<pubnumber>842R98005</pubnumber>
<title>Year of the Ocean: Discussion Papers, March 1998</title>
<pages>388</pages>
<pubyear>1998</pubyear>
<provider>NEPIS</provider>
<access>online</access>
<operator>dwu</operator>
<scandate>03/06/02</scandate>
<origin>hardcopy</origin>
<type>single page tiff</type>
<keyword>ocean marine coastal national sea act resources states year united tourism climate management research areas international convention vessels environmental global</keyword>
TM
YEAR OF THE OCEAN
Discussion Papers
March 1998
Prepared by the U.S. Federal Agencies ivith ocean-related programs
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UNITED STATES DEPARTMENT OF COMMERCE
The Under Secretary far
Oceans and Atmosphere
Washington, D.C. 2O23O
Dear Colleague:
The United Nations has declared 1998 as the International Year of
the Ocean, and the Federal agencies with ocean-related programs
have been planning activities in honor of this occasion. One
such activity is the preparation of the enclosed set of
discussion papers which address a variety of themes and issues—
what is working well and what is not working well, needs, and
opportunities for the future. They are intended to provide
background information needed to assist the private and the
public sectors to work together to promote the conservation,
exploration, and sustainable use and national security interests
of the ocean. On behalf of all of the participating agencies, I
hope you will find this volume of interest.
Sincerely,
D. James Baker
Enclosure
Printed on Recycled Paper
THE ADMINISTRATOR
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YEAR OF THE OCEAN
Discussion Papers
March 1998
Prepared by the U.S. Federal Agencies 'with ocean-related programs
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For additional copies, please contact:
Office of the Chief Scientist, NOAA
U.S. Department of Commerce
14th Street and Constitution Avenue, N.W.
Washington, D.C. 20230
Telephone: (202) 482-3385
Facimile: (202) 482-5231
Funding for the publication of this document was provided by the Department of
Energy, the Environmental Protection Agency, the Minerals Management Service, the
National Oceanic and Atmospheric Administration, and the U.S. Geological Survey.
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FOREWORD
The United Nations has declared 1998 as the International Year of the Ocean. This
declaration represents an opportunity to raise public awareness about the value of the ocean to all
Americans, to celebrate our considerable accomplishments in understanding the ocean, and to
learn from our experiences in managing ocean resources to assure that our children have a
healthy and productive ocean to enjoy.
The Value of the Ocean to All Americans
All Americans are affected by the ocean (including coastal waters, estuaries, and the
Great Lakes). And we all affect it. The United States has more than 95,000 miles of coastline
and more than 3.4 million square miles of ocean within its territorial sea. The ocean's living
resources provide food on our plates, raw materials for industry, new medicines to improve
health, and unparalleled recreational experiences. Historically, the ocean has buffered the U.S.
from conflicts overseas and foreign invasion. Our national security and our interests in
enhancing global peace and stability are absolutely dependent on preserving high seas freedoms
of navigation for military and commercial vessels. In 1996 approximately $590 billion of goods
(41 percent of the total value of United States foreign trade, and a much larger share by weight)
were carried on the ocean and passed through American ports. By comparison, air and overland
transportation accounted for 27 and 31 percent respectively, by value. U.S. residents ate an
average of 15 pounds of fish and shellfish last year. The ocean is also an important source of
energy - about 18% of our oil and 27% of our natural gas are produced from the Outer
Continental Shelf. Leading-edge anti-inflammatory drugs and potentially life-saving cancer
treatments contain ingredients from fish and marine organisms. Finally, about 180 million
people visit our coastlines each year, and most Americans spend at least 10 days a year near a
coast. Travel and tourism is the largest and the fastest growing segment of the U.S. service
industry.
The ocean regulates the world's climate. The effects of the ocean on the atmosphere
control our daily weather. This year's El Nino event has changed dramatically weather patterns
in the US and around the world. The ocean provides natural services such as carbon storage,
atmospheric gas regulation, nutrient cycling, and waste treatment. Coral reefs, mangroves, and
kelp forests protect coastal areas from storms. Marine algae contribute nearly 40 percent of
global photosynthesis.
The ocean provides many Americans with their livelihood. One out of six jobs in the
U.S. is marine-related and one-third of our GNP is produced in coastal areas. Today, over half of
our population lives and works in coastal areas adjacent to the Atlantic and Pacific Oceans, the
Gulf of Mexico, and the Great Lakes. Over the past three decades, coastal population has grown
faster than the population of the country as a whole. The U.S. coasts are among the most densely
populated areas in the world. By the year 2025, close to 75 percent of our people will live in
coastal areas, the majority in sprawling, interconnected metropolitan centers. One concern about
our burgeoning coastal population is the increased risk of coastal hazards and hurricanes, which
have accounted for almost $50 billion in coastal damages over the past decade.
The oceans play an important role in enabling the United States to project military power,
when necessary, to troubled regions of the world. Freedom of the seas provides U.S. policy-
makers with flexible options in dealing with challenges to international peace and security.
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Finally there is a very personal value to the ocean. Often, we are drawn to the ocean only
to stand and stare and listen. The ocean is beautiful to almost everyone, for reasons each of us
understands and none of us knows. It has inspired some of the world's finest paintings, poetry,
stories, and music.
Preserving Ocean Resources
Although some progress is evident, signs of trouble in the seas should continue to
concern us. Over-fishing, changes in coastal habitat, and pollution have combined to impact
dramatically living resources in our marine waters. In both the United States and globally, with
few exceptions, stocks are declining and the majority of fisheries are thought to be fully or over-
utilized. Some species (cod, haddock, and flounder, for example) have nearly disappeared off
the New England coast. Recent trends in catches, trade, contribution to food supplies, and
overall economic viability of the fishing industry are not encouraging. As a result of effective
conservation practices, a few marine mammals and sea turtles in U.S. waters appear to be
recovering after years of declining numbers, but habitat loss and human activities are
jeopardizing other species, such as salmon. Less-studied marine organisms are probably being
lost before ever being identified, much less protected. We continue to lose important habitats
such as wetlands, sea grass beds, and coral reefs. These are more than just environmental issues,
The serious decline of fisheries have sparked confrontations in the past, and environmental
degradation has created situations of friction, dislocation, and mass migration in various regions
of the world.
Concerns about ocean pollution also are warranted. About 40% of our estuarine and
coastal waters are not fishable or swimmable - primarily because of excess nutrients and bacteria
from agricultural runoff and municipal wastewater discharges. Although the quality of our
shellfish harvesting waters has improved over the past five years, 30% of these areas still have
some form of harvest restrictions. In 1996 over 2,500 closings and advisories were issued for
coastal bathing beaches due to bacterial contamination. Sediments in coastal areas near
industrial facilities and ports, especially in areas where water circulation is slow, show elevated
concentrations of chemical contamination. Concerns about dredging contaminated sediments in
port areas have delayed the maintenance of major ports and waterways. Oil contamination, not
only from tankers, but from municipal and industrial operations on the land, continues to be a
problem. Major tanker spills contribute only about five percent of the oil contaminating the
ocean. In fact, at least 75% of all pollutants that contaminate the ocean are from land-based
sources.
Despite these very real concerns, there is much to be optimistic about with respect to the
future of the ocean. The ocean remains a largely unexplored frontier that represents a critical
source of food, energy, and other natural resources for the next millennium. Only recently have
the seas yielded their secrets of the deep ocean floor, home to communities of organisms whose
productivity is based on chemosynthesis instead of photosynthesis. Whole new ecosystems have
been discovered within the last year, some of which might be the basis of new drugs and medical
treatments.
Opportunities for New Partnerships
Ocean policy is such a large, cross-cutting field that no single agency of the Federal
government, on its own, has the necessary legal authorities, human and financial resources, and
experience to move the country ahead in ocean science and management. As a result of the
Stratton Commission, the National Oceanic and Atmospheric Administration of the Department
of Commerce was formed almost 30 years ago to unify many ocean-related functions in one
agency. At that time other agencies also expanded their ocean missions. New partnerships
IV
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among agencies with responsibilities for ocean issues, such as the Department of Transportation,
the Department of the Interior, the U.S. Environmental Protection Agency, the Department of
Defense, the Department of State, the U.S. Agency for International Development, the
Department of Justice, and the National Oceanic and Atmospheric Administration, are beginning
to show results. For example, experiments in the civil use Of advanced technologies in the
military and intelligence communities promise new insights into environmental problems in
coastal areas and the ocean.
The Federal government, however, cannot do it alone. Renewed cooperation with our
counterparts in state and local governments will be critical in order to solve problems of coastal
pollution, habitat loss, hazards mitigation, and other areas. Federal agencies have a growing
experience base in working with colleagues in state and local governments through programs
such as the Coastal Zone Management Program and the National Estuary Program that can serve
as models for future cooperation.
Moreover, the Federal government doesn't have all the answers. Federal agencies,
private industry, state and local governments, and academic institutions are strengthening and
improving their cooperative activities, including the sharing of human resources, experience,
data, equipment, instrument development, and facilities. Nurturing existing partnerships, such as
the National Oceanographic Partnership Program, can help build support for oceanographic
research.
In a time of shrinking budgets, the public sector at all levels will never have adequate
resources to do all that needs to be done. Investments in coastal and marine areas by the private
sector far outweigh public investments, and the experience base of the private sector is often
untapped in public decision making. Real opportunities exist to develop public-private
partnerships with the insurance industry to deal with concerns about climate change, with the
tourism industry to deal with the environmental quality of coastal areas, and with the fishing
industry to deal with issues related to essential fish habitat.
Finally, the United States cannot move the country ahead in ocean science and
management in isolation. The ocean and its resources are inherently international. Even within
our own waters, the health of the fish we eat and the waters in which we swim are affected by
activities in other countries. The elements of effective management -- public participation,
scientifically-sound decision making, governmental coordination and integration, the need for
creative financing for programs ~ are similar in all nations. The threats to ocean ecosystems --
over-fishing, destruction of habitat, nutrient and toxic pollutants, non-indigenous species, and
pathogens — are also global.
Although we should celebrate recent improvements of marine environments in the U.S., it
is important to remember that coastal areas in the developing world are under severe pressures
that few nations are equipped to manage. U.S. international development programs, in
partnership with non-governmental organizations, universities, and the private sector, work with
foreign governments, community groups, and international institutions to build local capacity to
protect and use marine resources more sustainably. Principles that were established first in the
U.S. are being adapted for use in Latin America, the Caribbean, Southeast Asia, East Africa, and
the Middle East. As a nation, we can also learn through our attempts to help others deal with
similar problems. Building capacity for sustainable management on distant shores will enhance
our own efforts.
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Current Developments
The ocean has already begun to receive new attention in other countries, the academic
community, and the Congress. One of the Administration's highest priorities this year is
accession to the Law of the Sea (LOS) Convention. The LOS Convention restrains excessive
maritime claims and codifies key legal provisions in the areas of navigational freedoms,
ownership of non-living resources, environment, fisheries, and public vessel sovereign immunity
in a way that balances the vital interests of maritime and coastal states.
In May 1998, Lisbon, Portugal, will open EXPO98, an international world's fair focusing
on the importance of the ocean in our lives. This event will be an opportunity to raise public
awareness world-wide since over 20 million people are expected to attend. The ocean will also
be a key issue at the 1998 G-8 Environmental Ministerial meeting that will be held in April
1998, in the United Kingdom.
In recent years, many reports have concluded that domestic ocean management in the
United States is fragmented. Most recently, a report entitled Striking a Balance: Improving
Stewardship of Marine Areas, authored by the Marine Board of the National Research Council,
concluded that our existing domestic management system is characterized by a confusing array
of laws, regulations, and practices at the federal, state, and local levels. Further, it concluded that
the various agencies that implement and enforce existing legal regimes operate with mandates
that often conflict with each other, and that no mechanism exists for establishing a common
vision and set of objectives. To begin correcting this situation, the Marine Board recommended
the creation of a "National Marine Council" to define national objectives and improve
coordination among federal and state agencies and other interested parties in the private sector.
It also considered whether a domestic ocean management regime would be an effective structure
for planning and decision-making, since most ocean management issues cross state boundaries.
Congress is considering legislation this year to develop and maintain a coordinated,
comprehensive, and long-range national policy with respect to domestic ocean and coastal
activities.
The Federal agencies with ocean-related programs have been planning activities for the
Year of the Ocean. In addition, these agencies have prepared the following set of discussion
papers on a variety of themes and cross-cutting issues. They discuss what is working well and
what is not in ocean resource management, and identify needs and opportunities for the future.
They are intended to provide some of the background information needed to enable both the
public and private sectors to work together to promote the conservation, exploration, and
sustainable use of the ocean.
VI
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ACKNOWLEDGEMENTS
Many individuals contributed to the preparation of these papers over many months. Particular
appreciation goes to those listed below, with apologies to others whose names may have been
inadvertently omitted. The asterisk identifies the individuals) with lead responsibility in each
area.
Overall Guidance and Coordination
W. Stanley Wilson *
Office of the Chief Scientist, NOAA
Charles Bookman
The H. John Heinz III Center for Science,
Economics and the Environment
Muriel Cole
Office of the Chief Scientist, NOAA
Marguerite Danley
National Ocean Service, NOAA
Steve Dunn
The H. John Heinz III Center for Science,
Economics and the Environment
Marina Guedes
The H. John Heinz III Center for Science,
Economics and the Environment
Steve Morrison
National Ocean Service, NOAA
Harrison Pannella (Editor)
Terry L. Schaefer
Office of the Chief Scientist, NOAA
The U.S. Marine Transportation System
Norman Lemley *
U.S. Coast Guard
Captain Charles Allen, USN
U.S. Department of Defense
Charles Chesnutt
U.S. Army Corps of Engineers
Margie Hegy
U.S. Coast Guard
John Heisler
Environmental Protection Agency
Millington Lockwood
National Ocean Service, NOAA
Paul Mentz
Maritime Administration
Stephen Miller
U.S. Department of State
Kennard Potts
Environmental Protection Agency
Captain Mark Rosen, USN
U.S. Department of Defense
Captain David VanOss, USN
U.S. Department of Defense
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The Oceans and National Security
Captain Mark Rosen, USN *
U.S. Department of Defense
John H. Noer
Center for Naval Analyses
U.S. Department of Defense
Office of the Secretary of Defense
Office of General Counsel, Department of
Defense
Office of the Chief of Naval Operations
Office of General Counsel, Department of
the Navy
Office of Secretary of the Navy
Office of Oceanographer of the Navy
Office of Naval Research
Center for Naval Analyses
Environmental Protection Agency
U.S. Department of Commerce
National Oceanic and Atmospheric
Administration
U.S. Department of Energy
U.S. Department of Justice
U.S. Department of State
U.S. Department of Transportation
U.S. Coast Guard
Maritime Administration
Ensuring the Sustainability of Ocean Living
Sari J. Kiraly *
National Marine Fisheries Service, NOAA
Charles Chesnutt
U.S. Army Corps of Engineers
Jerome Erbacher
National Marine Fisheries Service, NOAA ,
Anne Gore
Environmental Protection Agency
Judy Gray
Coastal Ocean Program, NOAA
Lieutenant Commander Gregory Kitchens,
USCG
U.S. Coast Guard
Thomas F. Hourigan
National Marine Fisheries Service, NOAA
Resources
Suzanne ludicello
National Marine Fisheries Service, NOAA
(Contractor)
Karen Koltes
U.S. Geological Survey
Gary Matlock
National Marine Fisheries Service, NOAA
Matteo Milazzo
National Marine Fisheries Service, NOAA
Kenneth W. Osborn
National Marine Fisheries Service, NOAA
Brady Phillips
National Ocean Service, NOAA
Barbara Schroeder
National Marine Fisheries Service, NOAA
Allen Shimada
National Marine Fisheries Service, NOAA
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Ocean Energy and Minerals: Resources for the Future
Ken Turgeon*
Minerals Management Service
Jonathan Amson
Environmental Protection Agency
Charles Chesnutt
U.S. Army Corps of Engineers
Susan Gregersen
U.S. Department of Energy
Terry Holman
Minerals Management Service
Jim Magill
U.S. Coast Guard
Elliot Spiker
U.S. Geological Survey
With assistance from the following Minerals
Management Service staff:
Roger Amato, Kim Coffman, Keith Meekins,
Jim Price, and Robert W. Smith
Coastal Tourism and Recreation
Biliana Cicin-Sain *
Center for the Study of Marine Policy
University of Delaware (on behalf of
National Sea Grant College Program, NOAA)
Robert Knecht*
Center for the Study of Marine Policy
University of Delaware (on behalf of
National Sea Grant College Program, NOAA)
Miriam Balgos
University of Delaware
Nigel Bradly
University of Delaware
Charles Chesnutt
U.S. Army Corps of Engineers
Macara Lousberg
Environmental Protection Agency
Al Marmo
U.S. Coast Guard
Bill Price
National Marine Fisheries Service, NOAA
Fritz Schuler
National Sea Grant College Program, NOAA
Trevor Spradlin
National Marine Fisheries Service, NOAA
Joseph Uravitch
National Ocean Service, NOAA
Kenneth Walker
National Ocean Service, NOAA
Thanks are due to the following members of
the Sea Grant network for providing useful
information:
Jan Auyong (Oregon Sea Grant Program),
Robert Bacon (South Carolina Sea Grant
Consortium), and James Folk (Delaware Sea
Grant College Program)
IX
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Impacts of Global Climate Change - With Emphasis on U.S. Coastal Areas
Richard W. Reynolds *
National Weather Service, NOAA
Ben Mieremet
National Ocean Service, NOAA
Steve Morrison
National Ocean Service, NOAA
Stephen Piotrowicz
Office of Oceanic and Atmospheric Research,
NOAA
Ellen Prager
U.S. Geological Survey
Kathryn Ries
National Ocean Service, NOAA
Jim Titus
Environmental Protection Agency
S. Jeffress Williams
U.S. Geological Survey
Mitigating the Impacts of Coastal Hazards
Margaret Davidson *
National Ocean Service, NOAA
Richard Krimm *
Federal Emergency Management Agency
S. Jeffress Williams *
U.S. Geological Survey
Charles Chesnutt
U.S. Army Corps of Engineers
Sandy Ward
National Ocean Service, NOAA
Opportunities and Challenges for Marine Science, Technology and Research
Richard Spinrad *
Consortium for Oceanographic Research
and Education
Captain Daniel Schwartz
Consortium for Oceanographic Research
and Education
The Interagency Working Group of the
National Oceanographic Partnership Program
Defense Advanced Research Projects
Agency
Environmental Protection Agency
Minerals Management Service
National Aeronautics and Space
Administration
National Oceanic and Atmospheric
Administration
National Science Foundation
Office of Management and Budget
Office of Naval Research
Office of the Oceanographer of the Navy
Office of Science and Technology Policy
U.S. Coast Guard
U.S. Department of Energy
U.S. Geological Survey
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A Survey of International Agreements
U.S. Department of State *
Marine Education U.S.A.: An Overview
Dale Ingmanson *
San Diego State University (on behalf of
National Sea Grant College Program, NOAA)
Barbara Elkus
Coastal America
Melissa Gordon
Office of the Chief Scientist, NOAA
Joyce Gross
Office of Public and Constituent Affairs,
NOAA
Ellen Prager
U.S. Geological Survey
Sarah Schoedinger
Consortium for Oceanographic Research and
Education
David Smith
U.S. Naval Academy
William Wallace
San Diego State University
The Legendary Ocean - The Unexplored Frontier
Barbara Moore * Julie Zeidner
National Undersea Research Program, NOAA National Undersea Research Program, NOAA
Al Kalvaitis David Stein
National Undersea Research Program, NOAA Office of Oceanic and Atmospheric Research,
NOAA
Domestic Legal Regimes (included as Appendices where applicable)
Margo Jackson * Brandy LeGrande
Office of General Counsel, NOAA Office of General Counsel, NOAA
Stephanie Campbell
Office of General Counsel, NOAA
Roger Eckert
Office of General Counsel, NOAA
Pamela Lawrence
Office of General Counsel, NOAA
Mary O'Brien
Office of General Counsel, NOAA
Constance Sathre
Office of General Counsel, NOAA
Michael Weiss
Office of General Counsel, NOAA
XI
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CONTENTS
Foreward IU
Acknowledgments vy
The U.S. Marine Transportation System A-l
The Oceans and National Security B-l
Ensuring the Sustainability of Ocean Living Resources C-l
Ocean Energy and Minerals: Resources for the Future D-l
Perspectives on Marine Environmental Quality Today E-l
Coastal Tourism and Recreation jr_i
Impacts of Global Climate Changes-
With Emphasis on U.S. Coastal Areas G-l
Mitigating the Impacts of Coastal Hazards H-l
Opportunities and Challenges for Marine Science,
Technology, and Research I_l
A Survey of International Agreements j_j
Marine Education U.S.A.: An Overview K-l
The Legendary Ocean: The Unexplored Frontier L-l
Xlll
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1998 Year of the Ocean
THE U.S. MARINE TRANSPORTATION SYSTEM
Contents
1. EXECUTIVE SUMMARY A-2
2. INTRODUCTION A-3
3. THE CURRENT U.S. MARINE TRANSPORTATION SYSTEM A-4
4. IMPORTANCE TO THE U.S. ECONOMY AND
NATIONAL SECURITY A-7
5. GLOBAL TRENDS THAT WILL AFFECT
MARINE TRANSPORTATION A-7
6. MARITIME POLICY AND KEY STRATEGIC ISSUES A-9
7. TECHNOLOGY A-12
8. OPTIONS FOR CONSIDERATION A-14
9. CONCLUSION A-15
10. DOMESTIC LEGAL REGIME A-16
11. LIST OF ACRONYMS A-37
This Year of the Ocean document was prepared as a background discussion paper and does not
necessarily reflect the policies of the U.S. Government or the U.S. Government agencies that
participated in its preparation.
