1. Purpose and Nature of the Mission

2. Threat

3. Fisheries Law Enforcement Goals

4 Strategic Concept

OCEAN GUARDIAN is the Coast Guard’s Fisheries Law Enforcement Strategic Plan and is our long-range strategy to provide effective enforcement in support of the national goals for fisheries resource management and conservation. It includes the strategy, goals and objectives to fulfill our national leadership role. The Coast Guard Fisheries Enforcement Study, completed in December 1993, provided an implementation plan containing 101 recommendations (in updated form, known as the OCEAN GUARDIAN Task List) designed to make fisheries law enforcement more effective. The Study also called for a periodic update and review/revalidation of the Commandant's Strategy to address changing fisheries enforcement requirements and customer perceptions.

OCEAN GUARDIAN, a ten year strategy supported by a five year budget, is the culmination of the revalidation project and incorporates findings from the initial Fish Study. The Plan incorporates significant input from key customers in the fishing industry, as well as NMFS and state law enforcement agencies. During workshops held in 1997 and 1998 we obtained their detailed analysis and evaluations of our current enforcement efforts, as well as recommendations for improving our services. This input was used by experienced Coast Guard fisheries enforcement personnel to develop this overarching strategy. To ensure continued alignment with our customers, input will be solicited through OCEAN GUARDIAN revalidation meetings held every four years.

The Coast Guard role in fisheries law enforcement is to provide effective and professional enforcement support that achieves full compliance with fishery regulations and management objectives. The public must continue to see the Coast Guard as the federal agency best suited to provide needed fisheries law enforcement services. Our intention is to protect fisheries resources and help ensure a level playing field for commercial and recreational fishers.

We identified three strategic foundations as critical to our success: a strong national constituency base, effective use of resources to include leveraging technology, and support for national and regional goals. The key to success is adherence to the concept of centralized planning and decentralized execution. Area commanders are fully empowered to pursue all courses of action to prosecute fisheries law enforcement in accordance with this strategy, constrained only by their resource base and legislative authorities. The strategic foundations and the OCEAN GUARDIAN Task List should guide planning and execution of the fisheries law enforcement mission. Five-year fisheries enforcement budgets, included in Appendix D, must continue to support implementation of the Task List.

Enforcement is but one piece of the overall fishery management process. However, with proper fishery management measures being effectively enforced both at-sea and ashore, fish stock sustainability should occur.

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OCEAN GUARDIAN is the Coast Guard’s Fisheries Enforcement Strategic Plan (FESP) and is our long-range strategy to provide effective enforcement in support of the national goals for fisheries resource management and conservation. OCEAN GUARDIAN updates and builds on the success of the 1993 Coast Guard Fisheries Enforcement Study and the associated Implementation Plan in improving the quality of our fisheries law enforcement services to meet the needs of our customers.

This document establishes a comprehensive strategic framework for fisheries law enforcement activity within the Coast Guard. It includes guidance from which Area and District commanders can craft their operational plans to meet the specific tactical needs and mission requirements within their AOR.

Three strategic foundations provide a sound basis for planning operations, cooperative efforts, and regional engagement activities. These foundations are:

• Active education and open communications with constituents about the Coast Guard’s role and benefits to the living marine resource environment
• Ensure full Coast Guard involvement with development of regulations

• Leverage technology and information sharing
• Prepare and execute performance plans so our people at all organizational levels have a clear understanding of our mission, with accountability for operations
• Develop, increase, and strengthen domestic and international partnerships to meet programmatic goals
• Operate intelligently, efficiently, and effectively to promote compliance

• Maintain a knowledgeable, disciplined, professional maritime law enforcement force

• Understand and maintain an active role in development of regional, national and international goals and strategies
• Identify a Coast Guard enforcement role in living marine resource management goals and strategies
• Identify positive and negative impacts to the resource and constituents as a result of Coast Guard mission execution (SAR, MEP, CFVSA, MLE, etc.)
• Execute consistent, even enforcement
• Prevent encroachment of the U.S. Exclusive Economic Zone (EEZ) and internal waters by foreign fishing vessels

The Coast Guard’s fisheries law enforcement efforts consist of localized planning and execution within the broad strategic guidance provided herein. Area Commanders (and District Commanders in coordination with their Area Commander), constrained only by legislative authorities, Coast Guard policy and their resource base, are fully empowered to pursue appropriate courses of action to prosecute fisheries law enforcement in accordance with this strategy. In executing this mission, Operational Commanders will ensure their plans fully support the regional fisheries managers, and are integrated with the efforts of our fisheries law enforcement partners to the greatest extent practicable. Furthermore, each item in the OCEAN GUARDIAN Task List supports a specific strategic foundation. The value of this list, which reflects the needs of both external and internal customers, will only be fully realized when Area plans effectively integrate accomplishment of Task List items into their respective Theater Campaign Plans.

Local relationships are the foundation for strong bilateral relations at the national level. Pursuit of bilateral and multilateral engagement opportunities at both the Area and District levels is strongly encouraged in coordination with the Operations Policy and International Affairs Directorates. Headquarters will coordinate Department of State clearance of all international engagement actions.

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The Coast Guard maintains an uncompromising commitment to the stewardship of our national living marine resources. We provide the highest caliber enforcement of fisheries laws and regulations supporting the national policy. As a customer-driven service provider, we maintain an open dialogue to understand the full scope of the needs of our constituents. Once these needs are prioritized and reconciled, we strive to provide the required services in the most cost-effective manner. Ensuring cost-effective law enforcement services requires innovation, not only in developing enforcement approaches, but also in meaningfully measuring the outcomes of that enforcement.

