situation that requires swiftenforcement actions. Response requires proficiency in high tempocommand, control and communications processes, and the exercise ofresponse and security enforcement expertise to accomplish incidentcommand and crisis management. Response functions include:(a) search and rescue (SAR),(b) marine environmental protection; responding to oil spills tomonitor and supervise cleanup operations,(c) incident management, and(d) law enforcement.3. LogisticsProvides the capabilities to support Sector operational missions andprevention activities through the coordinated balance between assetmaintenance, personnel management, medical readiness, foodpreparations, and financial aspects of planned and unscheduled operations.Logistics functions include:(a) administration & personnel management of Sector Staff andsubordinate commands,(b) responsibility for Naval and Facilities Engineering (publicworks) programs for Sector and subordinate commands,(c) financial management of Sector budget and disbursement tosubordinate commands,(d) responsibility for medical clinic if assigned, and(e) responsibility for unit Sector and AOR tenantinternal environmental compliance requirements.F. Sector Command Center.The Sector Command Center (SCC) serves an operations integration function.Each SCC is located organizationally to support Response and Preventionoperations. For example, the SCC supports the Response Department during asearch and rescue response and likewise, supports the Prevention Departmentduring a marine event.G. Sector Field Offices (SFOs).The creation of Sectors transformed a diverse array of field offices/units into aIMSEP14
standard Sector Command organizational architecture, consisting of Prevention,Response, and Logistics components as described above.Command and control is centralized to serve all three components including fieldunits. This resulted in the conversion of some outlying Groups (which were notdirectly absorbed in the creation of the Sector command cadre) to SFOs. All fieldlevel units/offices report directly to the Sector and its components. SFOs areextensions of the Sector staff, and do not constitute another layer of command.Their purpose is to provide support to outlying units in locations where distanceand workload render it necessary to have remote offices serving various supportroles in specific areas.H. Marine Safety Units (MSUs).As with SFOs, some outlying Marine Safety Offices (MSOs) during theconversion retained their functions and command status but were renamed MSUs.Marine Safety Units specialize in port security, marine inspections, environmentalresponse, maritime investigations, and waterways management. Some MSUs stillretain OCMI, COTP and FOSC authority over a designated portion of the Sector'sArea of Responsibility (AOR).I. Marine Safety Detachments (MSDs).Marine Safety Offices, which did not retain command as MSUs or weregeographically distant from the newly created Sectors were converted to MSDsand specialize in many of the same missions as MSUs. Active Duty and Reservepersonnel attached to a MSD are under the operational control (OPCON) of thePrevention Department. Assigned personnel perform marine safety duties andremain under the administrative control (ADCON) of the parent Sector.J. Sector Organization Charts.1. Figures 1.G.1. through 1.G.3. indicate a Sector’s location within theCoast Guard organization and a detailed departmental chart for all CoastGuard Sectors.2. Organizational Flexibility: Like ports, no two Sectors are exactly alike.A host of discriminators directly impact how a Sector Commander leadsand manages his or her command. Span of control, varying operationaltempo, mission mix and complexity, geography, industry types,international concerns, federal, state and local government agencies,interagency and industry relationships, legacy asset/staffing levels, andinter and intra-service relationships all affect workload and staffing.IMSEP15
Figure 1.G.1. Coast Guard Sector Chain of CommandIMSEP16
Figure 1.G.2. Standard Coast Guard Sector OrganizationIMSEP17
Figure 1.G.3. Detailed Coast Guard Sector OrganizationIMSEP18
2.2The Importance of Marine Safety Regulations and EnforcementThe greatest loss of life in a marine accident involving U.S. citizens was not thesinking of the RMS Titanic after it hit an iceberg in 1912. It was not the sinkingof the RMS Luisitania by a German U-Boat in 1915 before the U.S. entered theFirst World War, nor was it the sinking of the U.S.S Indianapolis by a Japanesesubmarine in 1945 after it delivered the atomic bomb named Little Boy that waslater dropped on Hiroshima.The greatest loss of life in US maritime history occurred in 1865 and is oftenoverlooked and seldom remembered by historians. The Steamboat Sultanaoperated on the Mississippi River during the Civil War. Minimal regulation, laxenforcement and greed provided the perfect combination to create a truecatastrophe. While there are numerous reasons why the Sultana tragedy did notdirectly result in marine safety legislation and better oversight of the steamboatindustry at the time, we can learn the importance of the today’s safety regulationsfrom the accounts of the disaster (see The Sultana).2.3The Marine Safety Program2.3.1Origin of The ProgramIn the early 1800s, Congress was reluctant to address "marine safety" issues withregard to the steamboat industry. Only after a long series of marine incidents (seeSultana), involving heavy losses of life and property, did Congress enactlegislation and create the federal Steamboat Inspection Service (type in“Steamboat Inspection Service” in the search function on this link) to preserveand protect the public from preventable marine incidents. The protection aspectwas handled by federal agencies involved with maritime law enforcement andaids to navigation. The preservation of life after a marine incident was carried outby federal search and rescue forces. The Coast Guard's current marine safetyprograms have retained the overall philosophical objectives of both the protectionprogram (before an accident) and the preservation of life (after an accident).As a result of the myriad statutes and regulations affecting the marineenvironment and the maritime industry over many years, severaldistinct programs concerned with marine safety and related issuesevolved: Marine Inspection (MI),Marine Licensing (ML) (formerly the Commercial Vessel Safety(CVS) Program),Port Safety and Security (PSS) (formerly the Port andEnvironmental Safety (PES) Program),Marine Environmental Response (MER),Marine Transportation Systems (CG-5PW),IMSEP19
2.3.2Recreational Boating Safety (RBS), (CG BSX-2) andBridge Administration (BA). (CG BRG)The Marine Safety Office (MSO)In 1972, the Commandant decided to consolidate CVS (Commercial VesselSafety Program), PES (Port and Environmental Safety Program), MER (MarineEnvironmental Response), WWM (Waterways Management Response), RBS(Recreational Boating Safety) investigative activities in the field, and BA (Br
3. manages and helps develop the Common Operational Picture (COP), 4. brings new focus to the value of planning and sustainment of operational readiness, and 5. shares information and intelligence more rapidly than before. Sectors are structured along process lines to manage the full range of operational prevention and response activities.
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