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1998 Year of the Ocean
The U.S. Marine Transportation System
EXECUTIVE SUMMARY
The U.S. marine transportation system encompasses a network of navigable waters,
publicly and privately owned vessels, port terminals, intermodal connections, shipyards, vessel
repair facilities, and a trained labor pool operating and maintaining this infrastructure.
The United States is the world's largest trading nation, accounting for over one billion
metric tons or nearly 20 percent of the world's oceanborne trade. Nonetheless, with international
trade projected to triple by 2020, and with over 90 percent of this trade (by weight) projected to
move by ocean, the capacity of the U.S. marine transportation system must increase. This
includes bringing the physical infrastructure of the system, such as charts, vessel traffic services,
and berths, up to world-class standards.
The larger vessels being built to accommodate increasing demands require deeper
channels. Dredging operations that are necessary for the safe operation of vessels and port
facilities raise environmental concerns regarding the disposal of dredged material. Additional
environmental challenges include control of non-indigenous species, intentional and non-
intentional emission of petroleum and other toxins, and physical damage to marine habitats
caused by vessel and port operations.
Technological developments in shipbuilding, navigation information, communications,
sensors, and cargo handling will improve safety and efficiency and allow smaller crews. As ships
and transportation systems become more complex, training requirements will grow. Crews must
be qualified and operate in accordance with international standards.
Regulatory authority already exists to manage and maintain the marine transportation
system. However, the scope of improvements needed to remain globally competitive forces
consideration of the need for better coordination among the many stakeholders, new funding
mechanisms, and development of a Federal Waterways Management Plan.
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1998 Year of tbe Ocean
The U.S. Marine Transportation System
INTRODUCTION
Marine transportation is an integral component of the U.S. transportation system and is
essential to the nation's economy. By 2020, international trade will triple, with over 90 percent
(by weight) moving via the ocean. Accordingly, the entire U.S. transportation infrastructure,
including ports and waterways, must be able to handle this projected increase. The nation needs
to plan for and manage future growth of marine transportation on its waterways.
The importance of waterways tends to be overlooked by the public when compared to air,
rail, and highway systems. This can be attributed to the general lack of understanding of the
contribution of ports and the waterways system to people's daily lives as well as to national
security. In many cases, as in international commerce, there is no alternative to moving goods by
water. Thus, formal coordination and planning of marine transportation infrastructure
improvements are needed as competition for use of the waterways and vessel size and
complexity increase. For example, one consequence of inefficient waterway use would be an
inability to meet "just-in-time" delivery requirements, resulting in higher costs for consumer
goods.
Increasing the efficient use of waterways has additional economic and environmental
benefits. The marine transportation system can relieve congestion in other transportation modes.
Waterborne transportation is more fuel-efficient than other transportation modes and reduces
propulsion emissions by one-third or more. Transporting bulk goods by water results in a 35
percent reduction in transportation costs, when compared to other modes.
Technological advances offer opportunities to counter the challenges that increasing trade
and the continued growth in the length, width, and draft of ships present for the nation's
economy, environment, and port communities. In combination with computer and
communication technology to integrate and deliver the data to mariners, the following advances
will significantly reduce the risk of serious accidents and spills:
• full-bottom coverage survey equipment;
• electronic chart display and information systems;
• electronic charting systems;
• vessel traffic services;
• vessel transponders;
• real-time acquisition and delivery of data; and
• the differential global positioning system.
One study by the Woods Hole Oceanographic Institute estimates that an effective electronic
charting system alone could do as much to reduce risks of oil and chemical spills as requiring
tankers to have double hulls.
Marine safety will also benefit from improved communications and cooperation among
federal, state, local authorities, and private interests.
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1998 Year of the Ocean
The U.S. Marine Transportation System
THE CURRENT U.S. MARINE TRANSPORTATION SYSTEM
The U.S. marine transportation system encompasses a national and global network of
navigable ocean, lake, river, and inland waterway routes; the vessels that carry waterborne
commerce; a complex of ports and terminals serving as intermodal points of transfer between the
water system and the land-based transportation modes; ship operators; an extensive supplier
base; and shipboard, shipyard, and longshore labor forces. The system includes over 3,500 bulk
oil transfer facilities, 10,000 marinas, 18,000 bridges, a network of locks and dams, and 97,000
aids to navigation. Diverse groups of waterway users—commercial vessels making 70,000 port
calls annually, 110,000 fishing vessels, and 20 million recreational vessels—vie for access to our
waterways often with conflicting interests and purposes. Additionally, the general public is
concerned about the waterways' environmental health and esthetics.
The Merchant Marine Fleet
As of October 1, 1997, the U.S. merchant marine—the fleet of privately owned, U.S.-
registered ships, in foreign and domestic trades—totaled 356 vessels (286 oceangoing ships and
70 large Great Lakes vessels) with a capacity of approximately 15 million deadweight tons (dwf).
In 1996, approximately 33,000 cargo carrying vessels and 8,000 tugs, ferries, passenger, and
supply boats served the inland waterways, Great Lakes, and coastal trades. Overall, the U.S.
water transportation industry employs 170,000 people on board ships and in supporting shoreside
occupations. An additional 34,000 production workers are employed in the major shipyards, and
thousands more work in smaller-shipbuilding and ship repair facilities.
Foreign Trade
The United States is increasingly enjoying the benefits of growing international trade as
trade barriers are eliminated. Currently, trade flows are growing faster than the gross domestic
product. In 1996, approximately $590 billion of goods (41 percent of the total value of U.S.
foreign trade, and a much larger share by weight), were carried on the ocean and passed through
our ports. By comparison, air and overland transportation accounted for 27 and 31 percent,
respectively, by value. Comparable statistics on the weight of truck, rail, and pipeline traffic
between the United States and Canada/Mexico are not available.
The United States is the world's largest trading nation, accounting for over one billion
metric tons or nearly 20 percent of world oceanborne trade. The nine million barrels of oil the
United States imports daily, the majority by water, is by far the largest single commodity-handled
anywhere. In fact, excluding Mexico and Canada, over 95 percent of overseas trade by tonnage is
shipped by sea.
Despite the growth in U.S. foreign trade and numerous promotional programs designed to
subsidize U.S.-flag operations, the U.S. maritime industry has struggled to compete effectively in
the international shipping market. U.S.-flag ship operators continue to face substantial
competition from foreign operators who have achieved equal or better productivity. Foreign
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1998 Year of the Ocean
The U.S. Marine Transportation System
operators enjoy substantially lower operating and capital costs with less stringent safety,
construction, and environmental requirements. They also benefit from more modern shipyards,
and less expensive labor from developing countries. Given these conditions, the role of the
federal government in defining and protecting U.S. national interests will need to be addressed in
the years ahead. The U.S. merchant fleet currently carries three percent of U.S.-foreign
waterborne trade, with the remaining 97 percent hauled by foreign-flag operators.
Even though its share has declined, the quantity of cargo carried by the U.S. fleet
generally has increased—from 25.2 million long tons in 1970 to 28.3 million long tons in 1996, a
12.5 percent increase. The absolute increase in cargo carried on U.S.-flag vessels reflects the
deployment of larger, more productive U.S.-flag vessels since the 1970s.
Domestic Shipping
Domestic shipping includes commerce on the Great Lakes, the inland waterways, and in
the domestic ocean trades. Annually, over one billion short tons of cargo move in the domestic
trade (24 percent of all U.S. cargo on a ton-mile basis) at less than 2 percent of the entire
domestic freight bill ($422 billion in 1995). U.S. domestic waterborne shipping generates $8
billion in annual freight revenue. Domestic shipping serves over 90 percent of the U.S.
population, and carries approximately 65 million passengers each year on domestic vessel cruises
and passenger ferries. Approximately 124,000 people are engaged in a variety of domestic
shipping-related activities, including an estimated 80,000 employed in seafaring and non-
seafaring positions on board U.S.-flag vessels operating in the coastwise and inland waterway
trades. Long-standing U.S. law limits commerce between U.S. ports to U.S.-flag vessels.
Ports
There are 355 ports in the United States that handle cargoes at some 4,000 marine
terminals. Ports and marine terminals are intermodal transfer points where cargo is moved from
one mode of transportation to another. While the surface transportation is generally efficient,
improvements are needed at the transfer points in our ports. The importance of these intermodal
interchange points is recognized in the National Highway System Designation Act of 1995. The
Act identifies 240 connectors between the nation's highway system and the 150 port and marine
terminals that handle nearly all U.S. waterborne freight.. Predicted growth in international
waterborne commerce will increase the demands on U.S. ports' infrastructure, intermodal
connectors, and the entire transportation system. The infrastructure of U.S. ports is critical for
national economic health and protection of U.S. national security interests.
Ports must be able to accommodate the larger vessels coming into service. Ports must
also upgrade cargo-handling equipment and operational procedures to increase the speed and
volume of cargo throughput. In general, larger and faster ships and advanced port container-
handling equipment will enable terminal operators to move more cargo and increase labor
productivity. The labor force of the future will have to be highly skilled to operate the equipment
and systems needed for tomorrow's ports. Unless necessary port infrastructure improvements are
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completed in a timely and cost-effective manner, some major ports could lose business to other
U.S. or non-U.S. ports.
To exploit fully the cost efficiencies of the new "mega" ships, large carriers will limit
vessel calls to major load center ("hub") ports. Some hub ports exist today, but by 2020, they
will become the preferred distribution points on high-volume trade routes fed by domestic
coastal "relay" operations. Smaller ports will take on a new role as they become part of a
network of coastal trade facilities.
The deployment of larger ships will increase dredging concerns—both the physical
capability to handle large ships and the environmentally sound and cost-effective disposal of
dredged material. Large vessels (6,000 twenty-foot equivalent units (TEUs)) require a minimum
channel depth of 15 meters (49 feet), increasing only marginally to 15.3-15.5 meters (to 51 feet)
for 8,000-10,000 TEU ships.
In addition to the growth in trade, environmental concerns and a need to relieve road and
rail congestion will drive coastwise expansion of markets for movement of freight and
passengers.
Shipbuilding and Repair
The United States shipbuilding and repair industry is an aggregate of more than 280
privately owned facilities. These facilities are located in more than 150 cities, in 30 states and
Puerto Rico. Eighteen of the U.S. facilities comprise the Major Shipbuilding Base (MSB). The
MSB includes shipyards having at least one shipbuilding position consisting of an inclined way,
a launching platform, or a building basin capable of accommodating a vessel of at least 122
meters in length. With few exceptions, these shipbuilding facilities are also major repair facilities
with drydocking capability. As of January 1, 1997, the total production workforce in the MSB
was 34,591—of which 3,974 were engaged in constructing vessels for commercial operations.
Second-tier shipyards, comprised of small or medium size facilities, engage primarily in the
construction of vessels for use on the inland and coastal waterways as well as for foreign
markets.
Around 2020, shipyards will begin building vessels to replace those being built today.
Sufficient capacity will be available. The integration of ship design and production processes,
and the use of robotics and electronically controlled assembly will result in more efficient, cost-
effective and timely ship construction. While Far East shipyards will continue to dominate
shipbuilding, Japan and South Korea are expected to be less dominant, as China, India, Malaysia
and Singapore capture increased market share. Pacific Rim shipyards are also expected to enter
markets for more sophisticated vessels.
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IMPORTANCE TO THE U.S. ECONOMY AND NATIONAL SECURITY
Transport by water is generally the most economical and efficient means to move goods.
Efficient, well managed ports and waterways benefit every American by keeping waterborne
commerce flowing. This, in turn, keeps shipping costs down and ultimately makes products more
affordable.
The demand for waterborne cargo initiates a chain of economic activity, which
contributes to the overall national economy. This activity generates 15.9 million jobs throughout
the country and contributes $78.6 billion to the GDP. For example, with increased farm
production, for U.S. farmers to be competitive globally, there must be low-cost and efficient
marine transportation to deliver their products to overseas markets.
Marine transportation, including ports and waterways, is vital to our national security.
With the recent reduction of U.S. forces and forward basing of equipment overseas, the ability to
rapidly deploy troops and material worldwide is even more critical. During the Gulf War, for
example, 95 percent of the supplies for U.S. forces went by ship.
GLOBAL TRENDS THAT WILL AFFECT MARINE TRANSPORTATION
Shifts in Trade Patterns
Shifts in trade patterns will have direct impacts on shipping demand. Trade routes will
change in response to available labor pools and markets. As labor-intensive manufacturing
continues to migrate from North to South America and eastern to western Asia in search of
lower-cost labor, shipping from U.S. East Coast ports via the Suez Canal may become more
attractive than trans-Pacific routing. This could reverse the current west-to-east flow of Asian.
imports.
Within the United States, domestic waterborne commerce may benefit by a shift in dry
cargo shipments from congested highway and rail corridors to coastal waterways. Development
of effective intermodal interfaces could also promote domestic trade growth. For example,
domestic tug-barge service throughout the Great Lakes, inland waterways, and coastal ocean
trades, could provide an integrated water route for Canada-U.S.-Mexico trade.
Capital Requirements
Substantial capital investment—both private and public—in new ships, related
equipment, and physical intermodal infrastructure, will be required to meet growing
transportation demands. New financing mechanisms will be needed to meet the unique
requirements of ports and waterways which do not benefit from direct public use and attention.
Future capital requirements and priorities must be set for the allocation of available funds.
Increased congestion on the interstate highway system, for example, will provide an incentive to
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shift investment toward maritime and rail service; however, without greater public appreciation
of the importance and value of marine transportation, public funds will continue to be directed
towards the immediate needs of land transportation. The increased globalization of the U.S.
economy and increased demand for transportation services must be factored into transportation
investment decisions.
Vessel Technology
New vessel designs and propulsion and energy sources will produce larger, faster, more
efficient ships, particularly in the high-volume line-haul trades from the Far East to Europe and
the United States. Containerships introduced into service in the 1960s with capacities of less than
500 TEUs, have been replaced by ships that can carry approximately 6,000 TEUs. Carriers
planning for increased cargo volume have ordered vessels that can carry over 8,000 TEUs. By
2010, ships carrying 13,000 TEUs are possible. However, this prospect raises concerns about
port capacity and the ability of intermodal connections to move cargo away from a port to its
destination. The limited channel depth of many ports will create more demand for vessels with
smaller draft, including tug-barges, to transship cargo to final regional distribution ports.
Component miniaturize has applications in vessel technology. The capability to produce
higher amounts of power with smaller generators will result in a significant fuel savings and a
reduction in noxious emissions. Fuel cell development could lead to an environmentally friendly '
propulsion alternative for the future.
Integrated navigation and communications systems utilizing global positioning,
electronic chart display, improved data and voice transmission capabilities, and the military's
"glass cockpit" technology1 will improve safety. Onboard automation will further increase
productivity. A ship with a crew of 50 seafarers in 1960 and 8, 16, or 21 today could have as few
as 4 by 2020.
Human Resources/Training
Even as ships become larger and average crew sizes smaller, the current shortage of
adequately trained mariners will continue worldwide as trade triples by 2020. As ships and
transportation systems become more complex, training requirements will grow. Advances in
human factors technology and applications of system safety principles will demand better
training and performance testing of personnel. Highly trained people will be required for most
positions and this will result in a demand for skilled U.S. seafarers, especially as the difference
between U.S. and foreign wages decreases.
1 Heads-up display where information is projected or appears on the glass window or cockpit through which the operator is
looking.
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Increased public concern for safety and protection of the environment will accelerate the
movement toward enhanced international requirements for vessel safety, environmental
protection, and crew qualifications.
MARITIME POLICY AND KEY STRATEGIC ISSUES
There are many laws and international treaties that govern our waterways and their use.
Although many federal agencies exercise specific authorities, section 101 of Title 49 United
States Code (U.S.C.) gives the Department of Transportation the responsibility to oversee the
national transportation system. Other authorities relevant to marine transportation can be found
in U.S.C Titles 14, 16, 19, 33, 46 and 49, and in international treaties.
International Standards
Under International Maritime Organization (IMO) resolutions to become effective in
2002, the United States and the member nations of the European Union (EU) have pledged to
verify that ships calling in ports under their jurisdiction are in compliance with international
standards of ship safety, training, operation, and construction. The uniformity and enforcement of
these regulations will ensure that carriers have equitable safety and training costs. With U.S.
leadership, operational safety in U.S. and EU ports should improve significantly; efforts will
need to be directed to worldwide acceptance of these standards among all maritime nations.
The use of double-hulls and other design features will decrease the possibility of an oil
spill if a vessel goes aground or is involved in a collision. The Oil Pollution Action of 1990
requires all oil tankers and barges calling at U.S. ports to have double-hulls by 2015. In addition,
under IMO regulations, newly constructed tankers must have a double hull or equivalent
protection.
Need for greater policy coordination and integration
Although the U.S. marine transportation system is extensive and currently capable of
handling vast amounts of cargo, it is not without problems. Investment and technological
deficiencies hinder growth, and a variety of users have expressed their concerns. For example,
Intertanko, an organization of foreign-flag tanker owners and operators whose members' ships
carry 60 percent of oil and petrochemical shipments to and from the United States, notes that
U.S. ports are being pushed to the limits of their capability. They further contend that it is an
anomaly that tankers that approach U.S. terminals do so without the support of a modern vessel
traffic system. These tankers must often base their approach on 50 year old charts, are instructed
to approach a berth on less than adequate water draft, and finally moor at a berth that was
designed to accommodate ships much smaller than a modern tanker.
The President of Sea-Land, a major U.S. and global liner and shipping company, has
stated that successful U.S. ports of the future will be those that have appropriate road and rail
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connections and deep harbors to accommodate the larger, newer vessels. He warns that the Port
Authority of New York/New Jersey could lose 20 percent of its international cargo by 2015
unless its channels are deepened beyond 40 feet.
The Center for Naval Analysis notes that responsibility for managing U.S. ports and its
waterways system is spread among various federal agencies and stakeholders. Management is
fragmented and there is no mechanism for coordination. The Center further indicates that unless
all entities work together in unison, it will not be possible to ensure that all ships and cargoes can
move efficiently into and out of U.S. ports, global prices will rise, and U. S. global
competitiveness will drop.