Our expertise and depth of experience in maritime law enforcement place us in demand as policy advisors to those developing laws, regulations and international treaties. In this role, we help shape the expectations of our constituents regarding the enforceability of proposed policies and their potential effects on the safety of the mariner.

We routinely patrol the nation’s waterways and the high seas in carrying out our missions. For enforcing laws protecting living marine resources, this means three and a third million square miles of US EEZ, and key areas of the high seas. We also provide enforcement policy guidance to lawmakers and regulators, leadership in the international arena ensuring policy objectives are achievable and enforceable, and enforcement of international conservation and management measures.

Our mission is:

We recognize the limits of the Coast Guard’s role. We do not set national living marine resource goals or develop the management approaches to reach those goals. Our commitment, however, is to provide the most effective enforcement possible of the many complex regulations. In so doing we would achieve a high rate of compliance with the laws and regulations enacted to manage, conserve and protect living marine resources.

Our effort must align with national policy. Fisheries management efforts will only succeed when a high level compliance is achieved with well-developed management measures. This requires the integration of four separate items:

1. strong working knowledge of the requirements;
2. acceptance industry-wide that compliance is necessary and in the best interest of all stakeholders to preserve the long-term economic viability of the resource;
3. individual fishers perceive a high risk of detection of illegal activity and subsequent apprehension;
4. when detected, individuals can expect certain prosecution commensurate with the violation.

The Coast Guard can exert varying degrees of influence over the first three items. In these areas the Coast Guard works closely with the NOAA Fisheries and the eight Regional Fishery Management Councils (RFMCs) so that enacted management measures are reasonably enforceable. The Coast Guard also helps promote knowledge of the requirements leading to greater industry-wide acceptance of the regulations and enforcement measures. The Coast Guard develops law enforcement strategy and tactics, discussed in Chapter Four, to address the specific requirements of each fishery management plan (FMP) and other management efforts to achieve a high probability of detection and apprehension.

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We envision a future where:

In this future we would see:

• Universal compliance by commercial and recreational users of sound resource and habitat management policies and regulations
• A knowledgeable and disciplined maritime law enforcement force
• Highly mobile, flexible resources and enforcement capabilities making best use of available technologies especially in the area of information gathering and data-sharing
• Trust and respect for the Coast Guard among all constituents fostered by clear and open communications

• Strong complementary partnerships forged with domestic and international maritime law enforcement organizations

Along with our three strategic foundations, this vision serves as a guide to Coast Guard Operational Commanders as they prepare regional theater campaign plans, specific operations plans, and local implementation plans. We must support living marine resource managers, first by providing appropriate counsel in the course of developing regulations, then by creating optimal enforcement schemes to ensure the success of those regulations in a cost-effective manner. Joint and cooperative enforcement and information-sharing will become increasingly important as living marine resource levels change, and harvesting pressure falls on new stocks and in new geographic areas. Making sure the American public understands the critical role of Coast Guard fisheries law enforcement is a vital part of securing the resources and capabilities needed to meet our challenges in the future.

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Our oceans are a significant source of renewable wealth, providing a livelihood for commercial fishermen, a source of recreation for over 17 million Americans, and a rich supply of seafood for the American public. Commercial and recreational fisheries annually contribute an estimated $24 billion and $10 billion, respectively, to the U.S. economy. There are also intangible ecosystem benefits from protection of marine mammals and endangered species. The importance of responsible management of ocean resources will continue to grow as the oceans are looked to as an increasingly critical source of food for the world's growing population.

The Magnuson-Stevens Fisheries Conservation and Management Act (originally passed in 1976) was designed to manage fishing efforts within the 200 NM U. S. Exclusive Economic Zone (EEZ). It places responsibility for fisheries management jointly with the Secretary of Commerce (through NOAA Fisheries) and eight Regional Fishery Management Councils (RFMCs). Enforcement responsibility is given jointly to the Secretary of Commerce and the Coast Guard. The RFMCs along with NOAA Fisheries prepared the 39 Fishery Management Plans (FMPs) that govern domestic fisheries in the EEZ. Coast Guard representation on each of the RFMCs is provided under the Act to advise the councils on safety and enforceability issues.

The scope of fisheries management responsibilities also covers protection of marine mammals and endangered species along with conservation and preservation of essential marine resource habitat. This includes sensitive fish spawning areas and coastal marine habitat areas both onshore and offshore. Increasingly, the Coast Guard is dealing with many more diverse living marine resource and habitat issues. The Coast Guard is meeting these challenges head on, developing policy and operational plans to provide the required enforcement.

In the international arena, the Living Marine Resource (LMR) enforcement mission is a broad one. The United States is party to a number of international agreements that address management of living marine resources that migrate between national exclusive economic zones and the high seas. The Coast Guard is the primary U.S. agency responsible for monitoring compliance with these agreements at sea. Examples include the Coast Guard’s role in monitoring compliance with agreements such as the Convention for the Conservation of and Management of Pollock Resources in the Bering Sea (the "Donut Hole" Agreement) and the United Nations’ Moratorium on High Seas Drift Net Fishing. Such activities are likely to increase as the scope and number of international management regimes increase.

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This section presents the statutory requirements and authorities under which the Coast Guard operates in support of fisheries and living marine resource policies.

Antarctic Conservation Act of 1978 (16 USC 2401 et seq.)

Antarctic Living Marine Resources Conservation Act of 1984 (16 USC 2431 et seq.)

Atlantic Coastal Fisheries Cooperative Management Act (16 USC 5101 et seq.)

Atlantic Salmon Convention Act (16 USC 3601)

Atlantic Tuna Conventions Act of 1975 (16 USC 971 et seq.)

Central Bering Sea Enforcement Act of 1992 (16 USC 1823 et seq.)