Actively involving waterway users and stakeholders in comprehensive planning will aid
in consensus building that balances the needs of all. Waterways management is currently the
product of a loosely coupled system of customers and stakeholders. Analyses show that
waterways management policies, procedures, and standards are inconsistent from port to port,
from region to region, and from nation to nation. Waterway users want a seamless transportation
system from the point of origin to destination. Waterway managers, speaking with one voice and
working together, can achieve this objective. At the local level, ports need to be more customer-
focused to give waterway users a greater degree of consistent, "one stop-shopping" for port
information, services and to satisfy all regulatory requirements.
As demand for use of limited waterway space increases, the public expects the
government to ensure the safety of the marine transportation system and to protect the marine
environment. The public also expects an infrastructure that adequately meets the nation's needs,
even though much of the landside facilities are provided by non-federal entities. Coordination of
public and private efforts is needed to meet this challenge.
Marine Transportation and National Defense
As a military and economic superpower, the United States must be prepared to respond to
regional conflicts around the globe that threaten U.S. national security or economic interests. The
Department of Defense (DoD) will deploy smaller, but more efficient, military forces to protect
vital national interests and rely on "just-in-time" logistics for improved defense equipment
inventory management and force projection capability.
To maximize DoD's logistics capability and minimize its cost, future defense
transportation requirements will be met by increased reliance on the U.S. commercial
transportation sector. As security threats or natural disasters occur, the United States will use not
only sealift, but the entire intermodal transportation system, to deploy quickly and sustain its
forces.
For general (dry) cargoes, the Maritime .Security Program, and the Voluntary Intermodal
Sealift Agreement program, assure a cost-effective way to provide DoD with a worldwide
network of container ships, terminals, and experienced personnel for sealift requirements.
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For petroleum cargoes, the Voluntary Tanker Agreement that provides a mechanism for
U.S. tanker owners to make their vessels available to DoD for point-to-point transport of military
fuels and lubricants. This agreement is designed to meet contingency or war requirements, it is
not applicable to peacetime re-supply operations normally addressed by commercial type
charters.
Complementing these resources are the vessels and crews employed in the domestic
waterborne trades. Under section 27 of the Merchant Marine Act of 1920, known as the Jones
Act, coastal and inland trades are reserved for U.S.-citizen owned vessels built in the United
States, which meet U.S.-citizen crew requirements. Over 75 percent of the oceangoing Jones Act
vessels are militarily useful, as defined by DoD, and the pool of seafarers with experience on
these vessels has been relied upon to operate government-owned reserve fleet vessels for many
missions.
Marine Transportation and the Environment
The immense size of the marine transportation infrastructure and the fact that much is
located in sensitive coastal environments raise concerns over possible environmental impacts to
marine ecosystems. Dredging operations that are necessary for the safe and operational function
of port facilities raise environmental concerns regarding the disposal of dredged material. The
purpose of many statutes and regulations is to prevent environmental damage when building or
utilizing the marine transportation system.
Dredging is necessary for many ports to remain operational and accommodate a wide
diversity of transport vessels. However, deeper dredging may expose concentrated toxins that are
currently sealed by a layer of silt and clay. An example of this is the ketones disposed of by old
industrial processes at the mouth of the James River. Dredging in this area would create an
environmental disaster. The disposal of dredge spoils has become a major environmental concern
in conflict with port and waterway development.
In response to environmental concern over the ocean disposal of material, the United
States Congress enacted the Marine Protection, Research, and Sanctuaries Act (MPRSA) to
address and control the dumping of materials into ocean waters. As a result, all operations
involving the transport and disposal of dredged material are evaluated, disposal sites are
designated and selected to reduce environmental impacts, and monitoring programs are
established by the Environmental Protection Agency and the U.S. Army Corps of Engineers to
ensure unnecessary environmental degradation.
Plants, animals, and microorganisms are incidentally transported through ballast water
from their natural habitats to other areas of the globe. Without local predators, they can become
an invasive nuisance and overwhelm indigenous populations. Zebra mussel larvae, introduced to
the United States waters, have become widespread and can clog the water intake pipes of plant
operations. Control and eradication efforts are costly. San Francisco Bay is home to some 230
invasive species, the largest introduced population in the nation.
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Marine paints incorporate biocides to inhibit corrosion and colonization and growth of
marine sessile organisms. These paints reduce hull maintenance downtime, increase vessel speed
by reducing drag, and improve fuel consumption. The biocides that make marine paints effective
can damage non-target aquatic species. The "Organotin Paint Control Act of 1987" has greatly
reduced levels of the toxin TBT in waterways, while still making marine paints with biocides
available for the commercial fleets.
Petroleum products spilled into waterways can have both short and long term effects on
water quality. Massive oil spills can be very damaging; however, it is the collective contribution
of small amounts of petroleum products due to leakage, accidents, and runoff from roadways, rail
yards, and parking lots that introduce a large amount of oil and petroleum products into the
marine environment. Much effort and regulatory attention has been made to prevent the large
spills, but much needs to be done to prevent the many small pollution sources.
Physical damage to sensitive aquatic habitats from vessel groundings is another concern.
The recovery of lost and damaged corals due to a recent grounding of a large commercial vessel
in the Florida Keys National Marine Sanctuary (FKNMS), is a long and slow process. Recovery
from the incidental damage to local fisheries and tourism can also be slow. Establishing marine
protected areas such as the FKNMS will help to keep vessels clear of these sensitive areas.
Marine transportation activities come under an environmental regulatory framework that
is both national and international in scale. Most of these regulations are directed at controlling or
preventing water pollution. As science better understands the movement, fate, and effects of a
wide variety of pollutants, additionalcontrol policies will be created. Marine transportation must
facilitate commerce without damaging marine ecosystems.
TECHNOLOGY
The U.S. maritime industry has been a leader in developing and applying technology to
lower transportation costs, improve service to shippers, increased safety, ensure environmental
protection, and provide sealift to the U.S. armed forces in times of national emergency. It has
dramatically improved productivity through innovative and creative application of technologies.
Technology offers tools to increase safety and efficiency. By 2020, advances in computer
information and communications technologies will further change the way transportation and
business activities are organized.
Navigation Information
Critical to safe and efficient movement of marine traffic is a modern navigation
information infrastructure. This infrastructure includes accurate electronic charts, reliable
positioning systems, real time environmental information (winds, waves, tides, water levels) and
a vessel traffic management system. Developing accurate charts will require a comprehensive
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bottom survey program using state-of-the-art technology. There are many areas of U.S. coastal
waters and harbors that have not been surveyed in 50 years. The introduction of deeper draft
ships as well as facilities' construction, channeling, and natural silting justify newer surveys.
This is especially critical in areas where there is minimal under-keel clearance available to ships.
The Differential Global Positioning System) and the Electronic Charting Display and
Information System are replacing traditional navigational methods. Electronic navigation
systems are likely to improve safety overall, but may introduce new complexities and new
opportunities for human error. These systems will require new training and qualification
programs for mariners. Looking back historically to the introduction of radar, one might also
expect that some of the safety advantages of electronic navigation systems will translate into
increased transportation throughput.
Automatic identification system transponder capability will improve mariners' and ashore
managers' job performance by providing more comprehensive information frequently and
unobtrusively. Digitized communications on demand will lessen reliance on traditional VHP
voice communications, which are reaching airwave saturation. Sensing communications and
information technologies offer big improvements in how things are done in the marine industry.
"Smart" systems can tell mariners what is happening with their ship, independent of their own
observation. Many traditional systems, like stability books, can be enhanced with updated
technology.
Advances in marine technology will change vessel design, operating procedures, and
manning levels. These advances will offer the potential for rapid increases in transportation
throughout and highlight the need for streamlined, responsive, performance-oriented regulations.
Industry will demand greater involvement in the policy-making and regulatory processes to take
advantage of innovative approaches and to stay competitive.
Effective use of technology can increase the capacity of marine transportation while
maintaining safety and protecting the environment. To that end, the development and effective
use of risk assessment techniques are essential. Coordinated research and development to assess
the complexity and coupling of systems is important.
In general, technological advances will be critical factors in ensuring that the overall
transportation system is brought to its full potential in terms of life-cycle economics (the cost of
acquisition, operation, maintenance, and disposal of an item), energy efficiency, and minimal
societal Impacts. The rapid advance of technological capabilities has not been matched by the
government's ability to establish standards that deploy its use, nationally and internationally.
When the marine industry is ready to use a technology, such as the Electronic Charting Display
and Information System, it expects there to be a national standard in conformity with
international conventions. A national policy and mechanism for better coordination on issues
such as these would represent a giant step toward providing the technology wanted by the
maritime industry. Federal resources for maritime research and development have declined
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significantly, leading to a reduction in important R&D activities and elimination of some crucial
programs at the very time that R&D is needed to meet the challenges.
Human Factors
As technological advances become more sophisticated, the interface between man and
machine becomes increasingly complex. In considering this human element interface, one must
recognize that to achieve the world's safest, most cost-effective, and environmentally sound
maritime transportation system, the role of people in preventing casualties and pollution must be
emphasized. Advances in technology on board vessels and in the marine transportation
infrastructure have reduced the number of casualties due to engineering or structural failures to
less than 20 percent.
Studies of recent casualties show that human factors cause 75-95 percent of all marine
accidents. This indicates an engineering success story; however, it also indicates that to make
additional gains, the issues involving the role and impact of people must be addressed.
Management, training, work environment, behavior, and technology are all elements that
influence how people will perform. Future improvements to the U.S. marine transportation
system must include human element considerations.
OPTIONS FOR CONSIDERATION
Improving marine transportation will require a number of actions to improve the focus,
coordination, planning, research, and management for ports, waterways, and their intermodal
connections. Investment in the marine transportation system should take several forms:
» technology assessment and application
« risk management development and application
o active involvement at all levels with the user community, environmental interests,
Congress, states, and other federal agencies.
Federal agencies need to take an active role in marine transportation and waterways
management at the local and national levels. They need to work with industry and other affected
stakeholders to resolve problems and, where appropriate, provide federal funding for projects and
services.
In light of budget cutbacks, the maritime industry, local governments, and the Federal
Government should explore partnership funding arrangements to:
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• Recognize the marine transportation system as a critical element in transportation
legislation (such as ISTEA or subsequent legislation).
• Develop federal ports and waterways.
• Implement pollution prevention and response initiatives recommended by the
Interagency R&D Committee established under the Oil Pollution Act of 1990.
• Conduct research and development in areas where commercial interests alone are not
sufficient to justify work in the private sector.
• Develop a long-term comprehensive dredged material management plan for the U.S.
• Develop a "model port" concept.
CONCLUSION
Marine transportation is one of the more important uses of the ocean. There will be
increased demand on U.S. ports and waterways, which are already reaching maximum capacity.
Increased use of waterways and port facilities must be achieved while still protecting human
health and the environment. National leadership, in partnership with private and public
stakeholders, can help to ensure that the marine transportation system meets the nation's needs
into the 21 st Century.
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DOMESTIC LEGAL REGIME
Contents
Deepwater Port Act of 1974 (33 U.S.C. §§ 1501 et seg.)
Ports and Waterways Safety Act of 1972 (33 U.S.C. §§ 1221-1236)
Rivers and Harbors Act of 1899 (33 U.S.C. § 401 et sea.)
Bridges over Navigable Waters (33 U.S.C. §§ 491-535)
Coast and Geodetic Survey Act (33 U.S.C. §§ 883a-k
Inland Navigational Rules (33 U.S.C. §§ 2001-2073)
International Regulations for Preventing Collisions at Sea (33 U.S.C. §§ 1601-1608)
Wreck Act (33 U.S.C. § 409 et seq.)
Title 46 United States Code
Harter Act (46 App. U.S.C. §§ 190-195)
Carriage of Goods by Sea Act (46 App. U.S.C. §§ 1300-1315)
Interstate Commerce Act (49 U.S.C. §§ 10101 et sea-)
Intermodal Surface Transportation Efficiency Act of 1991 (P.L. 102-240)
Merchant Marine Act of 1920 (46 App. U.S.C. §§ 861 et sea.)
Merchant Marine Act of 1928 (46 App. U.S.C. § 891)
Merchant Marine Act of 1936 (56 App. U.S.C. §§ 1101 et sea.)
Shipping Act of 1916 (46 App. U.S.C. §§ 801 et seg.)
Shipping Act of 1984 (46 App. U.S.C. §§ 1701-1720)
Admiralty Extension Act (46 U.S.C. § 740)
Death on the High Seas Act (46 U.S.C. § 761)
Jones Act (46 App. U.S.C. § 688)
Limitation of Shipowner Liability Act (46 App. U.S.C. §§ 181-185)
Longshore and Harbor Workers Compensation Act (33 U.S.C. §§ 901 et sea.)
Public Vessel Act (46 U.S.C. §§ 781-790)
Suits in Admiralty Act (46 U.S.C. §§ 741-752)
Title 46, U.S.C., SUBTITLE III
Act to Prevent Pollution from Ships (33 U.S.C. §§ 1901 et seq.)
Clean Air Act (42 U.S.C. §§ 7401 et seg.)
Clean Vessel Act of 1992, subtitle F, §§ 5601 to 5608, (33 U.S.C. §1322 note)
Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (42
U.S.C. §§9601 et sea.)
Federal Water Pollution Control Act (33 U.S.C. §§ 1251 et sea.)
Florida Keys National Marine Sanctuary Act (P.L. 101-605)
Hazardous Materials Transportation Act (49 U.S.C. §§ 1801-1813)
National Marine Sanctuaries Act (16 U.S.C. §§1431 et seq.)
Ocean Dumping Act (33 U.S.C. §§ 1401 et sea.)
Oil Pollution Act of 1990 (33 U.S.C. §§ 2701 et sea.)
Organotin Anti-Fouling Paint Control Act of 1988 (33 U.S.C. §§ 2401 et sea.)
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• Shore Protection Act of 1988 (33 U.S.C. §§ 2601 .etseq.)
• U.S. Public Vessel Medical Waste Anti-Dumping Act of 1988 (33 U.S.C. §§ 2501 et seq.)
The legal regime covering this topic is based on a collection of important federal statutory
authorities. The following is a brief description of some of those authorities relating to maritime
transportation. The list is selective and is designed to illustrate some major maritime transportation
acts. The list is not meant to be comprehensive.
I. PORTS AND WATERWAYS
Deeowater Port Act of 1974, as amended, 33 U.S.C. §§ 1501 et seq.
The Act creates the regulatory regime for the location, ownership, construction, and operation of
deepwater ports in waters beyond the territorial limits of the United States. The Act provides for the
protection of the marine and coastal environments and the rights and responsibilities of states and
local communities. Deepwater ports are non-vessel, fixed or floating manmade structures that are
used as a port or terminal for the loading, unloading, or handling of oil for transportation to a state.
The Secretary of Transportation issues deepwater port permits; however, the National Oceanic and
Atmospheric Administration advises the Department of Transportation on the environmental
review criteria for deepwater port applications, the site evaluation and preconstruction testing at
potential locations, and the designation of "adjacent coastal state" status (in other words, if the state
is subject to equal or greater risk than the state directly connected to the port by pipeline).
Ports and Waterways Safety Act of 1972. as amended, (PWSA), 33 U.S.C. §§ 1221-1236
The PWSA, as amended by the Port and Tanker Safety Act of 1978, P.L. 95-474, and the Oil
Pollution Act of 1990 (OPA), is designed to promote navigation, vessel safety, and protection of
the marine environment. Generally, the PWSA applies in any port or place under the jurisdiction of
the United States, or in any area covered by an international agreement negotiated pursuant to
section. 33 CFR 2.05-30 defines waters subject to the jurisdiction of the U.S. as navigable waters,
other waters on lands owned by the U.S., and waters within U.S. territories and possessions of the
U.S.
The PWSA authorizes the U.S. Coast Guard (USCG) to establish vessel traffic service/separation
schemes (VTSS) for ports, harbors, and other waters subject to congested vessel traffic. The VTSS
apply to commercial ships, other than fishing vessels, weighing 300 gross tons (270 gross metric
tons) or more. The OPA amended the PWSA to mandate that appropriate vessels must comply with
the VTSS.
The PWSA was amended by the Port and Tanker Safety Act of 1978 (PTSA), P.L. 95-474. Under
the PTSA, Congress finds: that navigation and vessel safety and protection of the marine
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environment are matters of major national importance; that increased vessel traffic in the Nation's
ports and waterways creates substantial hazard to life, property or the marine environment; that
increased supervision of vessel and port operations is necessary in order to (1) reduce the possibility
of vessel or cargo loss, or damage to life, property or the marine environment; (2) prevent damage
to structures in, on, or immediately adjacent to the navigable waters of the United States or the
resources within such waters; (3) insure that vessels operating in the navigable waters of the United
States shall comply with all applicable standards and requirements for vessel construction,
equipment, manning and operational procedures; and (4) insure that the handling of dangerous
articles and substances on the structures in, on, or immediately adjacent to the navigable waters of
the United States is conducted in accordance with established standards and requirements; and that
advance planning is critical in determining proper and adequate protective measures for the
Nation's ports and waterways and the marine environment, with continuing consultation with other
federal agencies, state representatives, affected users and the general public, in the development and
implementation of such measures.
The PTSA provided broader regulatory authority over regulated and non-regulated areas. The
PTSA provided for improvements hi the supervision and control of all types of vessels operating hi
navigable waters of the United States, and hi the safety of foreign or domestic tank vessels that
transport or transfer oil or hazardous cargoes in ports or places subject to United States Jurisdiction.
The PTSA also reflects certain tank vessel standards and requirements accepted internationally,
specifically those developed by the International Conference on Tanker Safety and Pollution
Prevention.
Rivers and Harbors Act of 1899. as amended, (RHA), 33 U.S.C. § 401 et seq.
The RHA prohibits the unauthorized obstruction of navigable waters of the United States. The
construction of any structure or the excavation of or deposit of fill in the navigable waters of the
United States is prohibited without a permit from the Army Corps of Engineers. The Act also
prohibits the discharge of refuse and other substances into navigable waters, but this aspect of the
RHA has been largely superseded by the Clean Water Act.
II. NAVIGATION
Bridges over Navigable Waters. 33 U.S.C. §§ 491-535
The sections within Title 33 between sections 491 and 535 area a collection of several bridge laws
that are intended to prevent any interference with navigable waters of the U.S. whether by bridges,
dams, dikes or other obstructions to navigation except by express permission of the U.S. The
Secretary of Transportation's authority has been delegated to the Commandant of the Coast Guard.
There is, however, an advance approval category where the Commandant has given his advance
approval for bridges over waters navigable in law but not navigable in fact. See 33 CFR 115.70.
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Coast and Geodetic Survey Act as amended, 33 U.S.C. §§ 883a-k
The Secretary of Commerce is authorized to conduct hydrographic and topographic surveys, tide
and current observations, geodetic-control surveys, field surveys for aeronautical charts, and
geomagnetic, seismological, gravity, and related geophysical measurements to provide nautical and
aeronautical charts and other information for safe marine and air navigation. Also, these charts and
information have commercial and industrial uses and fulfill engineering and scientific purposes.
This information is collected, assimilated, and distributed by the National Oceanic and
Atmospheric Administration under its authority in the Act.
Inland Navigational Rules, as amended, 33 U.S.C. §§ 2001-2073
The Inland Navigational Rules provides regulations that govern ship navigation for vessels upon
the inland waters of the United States, and to U.S. vessels on the Canadian waters of the Great
Lakes to the extent there is no conflict with Canadian law.
International Regulations for Preventing Collisions at Sea, as amended, (72 COLREGS), 33
U.S.C. §§ 1601-1608
The International Regulations for Preventing Collisions at Sea provides binding comprehensive
regulations for the prevention of collisions on the water. The 72 COLREGS apply beyond
established demarcation lines. In the United States, the 72 COLREGS govern ship navigation on
non-internal waters. The scope of the 72 COLREGS include Steering and Sailing Rules, e.g.,
conduct of vessels in sight of one another, conduct of vessels in restricted visibility; Lights and
Shapes, and Sound and Light Signals. The statute also contains special provisions for ships of war,
vessels proceeding under convoy, and fishing vessels engaged in fishing as a fleet. Civil penalties
may be assessed for violations of the 72 COLREGS.
Wreck Act, as amended, 33 U.S.C. § 409 et seq.
The Act prohibits the anchoring or tying of vessels or other craft in navigable waters in a manner
that prevents or obstructs passage of other vessels or craft. Also, the Act places a duty on an owner,
lessee or operator of a vessel, raft or other craft that has sunk in a navigable channel to mark the
wreck with a buoy or beacon and to maintain such marker until the wreck is removed or
abandoned. The owner, lessee, or operator has the duty to commence the immediate removal of the
wreck.
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III. VESSELS, CARGO, PASSENGERS
Title 46 United States Code
Title 46 of the United States Code is integral to maritime transportation as it comprehensively
addresses shipping. Title 46 is broken down into three general subtitles:
(I) General; (II) Vessels and Seamen; and (III) Maritime Liability. Subtitle II contains laws
governing vessels, cargo and passengers including, for example, laws pertaining to design and
construction of vessels, vessel manning and pilotage, and carriage of cargo or passengers.
Subtitle II - Vessels and Seamen (Chapter 21 through Chapter 147)
Part A—General Provisions (Chapters 21 and 23)
Part A provides general and limited definitions applicable to sections within Subtitle II; provides
the basic authority and responsibility for enforcement and administration of the subtitle. Secretary
is defined as the "head of the department in which the U.S. Coast Guard (USCG) is operating";
presently the Secretary of Transportation. The Secretary has general superintendence authority over
the U.S. merchant marine and its personnel (section 2103). Chapter 21 provides authority for the
Secretary to delegate to the USCG the duties and powers conferred by subtitle II (section 2104).
The chapter also provides that when a vessel in liable in rem, the vessel may be libeled and
proceeded against in the U.S. district court where the vessel is.found (section 2106). Civil penalty
procedures are provided in sections 2107-2108. Section 2109 expressly exempts that application of
subtitle II to a public vessel of the United States although it does apply to Department of
Transportation vessels, except USCG and Saint Lawrence Seaway Development Corporation
vessels. Section 2110 authorizes fees for services or other things provided by the Secretary under
the subtitle, with procedures therefor and limitations thereon. Section 2113 provides authority for
the Secretary to exempt certain vessels from the application of provisions of subtitle II. Section
2114 provides protection for any seaman who reports a violation of the subtitle.
Chapter 23 (Operation of Vessels Generally; sections 2301-2306) provides for penalties and
injunctive relief for negligent operation of vessels (section 2302, 2305); duties related to marine
casualty assistance and information and providing assistance at sea (section 2303-2304); and vessel
reporting requirements (section 2306).
Part B - Inspection and Regulation of Vessels (Chapters 31 through 47)
Part B provides authority and responsibility for the inspection and regulation of vessels by the U.S.
Coast Guard. Part B specifies vessels subject to inspection and inspection procedures, as well as
vessels exempt from inspection.
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Chapter 31 (General; sections 3101 -3102) provides authority for the President to suspend
inspection requirements for foreign flag vessels registered in the United States. It also provided for
immersion suits.
Chapter 32 (Management of Vessels; sections 3201-3205) requires the Secretary to prescribe
regulations which establish a safety management system addressing, for example, safety and
environmental protection, and procedures for safe operation of vessels in compliance with U.S. and
international law, for responsible vessels and persons subject to the chapter. The Secretary shall
issue Safety Management Certificates and a Document of Compliance to requesters complying with
safety management plans.
Chapter 33 (Inspections Generally; sections 3301-3318) provides the requirements and procedures
for inspection of vessels. Vessels subject to inspection include freight vessels, nautical school
vessels, passenger vessels, seagoing barges, and tank vessels. Vessels exempt from inspection in
certain circumstances include fishing vessels and certain fish processing vessels (sections 3301-
3302). Reciprocity for foreign vessels is provided in section 3303. The Secretary is directed to issue
regulations for proper execution of Part B. Certificates of inspection are issued to vessels
successfully meeting inspection requirements and are required to be on board the vessel to operate;
compliance with certificates of inspection is required (sections 3309-3314). Penalties may be
assessed for violation of Part B (section 3318).
Chapter 35 (Carriage of Passengers; sections 3501-3506) governs the carriage of passengers.
Certificates of inspection shall include the number of passengers a vessel is authorized to carry and
liability may result for exceeding that number (section 3501). Persons in charge of specified vessels
must keep a correct list of passengers, including a correct count (section 3502). Persons selling
passage to a ship with accommodations of 50 or more passengers must notify prospective
passengers of the vessels safety standards; violations are subject to civil penalties, (section 3504).
Foreign vessels are prohibited from departing a U.S. port with passengers who embarked at that
port if the Secretary finds that the vessel does not comply with the standards in the International
Convention for the Safety of Life at Sea (SOLAS) (section 3505).
Chapter 37 (Carriage of Liquid Bulk Dangerous Cargoes; sections 3701-3718) governs the carriage
of liquid bulk dangerous cargoes such as oil or hazardous materials. The chapter applies to any tank
vessel operating in U.S. navigable waters or transferring oil or hazardous materials in any port
subject to U.S. jurisdiction, with exemptions for certain vessels (section 3702). The Secretary is
required to issue regulations for the design, construction, alteration, repair, maintenance, operation,
equipping, personnel qualification, and manning of vessels subject to the chapter, necessary to
protect life and property, for navigation and vessel safety, and protection of the marine environment
(section 3703; regulations are found in 33 CFR and 46 CFR). Minimum standards for tank vessel
construction are provided (section 3703a); requirements for coastwise trade vessels (section 3704);
as well as minimum standards for crude oil tankers, product carriers, tankers, and self-propelled
tank vessels, with certain exemption as authorized by the Secretary (sections 3705-3709). The
Secretary is directed to establish a marine safety information system to contain information about
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vessels subject to the chapter (section 3717). Civil or criminal penalties may be assessed for
violations of the chapter, including revocation of Customs Service clearance (section 3718).
Chapter 39 (Carriage of Animals; sections 3901-3902) provides authority for the Secretary of
Agriculture to prescribe regulations governing the accommodations for the export of animals, and
provides for penalties for violations of such regulations.
Chapter 41 (Uninspected Vessels Generally; sections 4101-4106) applies to vessels not subject to
inspection and certification requirements of chapter 33. Such vessels must comply with certain
minimum safety requirements (section 4102). Uninspected passenger vessels are subject to the
requirements of chapter 43 pertaining to recreational vessels (section 4105).
Chapter 43 (Recreational Vessels; sections 4301-4311) contains the laws applicable to recreational
vessels. The Secretary is authorized to issue regulations establishing, for example, minimum safety
and equipment standards (section 4302; regulations are found hi 19 CFR, 33 CFR, 46 CFR). The
chapter expressly preempts state law establishment of a recreational vessel or associated equipment
performance or other safety standard that is not identical to a regulations under section 4302
(section 4306). Persons are prohibited from manufacturing, constructing, offering for sale or
introducing into interstate commerce, or import into the United States a recreational vessel,
associated equipment, or component thereof unless it conforms with the chapter and regulations
thereunder, does not contain an identified defect creating a substantial risk of personal injury to the
public, or is intended only for export and is so labeled. Nor may a person operated a vessel in
violation of the chapter or regulations thereunder (section 4307). Recreational vessel manufacturers
subject to the chapter must maintain record and reports and provide information to the Secretary to
enable the Secretary to identify whether the manufacturer has acted in compliance with the chapter
or regulations thereunder (section 4309). Recreational vessel and associated equipment
manufacturers must provide notification of a defect or failure of compliance if discovered (section
4310). Criminal and civil penalties, including injunction, for violations of the chapter (section
4311).
Chapter 45 (Uninspected Commercial Fishing Industry Vessels; sections 4501-4508) provides
requirements, standards and procedures applicable to uninspected fishing vessels, fish processing
vessels, or fish tender vessels. The chapter also directed the Secretary to establish a Commercial
Fishing Industry Vessel Advisory Committee.
Part C - Load Lines of Vessels (Chapter 51)
Chapter 51 (Load Lines; sections 5101-5116) provides for the assignment of load lines and
issuance of load line certificates to vessels. The chapter also requires certain classes of vessels (e.g.,
vessels of the U.S., vessels on the navigable waters of the U.S., public vessels of the U.S. (except
vessels of war)) to be marked with load lines. A vessel may be operated only if it has been assigned
load lines (section 5103). The chapter provides reciprocity for foreign vessels under certain
conditions (section 5109). A vessel may not be loaded in a way that submerges the assigned load
line or the place at which the load line is required to be marked on the vessel (section 5112). The
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Secretary is authorized to detain a vessel from leaving a place in the United States in violation of
the chapter or regulations thereunder (section 5113), and may, with the approval of the Secretary of
the Treasury, use a Customs Service officer to enforce the chapter (section 5114). Civil and
criminal penalties may be assessed for violations of the chapter (section 5116).
Part D - Marine Casualties (Chapters 61 and 63)
Chapters 61 (Reporting Marine Casualties; sections 6101-6104) and 63 (Investigating Marine
Casualties; sections 6301-6307) govern procedures and requirements for reporting and
investigating marine casualties. Chapter 61 provides for reporting of marine casualties (e.g., death
or serious injury, material loss of property, significant harm to the environment). Penalties may be
assessed for failure to report a marine casualty (section 6103). The Secretary is directed to issue
regulations for a uniform state marine casualty report system for vessels (section 6102). Chapter 63
directs the Secretary to issue regulations for the immediate investigation of marine casualties.
Marine casualty regulations are found 46 CFR.
Part E - Merchant Seamen Licenses, Certificates, and Documents (Chapters 71-77)
Part E established the U.S. Coast Guard's authority to issue, suspend and revoke licenses,
certificates of registry, and merchant mariner's documents for individuals engaged on U.S. vessels.
Chapter 71 (sections 7101-7114) governs licenses and certificates of registry; chapter 73 (sections
7301- 7319) governs merchant mariners' documents; chapter 75 (7501-7506) provides general
procedures for licensing, certification, and documentation; and chapter 77 (7701-7705) provides
procedures for suspension and revocation.
Part F - Manning of Vessels (Chapters 81-93)
Part F provides the requirements for manning of vessels, including the number of individuals
required, qualifications and conditions of employment, and duties for: masters and officers (chapter
83); pilots (chapter 85); unlicensed personnel (chapter 87); small vessels (chapter 89); tank vessels
(chapter 91); and Great Lakes pilotage (chapter 93).
Part G - Merchant Seamen Protection and Relief (Chapters 101-115)
Part G contains provisions for the protection and relief of merchant seamen. Part G generally does
not apply to fishing vessels, whaling vessels or yachts. Chapter 103 requires certain contractual
arrangements between charterers, masters, or individuals in charge and seamen employed on the
vessel, with certain minimum conditions. The chapter applies to U.S. vessels on a voyage between
a U.S. port and a foreign port (excluding Canada, Mexico, or the West Indies); or U.S. vessels of at
least 75 gross tons on a voyage between a U.S. port on the Atlantic ocean and a U.S. port on the
Pacific (chapter 103). Chapter 105 addresses coastwise voyages; chapter 106 addresses fishing
voyages. Chapter 107 provides procedures for when a seaman dies during a voyage, and chapter
109 provides procedures for when a vessel is suspected to be unseaworthy. Logbooks are required
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to be kept by the master of a vessel (chapter 113), and chapter 115 provides for penalties for
specified offenses.
Part H - Identification of Vessels (Chapters 121-125)
Part H provides the procedures for documentation of vessels of five net tons or greater not
registered under the laws of a foreign country if certain ownership conditions are met. Under
chapter 121, the Secretary issues certificates of documentation. A vessel titled in the U.S. is not
entitled to be documented. The effect of documentation is that it is conclusive evidence of
nationality for international purposes, although not in proceedings conducted under U.S. law.
Documentation is also conclusive evidence of qualification to be employed in a specific trade
(excepting recreational endorsement). Documentation is not conclusive evidence of ownership in a
proceeding where ownership is at issue. Chapter 121 also provides that certificates of
documentation can be endorsed with a registry, coastwise, Great Lakes, fishery, or recreational
endorsements, which allow the vessel to be employed in certain types of activities (e.g., foreign
trade, coastwise trade). Chapter 121 provides procedures for surrender or invalidation of certificates
of documentation. The Secretary and the Secretary of State, jointly, may provide for the issuance of
certificates of registry for vessels procured outside the United States meeting the ownership
requirements chapter. The Secretary is required to publish a list of all documented vessels. Civil
penalties may be assessed for violation of chapter 121; as well as forfeiture of the vessels. Chapter
123 provides requirements and procedures for numbering of undocumented vessels. The Secretary
is dkected to prescribe a standard numbering system, and to approve state applications for state
numbering systems. Chapter 125 provides the establishment of a vessel identification system for all
U.S. vessels.
Part I - State Boating Safety Programs (Chapter 131)
Part I establishes a recreational boating and safety program administered by the U.S. Coast Guard,
the purpose of which is to encourage states participation and uniformity in boating safety efforts.
States with recreational boating safety programs approved by the Secretary are eligible for federal
funding.
Part J - Measurement of Vessels (Chapters 141-145)
Part J contains procedures applicable to the measurement of a vessel to determine its tonnage and
for obtaining an International Tonnage Certificate. Part J implements the 1969 International
Convention on Tonnage Measurement of Ships
Barter Act. 46 App. U.S.C. §§ 190-195
The Act requires owners, masters or agents of any vessel transporting merchandise or property
from or between U.S. ports and foreign ports to issue to shippers a bill of lading, or shipping
document, stating, among other things, the number of packages, or quantity, condition of
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merchandise, and weight. Such document shall be prima facie evidence of receipt of the
merchandise. It allows vessel owners limitation of liability for losses resulting from errors in
navigation, dangers of sea and acts of God. Similar to the Carriage of Goods by Sea Act, except
that the Harter Act: does not allow for relieve the owner for errors in navigation if there was failure
to exercise due diligence to provide a seaworthy vessel; has no statute of limitations; and does not
provide a limit of liability for loss or damage of cargo.
C
arriage of Goods by Sea Act. 46 App. U.S.C. §§ 1300-1315
The Carriage of Goods by Sea Act governs every bill of lading or similar document of title which is
evidence of a contract for the carriage of goods by sea to or from U.S. ports, in foreign trade.
Provides for the duties and rights of carrier. The Act provides for the responsibilities and liabilities
of the carrier and ship regarding, for example, seaworthiness, cargo and contents of a bill, as well as
rights and immunities of the carrier and ship.
IV. COMMERCE
Interstate Commerce Act, as amended, (ICA), 49 U.S.C. §§ 10101 et seq.
The ICA provides for the regulation of rates and services of competing interstate carriers. Part B
(chapters 131-149) addresses water carriers, defined as a person providing water transportation for
compensation (section 13102(22)). The transportation policy of part B is to "ensure the
development, coordination, and preservation of a transportation system that meets the
transportation needs of the United States." In overseeing the modes of transportation, the United
States will, among other things, recognize and preserve the inherent advantage of each mode of
transportation; promote safe, adequate, economical, and efficient transportation; encourage the
establishment and maintenance of reasonable rates for transportation, without unreasonable
discrimination or unfair or destructive competitive practices; and in overseeing transportation by
water carrier, to encourage and promote service and price competition in the noncontiguous
domestic trade (section 13101). The Secretary and the Surface Transportation Board (formerly the
Interstate Commerce Commission) have jurisdiction over transportation by water carrier section
13521). Amendments to the ICA repealed provisions of the Shipping Act of 1916, and Intercostal
Shipping Act.
Intel-modal Surface Transportation Efficiency Act of 1991. P.L. 102-240.
The purpose of the Act is to develop a national surface transportation system that is economically
efficient and environmentally sound, provides the foundation for a global economy, will move
people and goods in an energy efficient manner. The Act provides that the system will consist of all
forms of transportation in a unified, interconnected manner, including transportation systems of the
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future, to reduce energy and air pollution while promoting economic development and supporting
the national preeminent position in interstate commerce.
Merchant Marine Acts
Merchant Marine Act of 1920,46 App. U.S.C. §§ 861 et sect-
Merchant Marine Act of 1928,46 App. U.S.C. § 891
Merchant Marine Act of 1936, 56 App. U.S.C. §§ 1101 et seg.
The Merchant Marine Acts sought to promote the continued development of the American
Merchant Marine. The purpose as stated in the Act of 1920 is that it is necessary for the national
defense and proper growth of foreign and domestic commerce that the United States shall have a
merchant marine of the best equipped and most suitable types of vessels sufficient to carry the
greater portion of its commerce and serve as a naval or military auxiliary in time of war or national
emergency, ultimately to be owned by U.S. citizens (section 861). The Act of 1928 provided the
Secretary of Transportation authority to remodel and improve the fleet. The Act of 1936 sought to
foster continued development and maintenance of the merchant marine. The Act also prevents
unjust discrimination by carriers.
Shipping Acts
Shipping Act of 1916,46 App. U.S.C. §§ 801 et seq.
Shipping Act of 1984,46 App. U.S.C. §§ 1701-1720
The Shipping Acts are intended to establish a non-discriminatory regulatory process for the
common carriage of goods by water in the commerce of the United States. The Shipping Acts were
modeled on the Interstate Commerce Act. The Act of 1916 governs transportation by water of
passengers and property on the high seas or Great Lakes between states, territories, districts or
possessions. Carriers are required to establish and file "joint and reasonable rates" with the Federal
Maritime Commission. The Act of 1984 governs foreign commerce (repealing provisions of the
Act of 1916 re: foreign commerce), and has as its purposes: to establish a non-discriminatory
regulatory process for the common carriage of goods by water in foreign commerce of the United
States; to provide efficient and economic transportation system in the ocean commerce of the
United States, that is responsive and in harmony to international shipping practices; and to
encourage development of an economically sound and efficient U.S. flag liner fleet capable of
meeting national security needs. The Act allows ocean carriers the right to establish intermodal or
through rates in agreements that must be filed with the Federal Maritime Commission.
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V. LIABILITY
Admiralty Extension Act (AEA). 46 U.S.C. § 740
The AEA (or Extension of Admiralty Jurisdiction Act) expressly defines the scope of admiralty and
maritime jurisdiction of the United States. Such jurisdiction included all cases of damage or injury
to person or property, caused by a vessel on navigable water, notwithstanding that such damage or
injury be done or consummated on land. Suits under the AEA may be brought in rem or in
personam. However, the AEA provides that any suit brought against the U.S. Public Vessels Act,
or Suits in Admiralty Act shall constitute the exclusive remedy, for all suits not otherwise filed
under the Federal Torts Claim Act. The AEA was enacted to eliminate the confusion over the lines
between land and water, e.g., those cases where persons or property on land was damaged by ships.
Death on the High Seas Act, as amended, (DHSA), 46 U.S.C. § 761
For deaths caused as a result of wrongful act, neglect, or default occurring on the high seas beyond
a marine league from shore, the personal representative of the decedent may bring a suit for
damages in U.S. District Court, in admiralty, for the exclusive benefit of decedent's wife, husband,
parent, child, or dependent relative. Suits under the DSHA may be brought against the vessel,
person, or corporation which would have been liable if death had not ensued. The statute of
limitations for suits brought under the DHSA is 3 years. Contributory negligence of the decedent
does not bar recovery, although damages may be reduced accordingly. Further, the DHSA
expressly ensures state remedies will not be affected, nor does the DHSA apply to the Great Lakes,
any waters within the territorial limits of any state, or any navigable waters in the Panama Canal
Zone.