Eastern Pacific Tuna Licensing Act of 1984 (16 USC 972 et seq.)

Endangered Species Act of 1973 (16 USC 1531 et seq.)

Fur Seal Act of 1966 (16 USC 1151 et seq.)

High Seas Driftnet Fishing Moratorium Protection Act (16 USC 1801)

High Seas Fishing Compliance Act of 1995 (16 USC 5501 et seq.)

Lacey Act Amendments of 1981 (16 USC 3371 et seq.)

Magnuson-Stevens Fishery Conservation and Management Act (16 USC 1801, et seq.):

North Pacific Anadromous Stocks Convention Act of 1992 (16 USC 5001 et seq.)

North Pacific Halibut Act of 1982 (16 USC 773 et seq.)

Northwest Atlantic Fisheries Compliance Act of 1995 (16 UCS 5601 et seq.)

Pacific Salmon Treaty Act of 1985 (16 USC 3631 et seq.)

Sponge Act (16 USC 781 et seq.)

Tuna Conventions Act (16 USC 973 et seq.)

Whaling Convention Act (16 USC 916 et seq.)

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Marine Mammal Protection Act (16 USC 1361 et seq.)

Marine Protection, Research, and Sanctuaries Act (16 USC 1431 et seq.)

South Pacific Tunas Act (16 USC 973 et. seq.)

Striped Bass Conservation Act (16 USC 1851 et seq.)

OCEAN GUARDIAN has a ten-year horizon. It provides the Coast Guard’s long-range vision that includes strategic concepts, empowerment of Operational Commanders, and fisheries enforcement performance goals and objectives. This vision is the basis of the more detailed District AOR Analyses (formerly known as "threat assessments") that forecast planned operations to attain performance goals and objectives within the guidance provided by this strategy. The five year fisheries budget forecasts will be structured to support the operations called for in the AOR Analyses.

1.7.1 Plan Contents

OCEAN GUARDIAN contains four chapters and four appendices:

• Chapter 1 defines the purpose and nature of this plan and the Coast Guard’s fisheries enforcement mission. The vision statement is also presented, as well as enforcement authority for living marine resource laws and regulations.
• Chapter 2 describes the current fisheries threat, both in general, worldwide terms, and more specific to the U.S. by identifying U.S. EEZ high threat areas.
• Chapter 3 discusses how the Coast Guard’s fisheries law enforcement goals align with NOAA’s strategy.
• Chapter 4 is our strategic concept; it explains our three strategic foundations, and how current fisheries enforcement operations align with these.

The appendices contain information important to the strategy that requires more frequent updating, or provide explanatory information.

• Appendix A is a detailed summary of regional fisheries law enforcement workshops held in July of 1997 and May of 1998. The three workshops provided the Coast Guard with current fishing industry perceptions of our fisheries law enforcement performance, key information used in building this strategy. The participants also provided specific recommendations to improve our performance, which have been incorporated in the Implementation Plan in Appendix B.
• Appendix B is the OCEAN GUARDIAN Task List. The result of an extensive review of Coast Guard enforcement practices, this List contains input from both fishers and fisheries managers. It builds on the 101-item plan that is part of the 1993 Fish Study, and proposes specific improvements in the Coast Guard’s fisheries enforcement program over the next five years.
• Appendix C, Status of Regional Fisheries, describes the current and forecast assessments of the fisheries and their management programs by region. This documentation is important to develop and substantiate the fisheries enforcement resource requirements and the supporting five-year budget forecast.
• Appendix D is the Fisheries Enforcement Five-Year Budget and Resource Requirements forecast for the next five years. The budget is built to provide the operational resources to meet the fisheries enforcement performance goals. The resource requirement forecast is a consolidation of each Area’s combined resource requirements forecast taken from their annual AOR Analysis.

As budgets are approved and operations executed based on available resources, the fisheries enforcement resource requirements and the five-year budget will be reviewed on an annual basis and adjusted as needed. The resource requirements will be based on the annually updated Areas’ AOR Analyses to reflect:

• Changing operational needs reflecting the results of completed operations as measured and observed both in the Coast Guard and in the fishing community
• Impacts of resource-limited operations and actual progress toward the performance targets

OCEAN GUARDIAN will be reviewed annually and the goals, objectives and performance targets revised as appropriate. In addition, meetings with fishing industry representatives will be held every four years in order to ensure customer alignment; OCEAN GUARDIAN Task List will then be updated accordingly.

Area Theater Campaign Plans are to be developed and maintained by the Area Commanders, and will be submitted to the Office of Law Enforcement to ensure alignment with the strategic vision in OCEAN GUARDIAN. Requested resources and capabilities will form the basis for new budget initiatives. The Office of Law Enforcement together with the Operations Resource Management and Capabilities Directorates will prepare the revised five year and annual budgets. The Mission Analysis staff will assist in documenting cost-effective asset employment concepts with inputs from the Area Commanders working with the Capabilities Directorate and Law Enforcement Office.

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2. Threat

2.1 Overall Threat

The fisheries resources of the world were once thought to be limitless. It is now all too obvious that these resources are finite and in jeopardy. The commercial fishing industry alone has an economic impact of more than $24 billion to the United States, employing tens of thousands of people and providing a food source for millions of Americans. To protect these valuable resources, prudent management and effective enforcement action are necessary. Protecting and preserving our living marine resources has become a matter of national security. The Coast Guard is the only federal agency capable of projecting a U.S. law enforcement presence throughout the EEZ and in key areas of the high seas.