Jones Act 46 App. U.S.C. § 688
The Jones Act provides that any seaman who suffers personal injury in the course of his
employment may, maintain an action for damages, with the right of trial by jury. In the case of
death of a seaman, the personal representative may maintain such action.
Limitation of Shipowner Liability Act 46 App. U.S.C. §§181-185
The Limitation of Shipowner Liability Act provides procedures for the limitation of liability for
vessel owners. The Act provides a procedure in admiralty whereby a vessel owner may petition a
U.S. district court for limitation of liability. Liability for losses may be limited to the value of the
owner's vessels and freight.
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Longshore and Harbor Workers Compensation Act, 33 U.S.C. §§ 901 et seq.
The Longshore and Harbor Workers Compensation Act provides a comprehensive worker's
compensation scheme for certain maritime workers who do not qualify as seamen.
Public Vessel Act as amended, (PVA), 46 U.S.C, §§ 781-790
The PVA provides authority for bringing an admiralty cause of action against the United States for
damages caused by U.S. public vessels. Thus, the PVA waives sovereign immunity by the U.S. in
cases involving public vessels. Public vessel is not defined in the PVA, but case law provides
direction. The PVA contains provisions for the venue of suits brought thereunder, counterclaims,
suits by nationals of foreign governments, and exemptions and limitations of liability. The PVA
also expressly provides it shall not be construed to recognize the existence of or as creating a lien
against any U.S. public vessel.
Suits in Admiralty Act, as amended (SAA), 46 U.S.C. §§ 741-752
The SAA provides the authority to bring admiralty suits against the United States. Such suits may
be brought inpersonam, and no U.S. vessel or cargo may be seized under the SAA. If a suit is
brought under the SAA, it is the exclusive remedy available to a claimant. The SAA provides a
statute of limitations (2 years) after the cause of action arises. The United States is entitled to all
exemptions and all limitations of liability accorded by law to owners, charterers, operators or agents
of vessels. The SAA also provides procedures in the event a vessel within the scope of the SAA is
seized by foreign jurisdictions. The SAA authorizes arbitration, compromise, or settlement of
claims. The SAA also provides that a crew of a U.S. vessel may recover compensation for salvage
services. Finally, any money recovered by a suit brought by the United States shall be deposited in
the U.S. Treasury to the credit of the department having control of the vessel or cargo with respect
to such cause of action.
Title 46. U.S.C.. SUBTITLE III—Maritime Liability
Subtitle III (chapters 301 and 313) of title 46 contains provisions related to commercial instruments
and liens and public vessels and goods. Chapter 301 provides general terms and definitions.
Chapter 313 governs commercial instruments (subchapter II) and maritime liens (subchapter III).
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IV. ENVIRONMENTAL
Act to Prevent Pollution from Ships, as amended, (APPS), 33 U.S.C. §§ 1901 etseq.
The APPS is the federal legislation implementing the International Convention for the Prevention
of Pollution from Ships, as modified by a Protocol of 1978 (MARPOL).
a. Oil and Noxious Liquid Substances.
The Act to Prevent Pollution from Ships as originally enacted implemented Protocols I and II, and
Annexes I and II, of the International Convention for the Prevention of Pollution from Ships, 1973,
as modified by the Protocol of 1978 (MARPOL). Annex I of MARPOL establishes requirements to
prevent the discharge of oil except in accordance with specific conditions. Annex II provisions
cover the discharge of noxious liquid substances.
APPS applies to all U.S. flag ships anywhere in the world and to all foreign flag vessels operating
in the navigable waters of the United States or while at a port or terminal under the jurisdiction of
the United States. The oil and noxious liquid substances provisions apply only to seagoing ships.
The regulations implementing Annex I and Annex II of MARPOL limit discharges of oil and
noxious substances, establish report requirements for discharges, and establish specific
requirements for monitoring equipment and record keeping aboard vessels. In particular, the
regulations require that vessels covered by APPS and MARPOL keep Oil Record Books in which
all discharges, disposal and transfers of oil are kept.
b. Garbage and Plastics.
APPS was amended by the Marine Plastic Pollution Research and Control Act of 1987, which
implemented the provisions of Annex V of MARPOL relating to garbage and plastics. Annex V of
MARPOL and the regulations implementing it apply to all vessels, whether seagoing or not,
regardless of flag on the navigable waters of the United States and in the exclusive economic zone
of the United States. It applies to U.S. flag vessels wherever they are located.
Under the regulations implementing APPS, the discharge of plastics, including synthetic ropes,
fishing nets, plastic bags and biodegradable plastics, into the water is prohibited. Discharge of
floating dunnage, lining and packing materials is prohibited in the navigable waters and in areas
offshore less than 25 nautical miles from the nearest land. Food waste or paper, rags, glass, metal,
bottles, crockery and similar refuse cannot be discharges in the navigable waters or in waters
offshore inside 12 nautical miles from the nearest land. Finally, food waste, paper, rags, glass, ,and
similar refuse cannot be discharged in the navigable waters or in waters offshore inside three
nautical miles from the nearest land. There are some exceptions for emergencies. Under APPS, the
definition of ship includes fixed or floating platforms. There are separate garbage discharge .
provisions applicable to these units. For these platforms, and for any ship within 500 meters of
these platforms, disposal of all types of garbage is prohibited. Additionally, all manned, oceangoing
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U.S. flag vessels of 12.2 meters or more in length engaged in commerce, and all manned fixed or
floating platforms subject to the jurisdiction of the United States, are required to keep records of
garbage discharges and disposals.
Clean Air Act, as amended (CAA). 42 U.S.C. §§ 7401 et seq.
The CAA establishes national guidelines and ambient air quality standards to protect and enhance
the quality of the Nation's air resources. The Environmental Protection Agency (EPA) is
responsible for implementing the CAA. The EPA determines the appropriate level of technology
and emission reduction required in order to achieve improved air quality. Prevention of Significant
Deterioration (PSD) provisions of the CAA apply to new sources on the Outer Continental Shelf
(OCS) adversely affecting air quality; these regulations supplement air quality regulations
administered by the Department of the Interior in its activities related to the OCS.
The CAA required the EPA, hi consultation with the Department of Transportation, to issue
standards applicable to the emission of VOCs and other air pollutants from loading and unloading
of tank vessels which the EPA finds causes, or contributes to, air pollution that may be reasonably
anticipated to endanger public health or welfare.
The CAA establishes a great waters program, which looks specifically at the impacts of air
deposition or nutrients and toxics in coastal waters.
Clean Vessel Act of 1992. subtitle F, §§ 5601 to 5608, of Title V of Pub. L. 102-587, amending 16
U.S.C. §§ 777c and 777g and enacting 33 U.S.C. §1322 note
The purpose of the Clean Vessel Act is to provide funds to states for the construction, renovation,
operation and maintenance of pumpout stations and waste reception facilities. The Act requires the
Department of the Interior (DOI) to issue guidance on what constitutes adequate and reasonably
available pumpout facilities and waste reception facilities. Each coastal state is then to conduct a
survey to determine the number and location of such stations and facilities and the number of
recreational vessels in its coastal waters with toilets and develop and submit to the DOI for
approval a plan for any construction or renovation necessary to ensure that there are adequate and
reasonably available stations and facilities.
Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as
amended, (CERCLA), 42 U.S.C. §§ 9601 et sea,
Hazardous substances that are toxic to living organisms result from industrial processes and are
released into the environment either intentionally or by accident. CERCLA is designed to respond
to these releases and protect public health and environmental quality including natural resources.
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CERCLA provides for the following three possible actions to protect the public and the
environment from the harmful effects of a hazardous substance spill. Any combination of these
three may be used at a particular spill.
1) Removal—CERCLA authorizes the Environmental Protection Agency (EPA) to clean up the
spilled substance either at the expense of the responsible party or with funds from the Superfund
CERCLA § 104(a)(l).
2) Remedial action—CERCLA authorizes EPA to take steps to protect public health and the
environment from exposure to the hazardous substance. Example of steps: dredging contaminated
sediments, repairing leaking containers, collecting rain water runoff and relocating displaced
residents. CERCLA § 104(a)(l).
3) Damages for natural resource injuries—When the removal and or remedial action will not
remedy all injuries to natural resources, CERCLA authorizes the trustees for natural resources, to
seek damages from responsible parties to restore or replace natural resources injured by exposure to
hazardous substances beyond the scope of EPA's removal and remedial action. CERCLA
§§107(a)(4)(C)andl07(f).
Federal Water Pollution Control Act, as amended, also called the Clean Water Act, as
amended, 33 U.S.C. §§ 1251 et seq.
The CWA establishes the basic scheme for restoring and maintaining the chemical, physical, and
biological integrity of the waters of the United States. The primary mechanism in the CWA
regulating the point source discharge of pollutants is the National Pollutant Discharge Elimination
System (NPDES), which is administered by the Environmental Protection Agency (EPA). Under
the NPDES program, a permit is required from EPA or an authorized state for the discharge of any
pollutant from a point source into the waters of the United States. This includes discharges
associated with oil and gas development on federal leases beyond state waters. An NPDES permit
for certain stormwater discharges also is required. Permit discharge limits are technology-based
and, where technology-based limits would not protect desired water quality for a particular water
body in which the discharge takes place, based on state water quality standards which are
developed by the states using EPA guidance and are intended to protect the designated uses of the
water body. In the case of discharges to the territorial sea or beyond, permits are also subject to the
ocean discharge criteria developed under section 403 of the act. Permits for discharges into the
territorial sea or internal waters may be issued by states following approval of their permit program
by EPA; in the absence of an approved state permit program, and for discharges beyond the
territorial sea, EPA is the permit-issuing authority.
The CWA was amended in 1987 to include the current nonpoint source (NPS) program. Under this
program (section 319), states must develop management programs to address NPS runoff, including
the identification of best management practices and measures. In addition, section 319 authorizes
grants to assist the states in implementing their approved management programs.
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The CWA generally prohibits discharges of oil and hazardous substances into coastal or ocean
waters except where permitted under the Protocol of 1978 Relating to the International Convention
for the Prevention of Pollution from Ships. The U.S. Coast Guard (USCG) investigates and
responds to discharges of oil and hazardous substances into coastal or ocean waters in accordance
with the National Contingency Plan (NCP). The USCG, with the cooperation of EPA, generally
administers the NCP when oil or a hazardous substance is discharged into coastal or ocean waters.
Regional contingency plans and area contingency plans are developed to implement the NCP.
The CWA (section 312) requires vessels with installed toilet facilities and operating on the
navigable waters of the U.S. to contain operable marine sanitation devices certified as meeting
standards and regulations promulgated under section 312. Section 312 also allows establishment of
zones where discharge of sewage from vessels is completely prohibited. Amendments made to
section 312 hi 1996 will require, where appropriate, the use of marine pollution control devices for
operational, non-sewage, discharges from vessels of the Armed Forces.
Publicly owned sewage treatment facilities must, at a minimum, meet effluent reductions by
secondary treatment, except for certain facilities discharging to coastal waters for which EPA has
approved a waiver under section 301(h).
The Army Corps of Engineers (COE) implements the section 404 permit program. Under section
404, a permit is required for the discharge of dredged or fill materials into the waters of the U.S.
that'lie inside of the baseline for the territorial seas and fill materials into the territorial seas within
three miles of shore. Although COE has responsibility for the section 404 program, EPA is
authorized to review and comment on the impact of proposed dredge and fill activities and to
prohibit discharges that would have an unacceptable impact on municipal water supplies, shellfish
beds and fishery areas, wildlife and recreational areas. EPA, in consultation with COE, is charged
with developing guidelines to be used in evaluating discharges subject to section 404. (See 40
C..F.R. Part 230.) The section 404 permit requirement is the cornerstone for the current wetlands
regulatory program. If COE or EPA determines that a certain property is a jurisdictional wetlands,
no one can discharge dredged or fill materials into it without a section 404 permit. COE and EPA
also have cooperative agreements with the Natural Resources Conservation Service and rely on its
determinations as to the presence of wetlands on agricultural lands.
Section 320 of the CWA establishes the National Estuary Program, which uses a consensus-based
approach for protecting and restoring the estuary. There are currently 28 NEPs.
Florida Keys National Marine Sanctuary Act (FKNMSAX P.L. 101-605
On November 16, 1990, Congress designated an area of the marine environment surrounding the
Florida Keys as a National Marine Sanctuary in order to protect its unique, nationally significant
natural resources including seagrass meadows, mangrove islands, and coral reefs. The FKNMSA
expressly prohibits operating a tank vessel or a vessel greater than 50 meters in registered length in
designated Areas to be Avoided, except if such vessel is a public vessel and its operation is
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essential for national defense, law enforcement, or responses to emergencies that threaten life,
property, or the environment.
Hazardous Materials Transportation Act. 49 U.S.C. §§ 1801-1813
Authorizes the Secretary of Commerce to regulate the transportation of hazardous materials within
the jurisdiction of the United States, including the Commonwealth of Puerto Rico, the Virgin
Islands, American Samoa and Guam.
National Marine Sanctuaries Act (NMSA). 16 U.S.C. §§1431 et seq.
The NMSA provides the Secretary of Commerce with the authority to designate and manage
nationally significant marine areas as national marine sanctuaries. The NMSA's stated purposes
and policies include comprehensive and coordinated conservation and management; enhancing
public awareness, understanding, appreciation and wise use of the marine environment; and
facilitating, to the extent compatible with the primary objective of resource protection, all public
and private uses of resources not prohibited pursuant to other authorities.
Among the factors the Secretary must consider in determining whether an area merits designation
as a national marine sanctuary are present and potential uses of the area that depend on maintenance
of the area's resources, including commercial and recreational fishing, other commercial and
recreational activities, and research and education; the public benefits to be derived from sanctuary
status, with emphasis on the benefits of long-term protection of nationally significant resources,
vital habitats, and resources which generate tourism.
The NMSA prohibits the destruction, loss of, or injury to any sanctuary resource managed under
the laws or regulations for the sanctuary; the possession, delivery, sale, transport, or shipment of
any sanctuary resource taken in violation of the NMSA; interference with law enforcement under
the Act; and any violation of the Act, any regulations, or permits issued pursuant to the NMSA.
NOAA has the authority to board and search any vessel suspected of violating the NMSA and to
execute warrants issued by a court of competent jurisdiction. Any person who destroys, causes the
loss of, or injures a sanctuary resource can be found liable for a maximum fine of $100,000 per
violation; response costs; damages including replacement cost, restoration cost, or acquisition of an
equivalent sanctuary resource, and lost-use value of that resource; and interest.
Sanctuaries have site specific regulations which include a narrow range of prohibited activities,
including for example, those that pertain to discharges, alteration of the seabed, and vessel
operations.
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Ocean Dumping Act (Titles I and II of the Marine Protection, Research, and Sanctuaries Act of
1972), 33 U.S.C. §§1401 etseq.
The Act provides the basic authority for the Environmental Protection Agency (EPA) and the Corps
of Engineers to regulate ocean dumping (Title I) and for the Department of Commerce, through the
National Oceanic and Atmospheric Administration, to carry out research on the effects on ocean
systems of ocean dumping and other man-induced changes (Title II). The Act prohibits (1) the
transportation of any material from the United States; and (2) the transportation of any material by
U.S. flagged vessels and by U.S. departments, agencies, or instrumentalities, for the purpose of
dumping it into ocean waters, without a permit. The Act also prohibits any person from dumping,
without a permit, any material transported from a location outside the United States into the U.S.
territorial seas or into the U.S. contiguous zone, to the extent it may affect the territorial seas or the
territory of the U.S. EPA may issue permits regulating the ocean dumping of all material except
dredged material, which is permitted by the Corps of Engineers, using EPA environmental criteria..
The ocean dumping of sewage sludge and industrial waste is prohibited. In addition, no
radiological, chemical, and biological warfare agents; high-level radioactive waste; or medical
waste. States may adopt and enforce requirements for ocean-dumping activities that occur in their
jurisdictional waters.
Title II of the ODA requires the DOC, in coordination with the department hi which the U.S. Coast
Guard is operating and EPA, to conduct a comprehensive and continuing program of monitoring
and research on the effects of dumping of material into ocean or other coastal waters or into the
Great Lakes. The title further requires the DOC, in close consultation with other appropriate
departments, to conduct a comprehensive and continuing program of research into the possible
long-range effects of pollution, overfishing and man-induced changes of ocean ecosystems. The
title specifies that the program must include continuing monitoring programs to assess the health of
the marine environment, including but not limited to the monitoring of bottom oxygen
concentration contaminant levels in biota, sediments and the water column, diseases in fish and
shellfish, and changes hi types and abundance of indicator species.
Oil Pollution Act of 1990 fOPA), 33 U.S.C. §§ 2701 et secu
OP A amends section 311 of the Federal Water Pollution Control Act (the Clean Water Act or
CWA), 33 U.S.C. 1321 et seg., to clarify federal response authority, increase penalties for spills,
establish U.S. Coast Guard response organizations, require tank vessel and facility response plans,
and provide for contingency planning in designated areas. OP A, however, does not preempt states'
rights to impose additional liability or other requirements with respect to the discharge of oil within
a state or to any removal activities in connection with such a discharge.
OPA is a comprehensive statute designed to expand oil spill prevention, preparedness, and response
capabilities of the federal government and industry. OPA establishes a new liability regime for oil
pollution incidents in the aquatic environment and provides the resources necessary for the removal
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of discharged oil. OPA consolidates several existing oil spill response funds into the Oil Spill
Liability Trust Fund (Trust Fund), resulting in a $1-billion fund to be used to respond to, and
provide compensation for damages caused by, discharges of oil. In addition, OPA provides new
requirements of response planning by both government and industry and establishes new
construction, manning, and licensing requirements for tank vessels. OPA also increases penalties
for regulatory noncompliance and broadens the response and enforcement authorities of the federal
government.
Title I of OPA contains liability provisions governing oil spills modeled after the Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA), 42 U.S.C. §§ 9601 et seq.,
and section 311 of the C WA. Specifically, section 1002(a) of OPA provides that the responsible
party for a vessel or facility from which oil is discharged, or which poses a substantial threat of a
discharge, is liable for:
certain specified damages resulting from the discharged oil; and
removal costs incurred in a manner consistent with the National Contingency Plan.
The scope of damages for which there may be liability under section 1002 of OPA includes:
natural resource damages, including the reasonable costs of assessing these damages;
loss of subsistence use of natural resources;
real or personal property damages;
net loss of tax and other revenues;
loss of profits or earning capacity; and
net cost of additional public services provided during or after removal actions.
Organotin Anti-Fouling Paint Control Act of 1988. 33 U.S.C. §§,2401 et seq.
Organotin biocides are added to paints to protect the bottom of boats from encrusting organism
buildup. Because organotin has been shown to be toxic, it may pose unreasonable risks to marine
and freshwater organisms. The Act's purpose is to protect the aquatic environment by reducing the
quantities of organotin entering the waters of the United States. The Environmental Protection
Agency (EPA) is primarily responsible for the administration and enforcement of this statute.
The Act generally prohibits boats less than 25 meters in length from using anti-fouling paint
containing organotin. Aluminum hulls and lower drive shaft units of marine engines (outboard
motors) are excepted from this Act and allowed to use this paint. Penalties are available for
violations. The EPA, in consultation with the National Oceanic and Atmospheric Administration, is
directed to monitor the ecological effects of organotin in estuaries and coastal waters for ten years
beginning in 1988.
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Shore Protection Act of 1988, 33 U.S.C. §§ 2601 etseg.
Municipal or commercial waste cannot be transported by a vessel in coastal waters without a permit
from the Department of Transportation. Municipal or commercial waste includes solid waste as
defined by the Resource Conservation and Recovery Act (RCRA), but does not include hazardous
wastes regulated under RCRA, waste generated by the vessel during normal operations,
construction debris, dredged or fill material, and sewage sludge regulated under the MPRSA. The
loading, securing, and offloading of wastes subject to the SPA must assure that any waste
deposited into the coastal waters is minimized.