A 1996 United Nations Food and Agricultural Organization (FAO) report on the status of world fisheries revealed some startling facts: (1) The world fish catch has more than quadrupled since 1950; (2) There is a sustainable 80 million mt catch available world wide, yet in 1997 over 90 million mt was harvested, and demand for fish protein in 2010 will reach 115 million mt; (3) 27% of the world wide catch is discarded as bycatch. As world fish stocks decline, the threat of incursions by foreign fishing vessels into the U.S. EEZ increases. Since preventing this threat is our number one priority, the Coast Guard is actively engaged in patrolling our EEZ border with Canada, Mexico, Russia, and in the Central/Western Pacific islands.

The United States has the largest and one of the most productive EEZs in the world, with over three million square miles and an estimated 20% of the world’s fishery resources. However, many domestic fisheries are in danger of collapse. NMFS estimates 96 species of fish and shellfish are threatened or at risk. The U.S. fishing fleet is overcapitalized. In short, there are too many vessels catching too few fish. The increasing fishing power of the 110,000 commercial fishing vessels in the U.S. far exceeds the fish stocks’ capabilities to reproduce. A revolutionary piece of legislation passed in 1996, the Sustainable Fisheries Act, was the first major revision to Title III of the 1976 Magnuson Fishery Conservation and Management Act; Title III addresses domestic fisheries management. The Sustainable Fisheries Act attempts to deal squarely with the many problems facing fisheries today. These include not only overcapitalization, but over- fishing, bycatch, and the protection of essential fish habitat. The legislative intent of the Act is clear, and the Executive Branch of our government has set the wheels in motion to develop measures to achieve the goal of sustainable fisheries. It is up to the Coast Guard to provide the at-sea enforcement crucial to the success of these new and existing fishery management plans.

In the international arena, distant water fishing nations are being pushed farther and farther from home and into the high seas as stocks throughout the world dwindle. Examples of gun boat diplomacy over fishing rights abound. In fact, a recent U.S. News and World Report cover story "If World War III Comes, Blame Fish," shows just how dire the situation has become. In 1996 for example, the Russians fired on the Japanese, the Tunisians on the Italians, and the Portuguese on the Spaniards in various fishery-related disputes. The United States is becoming more and more involved in the management of living marine resources on the high seas. As such, the Coast Guard will continue to become more involved in the enforcement of agreements to which the U.S. is a party. In the past, international policies governing the conservation of high seas fisheries fell well short of their goals due to a lack of any effective enforcement provisions. However, in 1995, a landmark agreement, the Straddling Fish Stocks and Highly Migratory Fish Stocks Agreement, established the framework for all future international fishery regimes. This Agreement calls for strict adherence with fishery conservation measures, but more importantly, contains non-flag state enforcement provisions, allowing the Coast Guard to board foreign fishing vessels party to any mutual international fishing agreement. President Clinton recommended early and favorable ratification and stated the Agreement represents a considerable achievement for the U.S. in promoting better stewardship of living marine resources.

The bottom line is, as the availability of fishery resources declines, and the demand for them increases, there will be greater pressure exerted to illegally harvest fish. This pressure will be compounded in those areas already adversely economically impacted by a dwindling resource. Resource managers will continue to put forth measures to control foreign and domestic harvests, further increasing the Coast Guard’s workload. Wherever enforcement is perceived as lacking, illegal fishing is likely to occur. All this adds up to a much greater demand for Coast Guard fisheries enforcement services.

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2.2 Theaters of Operation

The Coast Guard Area of Responsibility (AOR) is split into Pacific and Atlantic Area Commands. Each Area Command contains District Commands listed below. Each region has distinct fisheries enforcement threats that are summarized in the next section.


ATLANTIC		PACIFIC
First District (D1)	New England	Eleventh District (D11)	California
Fifth District (D5)	Mid-Atlantic	Thirteenth District (D13)	WA/OR
Seventh District (D7)	Southeast/Caribbean	Fourteenth District (D14)	Hawaii
Eighth District (D8)	Gulf of Mexico	Seventeenth District (D17)	Alaska
Ninth District (D9)	Great Lakes

 

2.3 Regional High Threat Areas


Northeast (D1): Traditional stocks of cod, flounder, and haddock are dangerously low, estimated to be at only 10% of their historical levels. Over a quarter of the traditional fishing grounds is closed. Closed area enforcement is D1’s highest priority, followed by days at sea, gear compliance, and trip limits. Scallops have also been over fished and represent a medium threat. New England also supports a large lobster fleet requiring a Coast Guard enforcement presence, albeit to a lesser degree due to healthy stocks.

Mid-Atlantic (D5): Illegal scallop fishing is the primary threat in the mid-Atlantic, followed by compliance with summer flounder regulations. The primary enforcement concern is days at sea and closed areas.

Southeast/Gulf of Mexico (D7 & 8): The primary law enforcement mission in D7 is counter-narcotics, however, there are commercial fisheries for shrimp, highly migratory species, and reef fish in the AOR. Primary concerns are closed areas and gear compliance. In D8, the two major threats are Mexican fishing vessel incursions along the Texas/Mexico border, and a substantial shrimp fishery with both closed area and gear restrictions in place. Reef fish poaching, such as red snapper, is also of concern.

Great Lakes (D9): The primary LMR threat is Canadian commercial fishing vessel encroachments into U.S. waters on Lakes Erie, Huron, and Superior. Canadian gillnetters targeting perch often encroach U.S. waters.

Pacific Coast (D11 & 13): Along the West Coast, many of the commercial fisheries are State regulated. The Coast Guard is actively engaged with each of the State’s LMR enforcement agencies to assist with enforcement efforts. The protection of endangered salmon species in the Pacific Northwest is a high priority, as is enforcement of regulations for overfished groundfish stocks. There are 83 groundfish species along the Pacific coast, most of which are fully or overutilized. Coast Guard enforcement units ensure compliance with myriad season, gear restriction, closed area, gear limit, bycatch quota, trip limit, record keeping, size limit, limited entry, and bycatch mortality regulations. In Washington, there is also a threat of Canadian fishing vessel incursions into the U.S. EEZ.