U.S. Public Vessel Medical Waste Anti-Dumping Act of 1988. 33 U.S.C. §§ 2501 et segu
This Act prohibits public vessels from discharging medical waste except in extremely limited
circumstances, because of the serious and widespread risks to public health and to the welfare of
coastal communities. Potentially infectious medical waste may only be discharged by a public
vessel if: 1) the health or safety of individuals on board the vessel is threatened or during a time of
war or national emergency; 2) the waste is released at least 50 nautical miles from the nearest land;
and 3) the waste is sterilized, properly packaged, and sufficiently weighted to prevent it from
coming ashore.
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LIST OF ACRONYMS
DoD Department of Defense
GDP gross domestic product
ISTEA Intermodal Surface Transportation Efficiency Act
MSB Major Shipbuilding Base
R&D research and development
TEU twenty-foot-equivalent unit
VOC volatile organic compound
U.S.C. United States Code
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THE OCEANS AND NATIONAL SECURITY
Contents
1. INTRODUCTION B-2
2. NAVAL OPERATIONS B-2
3. COAST GUARD OPERATIONS B-7
4. SPECIAL QUALITIES OF NAVY AND COAST GUARD PLATFORMS B-9
5. OCEAN SCIENCE AND TECHNOLOGY IN SUPPORT OF
NATIONAL SECURITY B-10
6. LOGISTICS SUPPORT AND INFRASTRUCTURE ,.B-13
7. SOUND MANAGEMENT OF THE OCEAN'S ENVIRONMENT
AND RESOURCES: ENVIRONMENTAL SECURITY B-15
8. THE LEGAL ENVIRONMENT B-18
9. MANAGEMENT ISSUES B-21
10. EDUCATION AND EXPLORATION , B-22
11. CONCLUSION B-23
12. LIST OF ACRONYMS B-24
This Year of the Ocean document was prepared as a background discussion paper and
does not necessarily reflect the policies of the U.S. Government or the U.S. Government
agencies that participated in its preparation.
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INTRODUCTION
The United Nations has designated 1998 as the "International Year of the Ocean." This
reflects a growing international awareness of the paramount importance of the oceans. For the
United States, the oceans are important for both their global economic and military security.1
Public policy in the United States, along with private enterprise, have long been shaped by a keen
appreciation of the strategic importance of the seas to the nation's economic well-being and
global security.
Oceans, seas, and waterways connect most of the nations and people of the world, either
directly or indirectly. As modern communications and transport bring the world's population
closer together, the oceans become more important as avenues of connectivity than as barriers of
separation. Throughout the nation's history, the seagoing members of U.S. armed and auxiliary
forces,2 and a wide variety of civilian maritime participants,3 have been involved in operations at
sea and have assisted in articulating U.S. national security interests in matters pertaining to the
oceans. It is on behalf of all those seagoing professionals who are deployed on U.S. flagged
vessels around the globe that this paper is offered to promote a greater understanding of the
relationship between the oceans and national security.
NAVAL OPERATIONS
Global Mobility and Access
The role of naval power in U.S. military strategy is in transition. With the end of the Cold
War, the United States is much less likely to face the prospects of a world war. However,
uncertainty remains over when, where, and how future conflicts involving U.S. armed forces will
occur. Draw-downs in the size of U.S. forces maintained, and a more diffuse and complex
political environment, have put a premium on flexible forces that can quickly move anywhere
and remain there for a long time. These forces must function without undue logistic strain to
respond to threats to international peace or security. There is also a premium on flexible forces
that are capable of multiple missions. Maritime forces have inherent strengths which make them
America's best tool to effectively meet most emergent and changing military situations.
Through the use of the world's oceans by U.S. forces, the advantage of on-scene
capabilities for simultaneously executing all three components of the National Military Strategy
is possible without infringing on any nation's sovereignty. According to the Chief of Naval
Operations: "The Navy contribution to our national security objectives is defined by the major
1 Whereas other Year of the Ocean discussion papers have used the singular form ocean, this paper uses the plural form as a
means of acknowledging the importance of specific locations within a military context.
2 Includes uniformed members of National Oceanographic and Atmospheric Administration (NOAA) Seagoing Commissioned
Officers Corps.
3 Includes the men and women who command and crew ships which are either owned by or under charter to the Military Sealift
Command, the U.S. Maritime Administration, and the U.S. Army Corps of Engineers.
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components of the National Military Strategy: peacetime engagement, deterrence and conflict
prevention, and controlling crises."4 This role is rooted in the fundamental ability of the Navy-
Marine Corps-Coast Guard Team to maneuver independently of the control of other nations and
win. This is done through an ability to operate in international waters with forward deployed
forces in the highest possible state of readiness.
Modern military systems allow the United States to hold potential adversaries at risk at
ever greater distances. As technologies shrink the globe, the United States is effectively closer to
potential enemies who also have long-distance military capabilities. To counter these
capabilities, U.S. forces must be prepared to use the oceans to meet potential adversaries on their
home ground or on waters far from U.S. coasts. In this very important way, the oceans can buffer
North America from conflict overseas.
Key to the ability to provide trained, ready forces anywhere in the world at any time to
meet our national security objectives is freedom of navigation. U.S. public vessels provide a
forward U.S. presence to protect our own and allied interests. Freedom of the seas also ensures
that commercial and military cargoes can move freely by sea. The U.S. has a special interest in
maintaining secure, stable lines of communication at sea throughout the world. As the 21st
century approaches, the United States can look back at fifty years of relative peace on the high
seas. Maintaining this combination of security and navigational freedom of the seas is a
fundamental condition for global peace, security, and prosperity.
Overflight Freedom
Freedom of navigation applies not just to the oceans but to the airways above, and
ensures that aircraft are free to move passengers and cargo over the oceans to their destinations.
Freedom of overflight, like freedom of navigation, permits military forces to respond in times of
crisis and is essential to free trade. No one can legally deny anyone the right to fly over the
oceans in international airspace, and no landing rights are required for military flight operations
at sea. The fact that aircraft operating independently or in conjunction with warships may operate
up to 12 nautical miles from any littoral (coastal) state eases access ashore.
Both maritime and airborne freedom of navigation require assured safe passage, free from
the threat of harm. Both require provisions for safety, rescue, and navigational assistance.
Freedom of overflight above the oceans is as important as the freedom of maritime navigation, in
both commercial and military terms.
Power Projection
The oceans provide access to littoral states. Military presence on the high seas provides
the United States with the capability to project power to areas of international tensions, to help
friends and allies, and to preserve international peace and stability. A range of options is thereby
^Department of the Navy, Forward from the Sea, p.l. (1997).
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available to U.S. foreign policy makers. Military power may be projected symbolically as a
diplomatic goodwill gesture or to deter war.
Mobility, endurance, lift, and response are the components of global projection of
military power over the oceans. Sealift and airlift can transport land forces and materiel across
the oceans to most trouble spots worldwide. Naval forces have the unique ability to remain at
their stations for months, ensuring continued presence on the oceans wherever trouble may arise.
Deterrence
Naval forces are among the most useful of diplomatic tools. Policy makers can send them
to over two-thirds of the world's surface at any time without having to obtain advance basing
rights or prior permission to conduct naval movements. Having a sound capability for deploying
military forces to almost any coastal (littoral) area makes it possible for the United States to
provide the tangible leadership that is necessary to facilitate the assembly of coalition forces, or
negotiate forward basing rights should the circumstances so require.
While U.S. maritime forces may not be immediately visible offshore, they are a potent
deterrent to potential adversaries since such forces can arrive quickly and remain indefinitely.
Routine forward deployment provides the President of the United States with "on-call military
presence" almost anywhere in the world and furnishes the capability to project military power
and show credible resolve without provoking war. This presence also reminds potential
adversaries of U.S. military capability and resolve to enforce international law. In this regard, the
oceans and U.S. naval forces provide the United States with unparalleled peacemaking capability
and promote the rule of law.
Sea Denial and Operations Other Than War
As world attention turns from the old ideological East-West confrontation of the Cold
War to the economic disparity between developed free market societies and developing nations,
there has been a re-emergence of maritime interception operations in situations short of
hostilities. There has been no decrease in crises that require military operations other than war.
Transoceanic operating and logistic capability permit the United States to take a lead in such
operations, often as a member of a multinational coalition.
Since 1989, several multilateral embargoes have been enforced by coalition naval forces.
These have been supported by the consensus of the international community, and conducted
under international law. Such embargoes are best understood as attempts to maintain world
order, peace, and human rights rather than as acts of war. Modern maritime interception
operations are typically mandated by resolutions of the United Nations Security Council, and
normally allow humanitarian shipments of food and medicine to the civilian population. Naval
"visit and search" operations are conducted with respect to international law and custom.
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Examples of maritime interception operations include the multinational maritime
interdiction operations against Haiti, Serbia/Montenegro, and Iraq. These operations are less
than airtight and require time to take effect. However, they are part of the foreign policy process
which led to the implementation of democracy in Haiti, motivated Serbia to accept the Dayton
Accord, and reduced Iraq's capability for military aggression both before and after the Gulf War.
The United States has been at the forefront of this emerging area of modern operational
peacemaking.
In the realm of military operations other than war, naval forces also contribute presence
and amphibious capability, along with the ability to apply power at varying levels of intensity in
"smaller scale contingencies." Such maritime and littoral contingencies include:
• counterpiracy
• interdiction of drugs
• counterproliferation operations against weapons of mass destruction
• migrant control and refugee operations
• interdiction of illegal migrant smuggling
• peacekeeping operations (such as in Bosnia)
• intervention in complex humanitarian emergencies (such as in Somalia)
• disaster relief
• non-combatant evacuation operations
• support of search and rescue missions
Information Warfare
The ocean environment enhances military command, control, and communications.
Ocean-borne platforms can provide military units deployed overseas with constant, secure, real-
time communication with tactical and strategic leadership in the United States. Information
superiority has several components: gathering, processing, and disseminating information;
information operations to defend against attack; and information operations directed against an
adversary's information.5 Information warfare is in its infancy but holds forth the hope of
military dominance without the use of physical force or loss of life.
Intelligence, Surveillance and Reconnaissance (IS&R)
The forward presence of ocean-based military forces enable the United States to gain a
better understanding of developing political military situations. Developing better intelligence,
surveillance, and reconnaissance are key ways to improve awareness of the battlespace, to track
the disposition of enemy forces, to enhance transparency among nations (i.e., reduce the risk of
accidental war), and to monitor U.S. allied and neutral warfighting assets. Better IS&R
technology permits more precise tracking of enemy assets, allowing for more effective disabling
of opponents with less use of firepower, less brute force, and less chance of collateral damage to
5 Joint Chiefs of Staff, National Military Strategy of the United States of America, p.2 (1995).
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noncombatants. It also promises the potential for improved .tactical and strategic awareness,
enabling forces to "fight smarter." Thus, the use of up-to-date information technology and
modern sensors can help reduce battlespace confusion, often referred to as the "fog of war."
Tactical Environmental Support
A thorough understanding of the dynamics of the ocean environment is necessary for the
success of maritime missions. The Navy's operational oceanography community6 is responsible
for understanding the effects of the natural environment on the planning and execution of naval
operations, and for interpreting atmospheric and ocean phenomena for forces worldwide. This
community must respond to new technological opportunities and to new mission needs.
The ocean and marine environment affect all aspects of naval warfare. Amphibious, mine,
and special warfare forces all require rapid, accurate environmental information to support their
basic operations. The ocean's structure, which varies due to subtle changes in salinity and
temperature, determines how sound propagates through water and thus affects the use of sonars;
likewise, the environment can be used to find or hide submarines. Similarly, changes in
temperature and moisture through the atmosphere affect radars used to detect incoming aircraft
or missiles and can create "ducts" where radars cannot detect incoming threats. Today's high-
tech weaponry increasingly requires sophisticated environmental inputs for optimal performance
and to support the precision required to engage hostile targets while avoiding collateral damage
to civilians persons, property, and other noncombatants.
In coastal regions, the dynamics of marine weather and ocean processes are closely
intertwined and change rapidly in both space and time. Accurate short-term and long-term
modeling of ocean effects can contribute greatly to the success of naval operations. Continued
rapid advancements hi the modeling field, and especially in the modeling of coastal areas, will
continue to maximize the operational capabilities of naval forces.
New technology is continually being exploited, including the use and development of
new satellite sensors to collect data remotely-especially in regions where access is limited.
Microsensor technology is being exploited to create small, often expendable sensors such as
drifting buoys and miniaturized weather stations to gather information on microscale features.
Relatively small portable sensors are being used on-scene to conduct rapid coastal surveys and
measure near-shore underwater obstacles.
Despite progress in remote sensing of the environment, vast areas of the world's coastal
zones remain devoid of data. Military commanders will continue to require data with ever greater
resolution and accuracy to enhance their margin of safety and optimize their decision making.
Additionally, advances in computer technologies are needed to analyze such data and improve
predictions of the effects of the environment on naval operations.
6 Headed by the Oceanographer of the Navy on the Chief of Naval Operations Staff and supported by 3,000 plus civilians and
military personnel worldwide.
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COAST GUARD OPERATIONS
Three U.S. uniformed armed services operate on the world's oceans: the Navy, the
Marine Corps, and the Coast Guard. Each has a different mission and unique capabilities. The
Navy forward deploys heavily armed air, surface, and subsurface platforms forward to carry our
nation's battles overseas and check adversaries on "blue water." The Marines respond in times of
crisis with ship-borne amphibious expeditionary forces to carry the fight forward and ashore
from the sea. The Coast Guard's national security missions include national defense, maritime
safety, maritime law enforcement, and marine environmental protection.
National Defense Operations
Because of the special capabilities of their vessels and the training of their crews, Coast
Guard units play a critical support role and sometimes lead in enforcing UN sanctions and
international embargoes at sea. Although the Coast Guard recently deployed its own surface
assets to enforce the UN sanctions against Iraq in the Northern Arabian Gulf, it is often the case
that a Coast Guard boarding team operates from a Navy vessel. The Navy and Coast Guard also
provide for harbor defense in the event of a contingency involving maritime transport of military
equipment to provide the joint commanders with safe maritime transportation into and out of
strategic ports.
Maritime Safety
The Coast Guard is charged with ensuring the safe operation of commercial and private
vessels, safe movement of vessels in and out of ports, and salvage and recovery operations. For
example, the Coast Guard has responsibility for maritime search and rescue, but often relies on
commercial mariners and airmen, as well as the Navy, to provide vital surface and air assets to
assist in such operations, particularly when the operations are long range. The Coast Guard's
Aids to Navigation Program and Vessel Traffic Services provide for the safe and efficient
movement of vessels into and out of high traffic ports.
Maritime Law Enforcement
Interagency cooperation has been the key to the United States' increasing effectiveness in
the vital area of maritime law enforcement. Such efforts involve the Department of State, the
Department of Defense, the Justice Department, the Coast Guard, the Customs Service, the
Federal Bureau of Investigation, the Drug Enforcement Agency, the Environmental Protection
Agency, the National Marine Fisheries Service, and the Immigration and Naturalization Service,
as well as numerous state and local law enforcement agencies. These agencies cooperate to
prevent shipments of contraband by sea and preserve the living marine resources of the United
States.
In addition to being an armed service, the Coast Guard is also the only federal law
enforcement agency with jurisdiction in both U.S. waters and on the high seas. In this arena, the
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Coast Guard is the primary enforcer of U.S. laws that include customs and border control
statutes, marine resource protection regulations, and the interdiction of contraband. This law
enforcement authority distinguishes the Coast Guard from other branches of the armed forces and
provides the nation with unique options for responding to national security challenges.7 The
Coast Guard's maritime law enforcement role was rooted in its inception as the Revenue Cutter
Service in 1790. The Service's 207 years of experience fighting piracy, combating smuggling and
fiscal violations, and enforcing other U.S. laws inside U.S. waters make it the Navy's natural
partner for national security in sea denial missions, such as maritime interception operations.
Counterdrug operations have become one of the Coast Guard's most prominent law
enforcement missions. The Coast Guard, as the nation's lead agency for maritime interdiction of
illegal narcotics and co-lead agency for air interdiction, regularly conducts aggressive
counterdrug patrols throughout the Caribbean Sea, eastern Pacific Ocean, and the Gulf of
Mexico. Joint operations are frequently undertaken in a unified environment involving several
different agencies, including the Department of Defense (the lead agency for detection and
monitoring), the Department of Justice (which prosecutes those who violate the law), and other
civil law enforcement agencies.
Enforcement of living marine resource regulations is critical to the protection of not only
the resources, but also the commercial fishing industry. The National Marine Fisheries Service
(NMFS) manages the resources and develops regulations that are enforced at sea by the Coast
Guard and NMFS enforcement agents. Most of those matters are handled administratively by
NMFS although some actions are brought in court by the Department of Justice. This
arrangement has served the North Pacific fisheries well and can hopefully be duplicated to
preserve those few remaining stocks off the North Atlantic coast.
The Coast Guard's prevention, enforcement, and response role in marine environmental
protection helps to reduce the amount of pollution entering the world's waterways. In response to
marine environmental challenges, the Coast Guard has equipped its newest class of ocean-going
buoy tenders with a pollution response capability. As a world leader in marine environmental
protection, the Coast Guard, in conjunction with other agencies, shapes the safety and pollution
control standards for international and domestic maritime transportation through its policy-
making activities and enforcement of the Marine Protection Research and Sanctuaries Act8, the
Clean Water Act9, and the Shore Protection Act.10 and other laws and regulations.
7 U.S. Coast Guard, National Security and the Coast Guard, (COMDTPUB CP 16011.1), P. 8 (1995)
8 33 U.S.Code, Section 1401.
9 33 U.S.Code Sections 1215-1387.
10 33 U.S.Code, Chapter 39
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SPECIAL QUALITIES OF NAVY AND COAST GUARD PLATFORMS
Platforms operating at sea bring special capabilities to the table in those situations in
which U.S. military forces must be ordered into action to meet one or more components of our
national strategy of peacetime engagement, deterrence and conflict prevention, or conflict
control. Navy and Coast Guard vessels have unique attributes of carrying capacity, the endurance
inherent to the duty cycle, mobility, sovereignty, and other abilities to resist attack:
Carrying capacity: Ships can duplicate land bases because of their ability to carry a
variety of essential defense functions. Theater missile defense is one example. Although
space systems may contribute to the launch detection of hostile missile(s), large, heavy
radars based at sea are needed to either detect, in the case of depressed trajectories, or to
manage the interception of hostile missile threats. Ships are the obvious platform for such
systems since they can carry the detection systems as well as large quantities of
interceptors. Because of their carrying capacity, ships are also ideal platforms for almost
all heavy logistics evolutions, command and control duties, space tracking, and
intelligence operations.
Duty cycle and Mobility: The constant presence of a ship gives U.S. military planners a
significant advantage. Space sensors generally observe intermittently, and airborne
sensors, unless based aboard ship, require large numbers to maintain a presence far from
base. Because ships can often perform their missions far from a potential adversary's
coastline, they can continuously gather valuable information without threatening or
alerting them.
Sovereignty: Warships and public vessels engaged in non-commercial service enjoy
sovereign immunity. Therefore, questions of landing or access rights do not arise if U.S.
ships are operating on the high seas or transiting through littoral areas and through straits.
Defense against physical attack and jamming: A ship standing well offshore is much
more secure from physical attack than warfare centers ashore, and it has the carrying
capacity to serve as the platform of choice for many information collection operations
against an actual or potential adversary. Warfare centers ashore may be surrounded by a
hostile populace and if attacked from over the horizon, must defend in a more cluttered
environment. A moving ship is much harder to target with a missile or truck-bomb than
an installation ashore, whose static coordinates can be read from a map or a GPS receiver.