Central/Western Pacific (D14): The Coast Guard in Hawaii has both a domestic and foreign threat. The EEZs surrounding the Hawaiian Islands and U.S. Pacific Insular Areas (e.g., Guam, Northern Mariana Islands, American Samoa, Wake Island) represent over 40% of the U.S. EEZ. This vast area is at high risk to poaching from a multi-national fleet targeting highly migratory species such as tuna. Surveillance of these areas is very resource intensive. Hawaii also supports a substantial domestic tuna fleet. The primary threat is non-compliance with closed areas.

Alaska (D17): Alaska supports the largest U.S. commercial fishery harvest, and therefore has multiple threats. The US/Russian and US/Canadian borders call for near full time Coast Guard presence during peak activity periods that may last up to several months. Vessels from many nations operating along the US/Russian maritime boundary are targeting pollock and have been observed on numerous occasions fishing in U.S. waters. Canadian vessels fishing for salmon in Dixon Entrance between Southeast Alaska and Canada also occasionally stray into U.S. waters. D17, along with D14, coordinates an international effort to ensure compliance with the United Nations ban on large-scale high seas drift net fishing. Each year since the 1993 ban was established, there has been illegal drift net activity in the high seas of the North Pacific targeting salmon, likely of U.S. origin. The high threat area is vast, and therefore very resource intensive, both in cutter and aircraft use. Domestic fisheries are in relatively good shape, with most species fully utilized, but none in an overutilized status. The fleet is, however, diverse and overcapitalized, resulting in an extremely complex web of regulations employing every tool known to resource managers. The primary domestic fishery concerns are: (1) pollock, with a harvest of over one million metric tons, (2) halibut and sablefish, under a new, controversial individual fishing quota management regime, and (3) other groundfish such as cod, rockfish, Atka mackerel, and flatfish. Scores of closed areas and seasons, along with an ever expanding list of regulations, calls for a substantial cutter and aircraft presence in this economically important region.

While this chapter has summarized the current threats the Coast Guard is responding to, Appendix C explains in detail the current status of fisheries in the U.S. on a regional basis.

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The Coast Guard’s fisheries enforcement role is shaped largely by the existing national management process. NOAA Fisheries is responsible for the management, conservation, and protection of living marine resources within the United States Exclusive Economic Zone. The national fisheries management program direction has been set in the NOAA Fisheries Strategic Plan (May 1997) in which their mission is presented to be:

In support of that mission are three strategic goals:

• Sustainable Fisheries
• Recovered Protected Species
• Healthy Marine Resource Habitat

The Coast Guard’s enforcement role supports their strategic goals with emphasis shifting as conditions and national policy dictate. While the Coast Guard shares enforcement responsibility with NOAA Fisheries, NOAA agents focus almost exclusively on investigations ashore. The Coast Guard, on the other hand, is the only agency with the infrastructure and authority to project a federal law enforcement presence into the U.S. Exclusive Economic Zone and upon the high seas. That is our area of emphasis, and primary expertise.

Because the vast majority of domestic fisheries violations are civil, not criminal, offenses, they are handled through a civil penalty process. The Coast Guard focuses enforcement efforts on those violations that potentially have a significant impact on the resource, or those that would place the violator at a substantial economic advantage over others who are in compliance. These determinations are made in conjunction with the appropriate RFMC or other management authority.

The Coast Guard has developed performance goals with supporting objectives and program standards for fisheries law enforcement operations. These were first promulgated in the Maritime Law Enforcement (MLE) Program Description of June 1995 (updated in May 1998) and were later formalized in the MLE Planning and Assessment (P&A) System, Commandant Instruction 16000.6 (series). The Coast Guard’s fisheries enforcement goals and objectives have been developed to support the NOAA Fisheries Strategic Plan as well as our ten-year vision.

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NOAA Fisheries strategic goals and objectives are presented below. Beneath them are the Coast Guard’s Strategic and Performance Goals that directly support the NOAA Fisheries Strategic Plan goal and objectives. The applicable Coast Guard MLE program objectives are presented in the last sub-section.

3.1.1 Sustainable Fisheries NOAA Fisheries Strategic Goal

The Coast Guard supports the national goals and objectives through the following strategic and performance goals. Effective accomplishment of the performance goals listed below will meet the Coast Guard’s support requirements for all objectives shown above.

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3.3 Coast Guard Fisheries Enforcement Program Objectives

The following objectives are detailed in the MLE Program Description. All four objectives contribute in varying degrees to the support of the five national objectives listed above.

1. Prevent encroachment of the U.S. Exclusive Economic Zone (EEZ) and

internal waters by foreign fishing vessels.

2. Ensure compliance with domestic living marine resource laws and

regulations within the U.S. EEZ by U.S. fishermen.

3. Ensure compliance with international agreements for the management of

living marine resources.

4. Ensure the development of viable enforcement schemes designed to

protect, conserve and manage living marine resources.

These objectives are clearly linked to the above Performance Goals, as follows:

• L-1 is the same as Performance Goal C-3;
• L-2 is linked to Performance Goal P5 in that Coast Guard at-sea efforts are a critical part of the overall federal enforcement program;
• L-3 is linked to both P5 and C3, in that Coast Guard efforts to detect and deter violations of international agreements serve to protect U.S. fish stocks – specifically, anadromous and transboundary stocks. Also, by projecting an enforcement presence on the high seas outside our own EEZ, we create a deterrent effect on those foreign vessels that may be tempted to fish illegally within the U.S. EEZ. Finally, we strengthen relations by partnering with other nations in international conservation efforts - this has the added benefit of increasing the potential for stronger enforcement action by flag states against their own vessels found violating the U.S. EEZ.
• L-4 is also linked to both P5 and C3, in that Coast Guard enforcement of the U.S. EEZ boundary ensures that U.S. resources are not illegally taken by foreigners, thereby preserving these stocks for legitimate U.S. harvesting. Preventing foreign harvesting also ensures these resources will be properly accounted for in catch data.