The positioning of warfare capabilities offshore provides separation from the land-based
jammers, thus limiting their effect.
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OCEAN SCIENCE AND TECHNOLOGY
IN SUPPORT OF NATIONAL SECURITY
The ocean has always had a profound influence on human life and activities. It has been
an important source of food and means of commerce. In recent decades, the United States has
been the world leader both in basic ocean studies and research on the ocean's practical influence
on human activities. This pioneering work has been largely the result of remarkably successful
partnerships between federal agencies and universities, in which federal agencies support the
research of academic scientists who provide internal and external research through a variety of
mechanisms.
Oceanographic research, funded in large part by the federal government, is important to
many of the nation's social concerns, including national security. World political changes are
redefining national defense interests, and altering our research and development priorities for the
littoral areas where our national defense operations are most likely to take place. Experience
gained in the 1991 Gulf War, highlighted the need for better information related to oceanic and
coastal processes.
U.S. Oceanography since World War II11
World War II thrust the United States into global affairs, and its many sea campaigns not
only drew public interest to the ocean but highlighted our lack of understanding of it. Most
members of the small marine science community turned to military oriented work in uniform, in
the civil service, or at universities and related institutions. Academic ships, as well as those of the
federal government, were put on Navy research and surveying tasks. The Navy needed
oceanographic help in everything from submarine warfare to amphibious landings. This
assistance contributed to the war effort and demonstrated to the nation that marine science was
more than an abstract endeavor and could contribute to the public good on many levels.
Since World War II, the United States has been a world leader in most areas of
oceanography. Vannevar Bush's Science: The Endless Frontier is still the classic statement of
the essential ingredients of scientific excellence. He noted that "without scientific progress, no
amount of achievement in other directions can ensure our health, prosperity, and security as a
nation in the modern world. This essential new knowledge can only be obtained through basic
scientific research." The plan of Vannevar Bush for government support of university science led
to the formation of the Office of Naval Research (ONR), which is charged with ensuring the
development of strong academic research programs in scientific fields of interest to the Navy.
The Cold War and the threat from both surface vessels and, particularly, submarines led ONR to
conclude that expanding and strengthening the basic science of the ocean were in the national
interest.
See generally, U.S. Naval Academy Press, Oceanography into the Next Decade, (1992)
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The postwar and post-Sputnik periods from 1960 to 1980 were marked by growing
national awareness of the world and an intense interest in science. In marine science, interest
broadened globally , leading to such major ocean-related programs as the International
Geophysical Year, the Deep Sea Drilling Project and the International Decade of Ocean
Exploration. While originally responsible for the postwar academic expansion of oceanography,
the Navy is progressively concentrating its support in a more limited number of Navy-relevant
areas, but continues to provide some oceanographic research vessels to U.S. academic
institutions and provide research opportunities for use of specialized platforms.12
Oceanographic research studies with national security implications include
hydrodynamics, marine life, the interaction of seawater with ocean boundaries, ocean acoustics,
and geoacoustics. Knowledge of the exchanges of energy, heat, and mass at the ocean-
atmosphere interface is important to climate and weather prediction. Oceanographic research has
advanced from the past era of exploration to one of increased observation and description of
oceans systems and interactions with the atmosphere.
Beyond Ocean Scientific Research: Civil Applications
Over the years, practical oceanic research has resulted in spin-offs which benefit
everyone worldwide. Navigation charts and aids are the prime example of a naval contribution
which benefits civilian mariners worldwide. The National Imagery and Mapping Agency
(NIMA) is chartered to provide DoD-wide mapping, charting, and geodesy support. Under the
Navy's direction, NIMA is producing digital replications of traditional paper nautical charts to
support the Navy's transition from paper to digital navigation products. Known as Digital
Nautical Charts (DNC),™ these digital charts allow near real-time display of one's own GPS
position and significantly enhance the safety of navigation at sea. Through joint efforts between
the Navy and NIMA, new survey sounding information will also be seamlessly incorporated into
future editions of DNC™. NIMA's world leadership in the production of digital charts holds
considerable promise for the civil sector.
The Navy also took the lead in providing LORAN and the two-dimensional TRANSIT
satellite navigation system for maritime navigation. These programs led to the development of
the current standard, the joint three-dimensional NAVSTAR global positioning system (GPS).
GPS relies in part on space-borne clocks developed by the Naval Research Laboratory's
Timation program.13 Mariners worldwide benefit from these navigation aids.
12 Research Facilities: ONR assists in the management of the federal and academic fleet of oceanographic research ships,
remotely operated vehicle (ROV) technologies (manipulative capabilities), and other oceanographic platforms that support the
Department of the Navy and national science and technology projects. The Navy is exploring the use of other specialized
platforms (e.g., ALVIN, ROVs, AUVs, etc.) to increase science and technology capabilities. The Coast Guard provides support
to ocean research by operating and maintaining the U.S.' only polar icebreakers. Currently, there are two of these valuable assets
in commission with a third under construction. These platforms are tasked with the re-supply of U.S. research facilities in the
Arctic and Antarctic regions as well as providing research facilities onboard for use by embarked scientists.
13lbid.
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The research into secure and reliable means of maritime communication has extended
into the civilian sector. Financial institutions are studying methods engineered for the military for
safe, reliable, and rapid means of moving large volumes of data, secure from the danger of
disruption or unauthorized monitoring. The Internet, the result of communications programs
funded by the Department of Defense, has provided incalculable benefits worldwide. There are
countless other examples of the fruits of military research spilling over into the field of marine
engineering, marine environmental and pollution control technology, meteorology systems,
communications, and biology.
Ocean Data, the Public, and the Navy
The Navy is a major provider of oceanographic information as well as an end-user and
much of this information has been freely distributed as a matter of course. While being careful to
ensure that data gathered for military operations is handled in accordance with existing
international norms, the end of the Cold War has enabled the Navy to declassify a significant
amount of formerly classified data, some of which has been useful to scientific pursuits.
Procedures to allow increased access by civilian scientists to the Navy's underwater
surveillance system14 (SOSUS) data are being implemented. Initial investigations of civil
applications, coordinated closely with NOAA, proved remarkably fruitful. For example, a short
demonstration project that was conducted provided more information on marine mammal
movements than all the data previously collected. SOSUS also proved to be the most effective
monitoring system for underwater earthquakes, providing the possibility of better tsunami (tidal
wave) predictions. NOAA is investigating whether SOSUS could aid offshore fisheries
enforcement in detecting illegal drift-net deployments. Researchers also want to use the system
for acoustic monitoring of the ocean water to detect change in global climate, relying on the
premise that sound travels at different speeds through water depending on density and
temperature.
Greater public access to formerly classified Navy information, and relaxation of foreign
disclosure and export controls are the result of changes in the world's political/military situation.
In the late 1980s, the Navy declassified selected Arctic under-ice data collected by Navy
submarines for use in climate change research. An Environmental Task Force comprised of
academics, scientists, and government officials was later established to determine the potential
usefulness of classified intelligence and defense databases for addressing serious global
environmental problems. The Central Intelligence Agency has agreed to release millions of
1960s era satellite images, and the Navy has declassified all sea level (altimetry) data from
GEOSAT satellites, which researchers have used to improve the nation's knowledge of global
seafloor features and the earth's gravity field. A Navy working group is completing review of
additional data sets for declassification.
14 SOSUS is comprised of a series of acoustic listening arrays on the seafloor which was developed during the Cold War to
detect the Soviet submarine fleet. /
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LOGISTICS SUPPORT AND INFRASTRUCTURE
Commercial Transport
International and maritime trade have been growing at twice the rate of the world's
economy for some time. Large merchant vessels are the most flexible and cost-effective modes
of intercontinental and coastal transport. Increasingly, new markets and new resources are found
overseas. As the world evolves from a collection of disconnected national and regional
economies to one global inter-linked economy, freedom of commercial transit on the high seas
and through straits and other navigational choke points becomes ever more important. At the
same time, the ability of military forces to respond abroad in case of crisis requires the sealift and
logistic support that can only be provided by the U.S. merchant fleet.
Military and commercial mobility on the high seas are linked. Commercial navigation
depends on naval forces to keep open the lines of communication. Naval forces depend on
commercial trade for logistics support. Commercial navigation requires security and freedom
from both state-sponsored interference and freelance piracy. It requires freedom from illegal
regulatory controls by foreign governments, as well as safe and efficient use and access to the
nation's ports and waterways.
Sealift, Shipbuilding and Repair, and Maritime Employment
The United States must assure a viable maritime industrial base to satisfy its commercial
and military requirements. Cabotage laws, which govern navigation and trading along the coast
and include such statutes as The Passenger Ship Act of 188615 and The Merchant Marine Act of
1920 (Jones Act),16 are common to over 45 countries. By imposing citizenship and construction
requirements for vessels to engage in domestic trade, these laws seek an adequate national fleet
in peacetime to sustain the nation in war. Opponents, however, argue that such laws restrict free
trade and increase costs. Government shipbuilding subsidies or loan guarantees, such as the
Maritime Loan Guarantee Program (Title XI), are a common means used by nations to support
their industrial base. Some argue that free trade, competition, and elimination of international
subsidies could allow the nation to meet its economic requirements. However, the President's
1993 Plan for Competing in the International Market looks carefully at these competing
considerations and comes out in favor of a policy of limited government support in meeting the
nation's commercial and military sealift requirements. This is set forth in National Security
Directive 28:
"The U.S. national sealift objective is to ensure that sufficient military and
civil maritime resources will be available to meet defense deployment and
essential economic requirements in support of our national security
strategy. The Department of Defense will determine the requirements for
15 46 U.S. Code Appendix Section 289.
16 46 U.S. Code Appendix Section 883.
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sealift of deploying forces, follow-on supply and sustainment,
shipbuilding and ship repair. In coordination with the Department of
Defense, the Department of Transportation will determine the capacity of
our merchant marine industries to meet these requirements and to provide
the sealift required to support the essential industrial activity during
wartime."
National Security Directive 28 reflects the link between the seagoing armed services,
U.S.-flag merchant vessels, the merchant seamen who crew them, and the commercial maritime
industrial base of ports, shipyards, and ship repair facilities. Playing a vital national security role.
since colonial days, the U.S. Merchant Marine is often referred to as another arm of the nation's
defense.
The 1992 Mobility Requirements Study, the 1995 Bottom-Up Review, and the 1997
Quadrennial Defense Review reaffirmed the requirements for "defense deployment." To deploy
U.S. forces overseas and resupply them, the U.S. Merchant Marine provides U.S.-flag civilian-
crewed commercial ships and civilian crews to government-owned support ships. These sealift
assets account for about 95 percent of all the tonnage delivered in support of military
requirements in peacetime and during times of crisis. Naval shipyards and ship repair facilities
build and help maintain Navy and merchant ships, activate inactive ships, and repair battle-
damaged vessels.
Over 4,800 civilian mariners crew the 200 commercial vessels with military features
which are included in the Afloat Preposition Force, Fast Sealift Ships, Ready Reserve Force
ships, Maritime Security Fleet, and Navy Fleet Auxiliary Force. Over half of these sealift ships
are actively deployed or are in commercial service around the globe. The Maritime Security Fleet
is composed of militarily useful dry cargo commercial vessels which receive operating assistance
in return for a commitment that these vessels, and the commercial intermodal systems which
support them, will be made available for national security purposes if needed. Inactive strategic
sealift ships are positioned throughout the United States and overseas and are capable of being
activated within 4 to 20 days. All of the vessels in 4 or 5 day readiness have a cadre crew of
civilian mariners. These vessels have already proven their value in supporting defense
deployments in Desert Shield and Desert Storm, Somalia, Haiti, and Bosnia.
The Department of Transportation's Maritime Administration is charged with ensuring a
viable U.S. Merchant Marine and maritime industry to meet national security needs. The
Maritime Administration, hi cooperation with the Navy, supports programs directed towards
sustaining the maritime infrastructure, including maritime education and training; National
Defense Features and Title XI loans; operational differential subsidies and maritime security
agreements; and the development of technologies and industrial processes. Since 1980, major
shipbuilding in the United States has been maintained predominantly by construction of Naval
vessels, but with the end of the Cold War, the Navy's construction program has been
significantly reduced. The Navy's proposed Fiscal Year 1997-2003 shipbuilding program will
average less than six ships a year compared to 10 ships per year in Fiscal Year 1992-1997 and 19
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new ships per year during the 1980s. To maintain the "shipyard mobilization base," necessary to
build, repair and activate Navy and merchant ships, more commercial ship construction is
needed. In 1996, the United States constructed only 1.8 percent of the world's gross tonnage;
Japan and Korea accounted for almost 60 percent.
Present programs recognize that the decline in the number of oceangoing ships operated,
repaired, or built in the United States impacts the industrial base of shipyards and their labor
force. There are over 280 privately owned firms of varying capabilities, employing over 98,000
workers, involved in shipbuilding and ship repair in the United States. However, only 43 yards
are capable of dry-docking vessels of 122 meters in length or over,17 and only 6 shipyards are
building Navy combatant ships. This impacts the Navy with respect to the number of U.S.
facilities and qualified shipyard workers available to activate, build, and repair active and naval
auxiliary vessels in times of national emergency. The United States has to assure a viable
military industrial base to meet it's military sealift needs. While this requirement receives less
attention than other military budget items, it is of great importance to National Security and will
be subject to continuous review and debate.
SOUND MANAGEMENT OF THE OCEAN'S ENVIRONMENT AND RESOURCES:
ENVIRONMENTAL SECURITY
Environmental Security Challenges and Response
The Law of the Sea (LOS) Convention is a fundamental framework for the array of
international agreements18 that protect ocean access, maintain the environmental quality of the
oceans, and guard against imprudent exploitation of marine resources. In the past, the rigor of the
ocean environment alone was sufficient to safeguard ocean resources from over-exploitation.
Scientific progress brought technology, which in turn put living oceanic resources within reach
for commercial harvest and seabed extraction. Nations began to face overfishing, as whalers and
giant drift nets depleted stocks and even threatened species with extinction. There was also
uncertainty over ownership and sovereignty of hydrocarbons and minerals and threats posed to
the marine environment from oil spills associated with oil exploration and transportation.
Because all nations enjoy the benefits of proper management of the world's natural resources,
responsible international management of ocean resources is in the interest of all nations.
Recognizing that national and global security are enhanced by protection of ocean
resources, the Navy, Coast Guard and National Marine Fisheries Service (NMFS) have mounted
57 U.S. Department of Transportation, Maritime Administration Report on Survey of U.S. Shipbuilding and Repair Facilities
pgs. 40, 54 (1996)
18 Includes the 1989 Basel Convention on the Control of Transboundary Movement of Hazardous Wastes and Their Disposal
(Basel Convention); The 1972 Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter
(London Convention 1972), as recently amended; The Safety of Life at Sea Convention 1974, as amended (SOLAS
Convention); The 1973 Convention and 1978 Protocol for the Prevention of Pollution from Ships (MARPOL); and the 1972
Convention on Prevention of Collisions at Sea (COLREGS).
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a combined effort to detect, monitor, and suppress illegal large-scale high-seas driftnet activity.19
The Departments of Justice and State are addressing these illegal activities in legal and
diplomatic fora, and in 1991, Navy operational monitoring assets began being used for high-seas
driftnet detection. In an effort to assist in the recovery of the endangered Northern Right Whales
in the critical habitat located off the coasts of Georgia and Florida, the Navy has undertaken
extensive operational measures to preclude whale injury resulting from operations along the
Eastern Seaboard. The Coast Guard and the Navy are also providing direct monitoring assistance
to the NMFS and conservation organizations to study the migratory and other behavioral patterns
of the Northern Right Whales to protect that species.
On the international scale, the serious decline of fisheries in the Grand Bank of
Newfoundland,20 the George's Banks off New England, and other areas have either spawned
incidents of violence involving armed forces or created other clear implications for global
security. Legal regimes are being negotiated to deal with "ownerless" resources and marine
pollution that cannot be specifically linked to particular vessels or nations, especially land-based
sources.21 Practical solutions are needed. The Department of Defense, in cooperation with other
agencies, has begun isolating and containing the effects of serious pollution incidents.22 The
Navy is also now a part of a team working to develop a Black Sea Regional Oil Spill
Contingency Plan which would be implemented by naval forces based in the Black Sea.23
Environmentally Sound Ships
The Assistant Secretary of the Navy noted the importance of the environment to the Navy
mission stating:
"By maintaining compliance with all environmental standards, we ensure our
access to training and operating ranges on land, in the air, and at sea. We
recognize that many of our actions, whether it is to train new Sailors or Marines,
maintain readiness of combat forces, or test new weapon systems have an impact
19 Large scale (greater than 2.5 kms in length) high sea driftnets are banned by a 1991 UN General Assembly Resolutions
44.225, 45.197, and 46.215 because of the devastating impact of large-scale driftnet fishing on both the targeted fish stocks and
because of the problem in incidental damage to marine mammals and non-target fish species. Abandoned driftnets are also a
serious hazard to navigation.
20 The collapse of the cod stocks are indicative of the collapse of once numerous species including herring, halibut, and blue-fin
tuna. Indiscriminate fishing techniques (e.g., use of large nets and trawls which scrape the sea floor, use of drift nets, and
precision navigation devices) consume entire populations in single scoops. In 1996, the World Conservation Union's annual Red
Data Book of threatened species listed for the first time numerous marine fish—more than 100 kinds worldwide including cod,
haddock, blue fin tuna, swordfish, Nassau grouper, and summer flounder.
21 International norms are just evolving to attack the transboundary impacts of pollution from land-based sources. Since over 90
percent of ocean pollution is derived from land-based sources, this problem is especially acute.
22 Literally thousands of mostly small, spills occur every year around the world. Incidents like the 250,000 barrel spill of Exxon
Valdez in Prince William Sound in 1989 and the release of 12 million barrels of oil in the Persian Gulf as "ecocide" by Iraq
during the Gulf War are two of the most prominent examples. The Navy and the Coast Guard have developed a worldwide oil
spill contingency plan and response capability in cooperation with other nations. State-of-the-art oil spill recovery equipment is
pre-positioned in strategic locations and maintained in a constant state of readiness. If needed, the recovery equipment can be
shipped by military aircraft to remote locations.
23 The plan will be exercised by elements of the U.S. Sixth Fleet during the summer of 1998.
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on the natural environment. We need to understand those impacts, and take
appropriate actions to minimize them. Beyond the strict interpretation of the law,
we have an ethical responsibility to conserve the natural resources entrusted to
us."24
This principle has been reinforced by the Chief of Naval Operations who stated that
"national defense and environmental protection are and must continue to be compatible goals.
Therefore, an important part of the Navy's mission is to prevent pollution, protect the
environment, and protect natural, historic, and cultural resources."25 Consistent with that policy,
protection of the marine environment is mission essential. Navy ships conduct operations, in port
and at sea, in such a manner as to minimize or eliminate any adverse impact on the marine
26
environment.
The sea services work hard to be good stewards of the oceans. The Navy views protection
of the environment as a very practical challenge for operations and logistics. Recognizing the
importance of assessing environmental factors and impacts during operations at sea, the Navy, in
conjunction with the Joint Staff, is developing a Naval Warfare Publication (NWP 4-11). This
document will serve as a ready reference for operational planners, afloat staffs, and vessel
commanders seeking to integrate complex environmental requirements into day-to-day
operations.