• Monitor high threat areas to detect 80% of all significant violations or suspected violations.
• Intercept every known suspect detected.
• Respond to all known significant violations in progress.
• Annually board 20% of the U.S fishing fleet operating in high threat areas.
• Participate with 90% of resource user groups (recreational, commercial, NGOs, etc.) to promote and market the goals and objectives of the fisheries law enforcement program.

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The Coast Guard has three strategic foundations for fisheries enforcement:

• A strong national constituency base;
• Effective use of resources;
• Support of national and regional goals.

These foundations, which are supported by a number of initiatives, are presented and discussed below. In addition, Appendix B presents OCEAN GUARDIAN’s Task List. It details specific actions in support of these strategic foundations and initiatives. Those items requiring budgetary action are included in Appendix D.

The broad spectrum of the Coast Guard’s living marine resources constituency includes resource users, resource managers, enforcement organizations, non-governmental organizations, other interested parties, and the general public. These groups represent many diverse interests.

As a public agency, we recognize our responsibility to maintain the trust and confidence of the American people. The Coast Guard strives to communicate effectively at local, regional and national levels with all members of our constituency, incorporating their inputs where appropriate. This constituency consists of four related groups:

Despite differences among these varied groups, there is general agreement with NOAA Fisheries’ stated mission of living marine resource stewardship. However, there are many conflicts in each group’s needs, and great disagreement regarding what constitutes correct resource management focus and appropriate regulations. In many cases, actions which meet the needs of one group are perceived by another as being in direct conflict with the second group’s own best interests. It takes understanding and close coordination with all affected parties to overcome this challenge.

The strategic initiatives identified below provide the Coast Guard’s comprehensive approach to maintaining and strengthening our national constituency base. Complete constituency buy-in with Coast Guard enforcement policy is not possible. However, by using the approaches outlined below, we will ensure our enforcement policies are reasonable and without favor to any constituent. This customer alignment is the key initial step in an effective law enforcement program.

Coast Guard efforts at understanding our constituency’s needs are rooted in clear, open and frequent two-way communication. It is important to tell our constituents what we do, spreading the message of the Coast Guard’s value to the nation. This requires routine interaction at local, regional, and national levels both inside and outside our enforcement role. Most importantly, we must develop, maintain and improve responsive feedback mechanisms with all our constituency groups. Types of actions may include:

• Periodic workshops with resource users, resource managers, and enforcement organizations
• Walking the docks, dropping by the fish processing houses, and visiting with local officials to listen, observe and ask questions, completely outside our enforcement capacity
• Participation in industry trade shows in an educational capacity presenting the Coast Guard mission in fisheries law enforcement, the latest in regulations and proposed rules, and being a listening post for industry trends, interests and concerns
• Establishing ad-hoc working groups with all interested parties on specific issues as they arise
• Frequent use of the media to publicize the Coast Guard’s mission, our enforcement actions and successes, positive influences on resource protection and recovery, and for public outreach

Clear, easily enforceable regulations are critical to the success of living marine resource management policies. Management measures and regulations that are difficult or unsafe to enforce tie-up law enforcement assets, frustrate law enforcement efforts and lead to reduced levels of compliance. The Coast Guard is the nation’s most experienced and expert maritime law enforcement agency, and draws on this expertise providing guidance on the enforceability of and safety issues related to proposed regulations and management plans.

Through membership on the regional FMCs, Coast Guard representatives participate at the earliest stages of management measure development. Via liaisons at NOAA Fisheries and the Department of State, the Coast Guard remains actively involved in the preparation of management measures external to the FMC process, proposed new national legislation and the U.S. positions on emerging international living marine resource issues.

Coast Guard representatives to the FMCs must develop and nurture close relationships with the council and appropriate sub-committees. Through these relationships will come our best opportunities for influencing the development of safe enforceable management schemes. These working committees must come to expect credible, consistent Coast Guard participation and input.

Through our liaisons at NOAA Fisheries and the State Department, as well as other venues, the Coast Guard will continue to be a key player in the development of the Administration position on issues relating to living marine resources, their habitat and environment. Our maritime law enforcement expertise is invaluable in weighing the relative merits between alternative proposals. Measures that appear reasonable may be ineffective when enforceability and safety of life at sea issues are examined. Coast Guard review seeks to identify such situations and minimize their occurrences resulting in clear, fair, enforceable regulations.

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Stewardship also extends to the wise use of the taxpayers’ money in prosecuting our law enforcement missions. The demand for services will always outstrip available resources. The Coast Guard is continually seeking ways to provide the necessary enforcement in the most cost-effective manner. Measuring and evaluating the effects of enforcement actions allow us to implement efficiency measures with existing assets and technology. We expect new technologies to partially replace historic enforcement efforts and pinpoint violations thereby reducing the expenditure of resources to achieve enforcement objectives.

However, true breakthroughs in effectiveness and efficiencies require shifts in cultural paradigms. Not only does this mean new thinking about the use of technology and enforcement tactics, but also changing long-standing cultural norms regarding the beneficial management of our most important and expensive resource, our people. As we enter the twenty-first century, organizational flexibility will not only entail the rapid redeployment of operational platforms, but must include redefining our workforce to meet the challenges of the future.

More and better information developed and shared in real time is needed to adequately address the growing threat to our EEZ in the coming years. Real-time information on the identities, locations and numbers of vessels of interest will allow operational commanders to dispatch response assets in a timely manner, and plan effective future patrols. Intelligence based operations maximize the benefit of patrolling assets, increase their ability to focus on the violators and reduce the unnecessary expenditure of patrol time. Combining technology with information sharing will make it possible to identify an optimal mix of resources and methodologies to provide cost-effective law enforcement operations.

The Coast Guard supports the development and implementation of new technologies for surveillance and monitoring of fishing vessel movements. These new technologies can provide cost-effective ways to ensure only properly authorized fishers harvest U.S. resources. Technology improvements can fill existing shortfalls in operating platforms as appropriate and could replace older, more resource-intense operations. These technologies will make it possible to meet the increasing demand for enforcement with limited resources.

Within the Coast Guard’s Family of Plans, performance planning begins with an understanding of our mission, a clear vision for our future and a realistic, executable strategy. From these flow program-level plans that describe performance goals and objectives, and the performance measures that show progress toward those goals. These goals and measures must be provided to personnel at all levels and explained in order that operational decisions and actions support goal achievement. This iterative process of providing goals and obtaining performance feedback must be sustained over the long term.

The United States is a party to many bilateral and multilateral agreements that apply to cross-boundary and high seas living marine resource issues. These include treaties and conventions addressing conservation of fish stocks that migrate across wide ocean areas, marine mammal protection, and prohibitions against specific fishing methods such as high seas drift nets. New initiatives are constantly introduced as awareness grows regarding the necessity of international cooperation. The United Nations has an active role in developing many of these initiatives. For example, the Agreement on Straddling Stocks and Highly Migratory Species (UN Fish Stocks Agreement) would permit non-flag state enforcement action against violators of international agreements. This type of agreement may be the wave of the future in managing the global pursuit of shrinking resources. The clear trend is an increased demand on Coast Guard resources significantly beyond our current capabilities.

Working closely with NOAA Fisheries and the Department of State, the Coast Guard plays an instrumental role in developing enforceable common-sense international agreements. We encourage similar action from our international partners by responding favorably to requests for professional exchange and training opportunities in law enforcement.

Although international agreements are forged at the highest levels of government, strong local relationships form the basis of a long-term trusting partnership between nations. Local Operational Commanders are empowered to engage foreign officials within their regions to develop cooperative and complementary enforcement efforts focused on de-conflicting operations and promoting the safety of life at sea consistent with Coast Guard policies.

Similarly, domestic partnerships are critical to the effective enforcement of FMPs and related regulations. Close working relationships at the local level with NOAA Fisheries and the regional FMCs are the foundation for successful partnerships. Station, group and district personnel shall seek out local fisheries regulators and enforcement authorities to open and extend the lines of communications. Working together, they should develop and execute joint operations aimed at common or complementary enforcement outcomes.

As we gain the trust and confidence of others through such efforts, we forge strong partnerships. Through these partnerships we can share sensitive law enforcement information and leverage our resources. Over time these synergistic relationships will increase the effectiveness of both our partners and us. Such partnerships will become increasingly important to successful law enforcement in the 21^st century.

Stewardship of our living marine resources involves careful conservation, management and enforcement. The issues involved and the approaches used vary greatly from region to region within our vast EEZ. However, the common denominator is the goal to restore depleted stocks and maintain healthy stocks, ensuring their availability for generations to come.

Only with high levels of compliance with enacted regulations can the effectiveness of resource management measures be properly evaluated. Promoting high levels of compliance is the singular objective of law enforcement. Future use of technology and other improvements will provide long term efficiencies. In the short term, however, the Coast Guard must find ways to maximize compliance with the regulations using existing resources.

The effective enforcement of the fisheries laws and regulations requires focused operations of surface and air assets based on the timely collection and dissemination of information to, from and between the patrolling law enforcement platforms. Working in concert with our regulatory and enforcement partners, new monitoring and surveillance technologies and more efficient enforcement and regulatory approaches can be developed. Finally, we will continue to educate and train our people so they achieve and maintain a comprehensive knowledge base, stay abreast of changing regulations and conditions, and understand the political, social and economic factors driving the industry. In doing so we will break down internal organizational barriers, and form appropriate inter-directorate teams to improve training and operating practices.

Maintaining a professional workforce requires strong commitment to our people providing them the right training, education, assignments consistent with their expertise, and career growth opportunities. Some initiatives can be implemented in the short term; others may require major redirection of long-standing personnel management practices.

The objectives of these actions are to:

• Improve our expertise in mission execution
• Ensure personnel knowledge, experience, professional demeanor, and conduct of boardings is universally accepted as being of the highest caliber
• Develop cross-disciplined boarding teams that are knowledgeable about fisheries and other relevant regulations

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4.3 Support National/Regional Goals

4.3.1 Understand and maintain an active part in the development of regional, national and international goals and strategies

Clearly articulated goals and logical strategies for achieving those goals provide a sound basis for strong, enforceable regulations. Coast Guard involvement can ensure safety at sea issues are considered, help reduce potential conflicts, and result in balanced regulations that support policy while minimizing unintended negative consequences. By properly sharing our experience and knowledge of operational enforcement realities, we can help define goals and strategies that work positively toward the desired policy outcomes.

This is the third strategic initiative involving building and strengthening the Coast Guard’s domestic and international partnerships. Strong professional relationships permit the free exchange of ideas allowing both the Coast Guard and the policy-makers to benefit from one another’s points-of-view. These relationships are the vehicle through which we can offer appropriate input to the regulatory processes. We strengthen these relationships by providing objective counsel on specific matters within our professional expertise working in concert with regulators and policy-makers. Working together in this way will result in clear, achievable management goals and supporting strategies.

Defining the Coast Guard’s enforcement role starts with understanding the role of all enforcement activities and their expected impact on achieving the stated resource goals. Enforcement objectives and targets should be part of each living marine resource management goal and strategy published. Fisheries managers should include an evaluation of the most appropriate enforcement activities and the achievable levels of enforcement when developing or modifying resource management goals and performance targets. The Coast Guard should become expert in such evaluations and provide them to our regulatory partners during goal setting.

As the understanding of enforcement effectiveness increases, rational policies and better regulations can be crafted. A balanced mix of enforcement approaches and levels of effort utilizing the expertise and assets of all appropriate enforcement agencies should enable managers to reach overall policy goals. The Coast Guard’s role must be developed through executing these complementary enforcement activities; evaluating and revising as successes are achieved.

As a multi-mission organization with varied roles, the presence of a Coast Guard asset sends different signals to different constituents depending on the circumstances. The Coast Guard seeks to understand the impacts on our constituents and how their behaviors are influenced by our operations. These behaviors can directly and indirectly affect living marine resources and their environments. Armed with this knowledge, we can develop more effective approaches to providing appropriate levels of enforcement.

Sometimes the execution of our operations may directly impact the resources we are trying to protect. The most notable example is the potential for whale strikes during the course of routine operations. The Coast Guard must closely monitor our operations and their impacts, and revise policies and procedures to minimize potential injuries to the resources. As stewards of the environment, we must be as exacting and demanding on ourselves as we are on those we police.

Many factors contribute to the successful accomplishment of this initiative. Among them are balanced regulations, accurate and timely data on fishing and other activities of interest, proper and uniform professional training for Coast Guard personnel with regular refreshers, development and retention of regional expertise and experience, and sufficient assets to effectively enforce the regulations.

Balanced enforcement begins with proper planning. Central to this is data collection and dissemination that supports both long-range trend analysis and tactical operational execution. Hard data on regulated activity, our enforcement operations and their results are critical to improving operational effectiveness, and balancing enforcement efforts appropriately.

Proper training of our personnel and employing them in their areas of expertise are crucial to maintaining a corps of competent, knowledgeable law enforcement professionals. Since fisheries are regional, specific resource issues, fishing methods, enforcement and regulatory relationships are also regional. Our partners are all deeply rooted within their regions. They expect the Coast Guard to understand the regional issues, even though specific personnel may change. Operational asset employment and personnel assignment practices should be crafted to maximize the capture and retention of this regional information in the planning and execution of our missions.

A third key element to the execution of even enforcement is providing sufficient assets to effectively enforce the regulations. Although sufficient Coast Guard assets may not be available to meet all the enforcement demands, cooperative operations with other law enforcement agencies provide synergies and leverage the resources of all agencies involved. New ways must be explored to conduct surveillance and enforcement of regulations within our asset base. In addition, we must identify and provide the right assets at the right time to ensure success in this initiative.

The Coast Guard patrols the EEZ boundary areas to neutralize the threat of foreign poaching of U.S. fisheries resources. Illegally fishing foreign vessels have the potential to steal a valuable resource from the American public. As fish stocks decline, competition increases among all fishers placing additional pressure on the fisheries. Our objective is to safeguard this precious resource for the American public, supporting the Sustainable Fisheries national strategic goal. Working in concert with regional fisheries managers, the Coast Guard plans and executes operations in high threat areas at appropriate times to prevent foreign encroachment of the U.S. EEZ.

Although foreign encroachment can occur anywhere in the 3.36 million square mile EEZ, it is most likely to occur where high-value or high quantity fisheries are found. Consistently over the years, the following areas have met those criteria:

• Bering Sea at the U.S./Russian maritime boundary
• Western Pacific around U.S. territories
• U.S./Mexican maritime border
• At the U.S./Canadian maritime boundary, especially in the following locations:
• Straits of Juan de Fuca and northern Puget Sound
• Dixon Entrance
• Hague Line
• Great Lakes

Improved monitoring of high-threat EEZ areas to detect encroachment is crucial to effective and efficient protection of U.S. living marine resources. Once detected, timely and irrefutable documentation of the infraction, and certain and severe sanctions must follow. New technologies can provide cost-effective monitoring, detection and documentation for protection of the U.S. EEZ. The Coast Guard must work closely with other agencies to craft comprehensive enforcement methodologies, effectively using emerging technologies to protect the EEZ from foreign encroachment. Whatever new monitoring, detection and enforcement technologies are developed, however, continued close bilateral and multilateral relationships will remain critical to peaceful coexistence and effective enforcement in these areas.

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Just as there are numerous fish species and fishing methods, there are a wide variety of tools fishery managers charged with the protection of our oceans’ living marine resources can choose from to achieve national conservation goals. Each fishery management plan is unique in its approach; however, all rely on at sea enforcement to ensure compliance. Enforcement methods employed in each region vary depending on the particular management approach. Some are at sea boarding intensive, some require more shore side presence, while others rely heavily on aircraft surveillance. The following sections address a list of common tools employed by fishery managers, current regional LMR Operation Plans in place to ensure compliance with regional FMPs, and some general LMR enforcement tactics.

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4.4.2 LMR Regional Operation Plans

The following regional Operation Plans support the Coast Guard’s Fisheries Law Enforcement Goals listed in Chapter 3.
L-1: Prevent encroachment of the U.S. EEZ by foreign fishing vessels.
L-2: Ensure compliance with domestic LMR laws and regulations.
L-3: Ensure compliance with international LMR management agreements.

L-4: Ensure the development of viable enforcement schemes designed to protect, conserve and manage living marine resources.

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