The International Maritime Organization (IMO) is responsible for implementing the
International Convention for the Prevention of Pollution from Ships 1973, as modified by the
1978 Protocol (MARPOL 73/78). MARPOL establishes legal principles, applied to owners and
operators through the national laws of the flag state, which govern the control of marine pollution
as a result of vessel/platform source emissions into the air and water. Because the roles of
military vessels are unique, MARPOL 73/78 exempts warships, naval auxiliaries, and other
public vessels on noncommercial service from compliance but does require each party to adopt
appropriate measures, not impairing the operations or operational capabilities of such ships, to
comply with the Convention in so far as reasonable and practicable.27 This "exemption" is
frequently misunderstood by the public to mean that navies are not taking action to prevent
pollution. The Navy complies with waste treatment and disposal standards, generally speaking,
that are far more rigorous than those mandated by IMO regulations. To this end, "the Navy has
established the goal of Environmentally Sound Ships of the 21st century (ESS-21) that will be
able to minimize waste generation and treat or destroy unavoidable waste on board."28
24pjrie, R.B. Jr., Assistant Secretary of the Navy (Installations and Environment). Statement before the Subcommittee on
Readiness of the Senate Armed Services Committee on the Fiscal Year 98 Department of the Navy Environmental Budget. 15
April 1997.
25 Dept. of the Navy, Environmental and Natural Resources Manual (OPNAVINST 5090. IB) (1994).
26ibid.
27Article 3, International Convention for the Prevention of Pollution of Ships, 1973.
28Dept. of the Navy, Report to Congress, U.S. Navy Ship Solid Waste Management Plan for MARPOL Annex V Special Areas,
Nov. 1, 1996. The Navy's 21s1 Century Surface Combatant (SC-21) will satisfy applicable environmental regulations related to
waste management while at the same time functioning as a highly capable warship. A NATO Naval Armaments Group
(SWF/12) is examining on a similar concept in a NATO context.
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The Navy has also installed install plastic waste processors on most surface vessels in
order to avoid plastic disposal at sea. Congress also gave the U.S. Navy until the year 2000 to
install pulpers and metal and glass shredders on surface ships. Other developmental successes
include oil water separators, sewage vacuum collection systems, and elimination programs for
ozone depleting substances, including conversion, replacement, and recycling initiatives. Naval
designers have started to consider advanced waste treatment systems for future ship designs,
including thermal destruction technologies (such as the plasma arc), to support ESS-21. Research
and development is also proceeding on development of oily water membrane effluent
minimization systems, and sewage and graywater treatment systems. To prevent the introduction
of non-indigenous species, the Navy has implemented a rigorous ballast water exchange
procedure for ships so equipped. Obviously, the technological gains which the Navy makes in
connection with ESS-21 system development may have civil applications and benefits.
Public and congressional support is key to the ability of naval forces to maintain the
required readiness to achieve national security objectives and execute the National Military
Strategy. Therefore, the Navy has involved the public, environmental groups, and legislative
representatives in Navy marine environmental protection programs. A forward looking
environmental policy ensures that the sea services operating overseas can continue to enjoy port
access because of their good reputation abroad for pollution control and waste disposal.
THE LEGAL ENVIRONMENT
Maritime Forces must comply with laws that directly protect ocean resources. The
Marine Mammal Protection Act and the Endangered Species Act (ES A) require such forces to
avoid the taking of marine mammals and, in the case of the ESA, to consult with appropriate
resource agencies regarding operations that may affect the continued existence of endangered
species or may modify their critical habitat.
Potential environmental impacts are fully analyzed through a comprehensive
environmental planning process, complying with the U.S. National Environmental Policy Act
(NEPA) for activities within the United States29 and Executive Order 12114 for activities outside
of the United States. The Navy has found that early consideration of potential environmental
impacts can enhance military readiness by assuring access to critical training areas. Operational
doctrine is also being written to fuse the analysis which is conducted for environmental
compliance purposes with all other military planning conducted in advance of military exercises
or operations.
The Departments of Defense (represented by the Navy) and EPA are developing Uniform
National Discharge Standards30 to address the problem of differing State Water Quality standards
as they pertained to liquid discharges from warships and other public vessels which could have
29 Including the 3 nautical mile limit of the territorial sea subject to state jurisdiction.
30 This initiative was authorized by Section 525 of the 1996 National Defense Authorization Act.
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adverse impacts on the marine environment. The resulting regulation, developed in consultation
with other Federal agencies and affected states, will enable DoD to operate under one uniform
environmental protection standard throughout the United States.
As stewards of the marine and littoral environments, the Navy has an obligation to care
for the natural resources on which the world depends. Protecting the environment is a part of
mission accomplishmen~it is good citizenship and protects continued naval access into foreign
waters. The Navy is committed to protecting human health and the environment while
performing its military mission. These obligations come with an impact upon the Navy's
increasingly scarce economic resources. In the coming years, there will be continued discussion
over how extensively environmental obligations will shape military activities at sea in view of
the military planning, readiness and budgetary constraints. The "openness" of environmental law
procedures, such as NEPA, and the military's need to limit dissemination of sensitive national
security information must be harmonized. Restrictions on the use of weapons systems and the
operations of ships and other military platforms should strike an appropriate balance.
Freedom of Navigation, Ocean Resources, and the Law of the Sea Convention
Access to the oceans throughout the world, including the areas off foreign coasts at great
distances from the United States, is vital to U.S. security and economic interests in global
navigation, overflight, and telecommunications. These interests are best served by a globally
accepted public order of the oceans that rninimizes the challenges to and costs of securing such
access. The LOS Convention restrains the growth of excessive maritime claims and codifies key
legal provisions in the areas of environment, fisheries, and public vessel sovereign immunity
which balance the vital interests of maritime and coastal states.
Free trade requires freedoms of navigation and overflight. The United States also takes an
interest in protecting rights of transit for international commercial shipping31 and promoting free
trade. The LOS Convention codifies traditional freedoms of navigation and overflight. These
freedoms include the right of innocent passage through foreign territorial seas, the exercise of
high seas freedoms32 seaward of territorial seas, and rights of transit and archipelagic sea lanes
passage through international straits and archipelagic waters. Norms favoring foreign port access,
marine scientific research, and specific limits of coastal state authority over the submerged lands
and resources adjacent to their shores, are all contained in the LOS Convention.
A few decades ago, there was a explosion of extended sovereignty claims, as some states
acted unilaterally to maximize their offshore jurisdiction. A great contribution of the LOS
31 During the so-called "War of the Tankers" between Iran and Iraq during 1980 through 1988, neutral merchant shipping
sustained tremendous losses. In the 8-year conflict, 543 ships were attacked, most in international waters. Over 200 lives were
lost, including 53 Americans. In an effort to contain the effects of that conflict, the United States authorized the refiagging of
Kuwaiti tankers and in 1987, commenced with providing those and other vessels military escort as they conducted their transits
through the Straits of Hormuz and the Gulf.
32 The high seas freedoms of importance to DoD include the transit of ocean spaces, task force maneuvering, exercises, flight
operations, surveillance and intelligence collection, communications, and space activities, cable laying, military surveys, and
ordnance testing and firing.
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Convention is that the trend in excessive claims has abated with some states having rolled-back
their excessive claims. As more states become parties to the LOS Convention, which entered into
force in November 1994, there should be a heightened degree of convergence towards the
principles it sets forth. As of January 1998,123 states are parties to the Convention.33
The position of the Department of Defense on the LOS Convention is clear:
"The Department of Defense has long supported the Convention on national security
grounds. The Nation's security has depended upon our ability to conduct military
operations over, under, and on the oceans. We support the Convention because it
confirms traditional high seas freedoms of navigation and overflight; it details passage
rights through international straits; and it reduces prospects for disagreements with
coastal nations during operations."34
Other International Legal Initiatives
While ratification of the LOS Convention is an urgent short term goal of the Executive
Branch of the United States Government in the oceans arena, other international initiatives
affecting the use and quality of the oceans will require attention early in the coming decade. The
establishment of universally accepted rules for oceans governance will provide DoD and the
Coast Guard with clear guideposts for the types of design and operational standards which may
have to be met in the future. The rules will also be helpful in addressing global problems of
environmental degradation and resource depletion which can lead to conflict. Initiatives which
are currently under study include:
(a) Seeking universal accession of states to the recently concluded 1994 Agreement
relating to the Conservation and Management of Straddling Fish Stocks and Highly
Migratory Species. Universal acceptance of that agreement is important to help
protect fish species and because it establishes unique multinational enforcement
provisions and is a balanced model for international conservation.
(b) Implementing the Global Action Plan on Marine Pollution from Land-Based Sources.
While international efforts to control vessel source pollution have been largely
successful, the more pervasive land-based sources have been inadequately addressed.
(c) Obtaining universal accession to the 1996 Protocol to the London "Dumping"
Convention. That Convention establishes new safeguards and provides legal clarity
33 The United States is still not a party to the LOS Convention. However, the Convention was forwarded to the Senate tor
advice and consent in the Fall of 1994 and is currently awaiting action by the Senate Foreign Relations Committee. Furthermore,
since 1983, the United States has regarded most of the LOS Convention to represent a codification of customary international
Department of Defense, National Security and the Law of the Sea Convention p.l (1996)(Quoting from Secretary of Defense
William Perry Statement on July 29, 1994).
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on the permissible types of dumping at sea, including the dumping of high and low-
level radioactive wastes.
(d) Obtaining universal participation among flag states of Annex VI of MARPOL. This
Annex sets forth new international standards applicable to air emissions from ships.
(e) Working with the IMO and the International Atomic Energy Agency (IAEA) to find
acceptable regimes for the safe and secure methods for transporting nuclear materials
at sea. Striking an appropriate balance between the competing international interests
in this area is important from a nuclear safety and non-proliferation perspective.
MANAGEMENT ISSUES
Following a joint hearing in January 1996, Congress established a National
Oceanographic Partnership Program (NOPP) to improve knowledge of the oceans through
federal, academic, and industrial partnerships in research and education. Federal coordination is
achieved through a National Ocean Research Leadership Council, which includes broad
representation from federal agencies with oceans interests and is currently chaired by the
Secretary of the Navy. In 1997, twelve partnership projects were funded to establish new coastal
laboratories, develop plans for a virtual ocean data center, improve ocean data collection and
processing, and expand public and education outreach activities. NOPP's challenge, in this time
of declining budgets, is to seek out and foster the most beneficial projects and partnerships that
meet national oceanographic requirements and program goals. In the coming years, there will be
continued study on whether NOPP, and programs like it in other agencies, are meeting their
objectives.
From time to time, legislative proposals are made to renew operating or differential
subsidies for the U.S. merchant fleet engaged in international trade for the purpose of leveling
the economic playing field for labor and operating cost, since only 3 percent of U.S. foreign
waterborne trade is carried by the U.S. merchant fleet. In the past legislative session, there were
proposals to substantially scale-back the "Jones Act," which establishes a preference for U.S.
owned and crewed vessels engaged in the coastwise trade. Proposals have also been made to
provide subsidies to U.S. shipyards to equalize the labor cost differentials with shipyards
overseas, where direct or indirect construction subsidies are routine. U.S. defense spending in
U.S. shipyards and for the charter of U.S. flag vessels is expected to decline, and this decreased
spending may increase pressure on the Congress and the Executive Branch to address this
problem.
The Federal Environmental Task Force (discussed above), which was formed in the mid-
1990s, and successor initiatives, have collectively resulted in the transfer of formerly classified
environmental data to scientists and others in the civilian sector to help solve global
environmental and resource questions. The Navy has offered some further access to classified
data if a source for the cost of "sanitizing" data can be found. In the coming years, stakeholders
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from the government and private sector will have to determine the appropriate level of
investment for making defense information with civil applications available to the public.
There is an increasing awareness that marine pollution and decreases in sustainable yields
of marine living resources can be one contributing factor to political instability in coastal regions
around the world. In the coming years, the United States must assess what the federal
government can or should do to help prevent or mitigate these types of problems. A strategy may
be needed to avoid costly impacts on the United States in the form of military humanitarian
intervention, responses to mass migration, and unprogrammed foreign aid expenditures. The
United States must also consider the appropriate role of private and international aid
organizations in this overall process.
Finally, striking the correct balance between federal and state environmental laws
designed to protect the marine environment with military readiness and operations is an ongoing
process and continues to be a challenge.
EDUCATION AND EXPLORATION
The nation should continue to fund pure and applied research across the spectrum of
ocean sciences to meet future defense needs. An investment in defense science will pay
dividends to the civilian sector. A more complete understanding of the ocean environment will
enable U.S. military forces in the future to meet their traditional defense missions while at the
same time minimizing the impacts of those operations on the marine environment. Science is key
to finding ways to sustainably develop and manage ocean resources to meet the needs of an
increasing world population. Ocean exploration missions are important to meet defense science
needs and advance the nation's overall position in science and technology. The United States
must continue to attract the best and the brightest to America's shores to study, conduct research,
and advance the technology base.
The nation invests heavily in education and training activities to support national security
programs. A full spectrum of training facilities is dedicated to training seagoing professionals.
These include the Military Service Academies (Naval and Coast Guard Academies), the
Merchant Marine Academy, and the Naval Reserve Officer Training Units located at major
universities across the country. The Navy and Coast Guard operate a network of schools to
provide apprentice level technical training in all fields relating to the operations of ships at sea
including: engineering, ships services, nuclear and conventional propulsion systems, combat
systems, navigation and operations. Finally, the Naval Postgraduate School, Naval War College,
and Naval Medical Research Institute are among the world-class graduate level teaching and
research organizations that are responsible for educating military leaders in the United States and
abroad. This investment in training is significant, but the payoff is the world's most highly
trained cadre of mariners and marine scientists who serve in both military and civilian positions.
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A continuing challenge will be finding ways to reduce the costs of training America's
seagoing professionals and give other interested citizens access to some of the training facilities
and opportunities that are available to those in the federal government. The Navy has been
building partnerships with private industry, other government agencies, and academia to further
the public understanding of oceanography. Some clear examples of success are Project JASON,
hosted by the Naval Meteorology and Oceanography Command and the University of Southern
Mississippi's Gulf Coast Research Laboratory, which brings live interactive broadcasts from
JASON expeditions to students and teachers in many states. The challenge will be finding more
of these opportunities to connect the marine professionals in government with motivated
members of the public.
CONCLUSION
The United States is a maritime nation which owes much of its security and prosperity to
its ability to use the seas successfully to enhance commerce and national security. Key to this
success has been the preservation of strong maritime forces and sealift. U.S. maritime forces
must be able to fight smarter and win, with smart maneuver, smarter weapons, and a reliable
stream of remote sensor and tactical environmental data.
Preservation of the comprehensive legal regime set forth in the Law of the Sea
Convention is essential to assure freedom of navigation and overflight on the high seas and
through straits and other choke points for military and commercial vessels. For over 200 years,
the United States has recognized the importance of keeping open the sea lines of communication
at sea for commercial and military purposes. National and global security demand that this task
continue as a matter of national priority.
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DNC
ESA
ESS-21
GPS
IMO
IS&R
LORAN
LOS
MARPOL
MIO
NEPA
NIMA
NMFS
NOAA
NOPP
ONR
SOSUS
LIST OF ACRONYMS
Digital Nautical Charts
Endangered Species Act
Environmentally Sound Ships of the 21st century
Global Positioning System
International Maritime Organization
Intelligence, Surveillance and Reconnaissance
Long-Range Aid to Navigation
Law of the Sea
International Convention for the Prevention of Pollution from Ships
Maritime Interdiction Operations
National Environmental Policy Act
National Imagery and Mapping Agency
National Marine Fisheries Service
National Oceanic and Atmospheric Administration
National Oceanographic Partnership Program
Office of Naval Research
underwater surveillance system
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ENSURING THE SUSTAINABILITY OF OCEAN LIVING RESOURCES
Contents
1. EXECUTIVE SUMMARY c_2
2. INTRODUCTION ""!""!!".""!!!" C-4
3. THE STATUS AND TRENDS OF LIVING MARINE RESOURCES C-8
4. THREATS TO THE SUSTAINABILITY OF LIVING MARINE
RESOURCES c_15
5. THE U.S. STRATEGY FOR ACHIEVING SUSTAINABLEI LIVING
MARINE RESOURCES c_22
6. CONCLUSIONS AND OPTIONS FOR CONSIDERATION C-33
7. REFERENCES c_34
8. DOMESTIC LEGAL REGIME '".".".". c_37
9. LIST OF ACRONYMS I""""""""""".'" C-47
This Year of the Ocean document was prepared as a background discussion paper and does not
necessarily reflect the policies of the U.S. Government or the U.S. Government agencies that
participated in its preparation.
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EXECUTIVE SUMMARY
The ocean covers nearly three fourths of the planet and embraces most of the earth's
biosphere—the region where life occurs. The ocean's living resources are a treasure for current
and future generations of humankind. Fisheries provide food for billions of people; through
science, new medicines and materials from the amazing diversity of marine life forms are being
discovered; and the ecosystem functionings of marine life sustain human life in ways just now
beginning to be discovered. Marine aquaculture holds the promise of helping to meet the food
demands of a growing world population. As worldwide observance of the Year of the Ocean
proceeds, it is worth taking stock of current perceptions about the living ocean, the status of its
resources, the threats it faces, and the steps that the United States is taking to secure this treasure
for successive generations.
Knowledge about marine species and ecosystems lags far behind the state of information
about terrestrial systems. Despite the value that living marine resources represent, relatively little
still is known abou, them—indeed, most species are unknown and whole new ecosystems have
been discovered in the last two decades. Yet, for those species and ecosystems most studied to
date—particularly commercially exploited fish, protected marine mammals and turtles, and
certain coastal ecosystems—trend indications have convinced many observers that the productive
limits of the ocean are being reached and often exceeded..
Both U.S. and world fisheries, with a few exceptions, exhibit flat or declining trends in
harvests and the majority are thought to be fully or overutilized. Recent trends in catches, trade,
contribution to food supplies, and overall economic viability are not encouraging. Certain marine
mammals and sea turtles in U.S. waters appear to be recovering after years of population
declines. Still, habitat destruction and human activities are increasingly placing other species,
such as salmon, in jeopardy, while less well studied marine organisms are probably being lost
before ever being identified, much less protected. The world's most biologically diverse marine
ecosystems, coral reefs, provide home to hundreds of commercially valuable fish species.
Despite their importance, the health and cover of shallow water coral have declined worldwide
over the last two decades. Without another marine ecosystem, coastal wetlands, many species of
fish and shellfish cannot survive. Yet, existing programs to protect wetlands notwithstanding, the
habitat, acreage, and function of wetland areas continues to decline.
Research and experience have shown that the bounty of the ocean is not limitless.
Increasing population and the accompanying expansion of human activities have the capacity to
dimmish the ocean's productivity in numerous ways. The ocean's living resources and the
benefits derived from them are threatened by fisheries operations, chemical pollution and
eutrophication, alteration of physical habitat, and invasions of exotic species. Looming on the
horizon are new threats caused by ozone depletion and human-induced climate change, whose
potential negative impacts on whole ecosystems add further to the impact of already existing
threats caused by other human activities.
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The U.S. government, in partnership with public and private stakeholders, has recognized
these threats to the marine environment and is taking steps to address these problems. Evidence
already shows that U.S. management and conservation practices are paying dividends in healthier
resources. For example, the United States has set a policy framework for sustainable utilization
of fisheries through the Sustainable Fisheries Act of 1996. Provisions of the Act being
implemented include prevention of overfishing, designation and conservation of essential fish
habitat, reducing bycatch, and managing harvesting capacity. As fishery harvests are reduced to
sustainable levels, marine aquaculrure will play an increased role in meeting domestic and world
food needs. The United States is developing the technology and policy framework that will
allow this expansion in food production in an environmentally sustainable manner.
Regarding other concerns, strong protection under the Endangered Species Act and
Marine Mammal Protection Act has enabled the recovery of certain marine mammals and
increased populations of at least two sea turtle species in U.S. waters. Integrated coastal area
management, meanwhile, is providing new tools to protect the most productive coastal and
marine ecosystems. The United States has also been a leader in advancing international
initiatives to conserve marine fisheries and biological diversity—a shared resource. In each of
these natural resource management areas, the United States is beginning to apply a precautionary
approach that acknowledges the limits of scientific knowledge and requires erring on the side of
conservation. The key to success will depend on sound science and strengthened partnerships
with all stakeholders to conserve and sustainably use the nation's marine living heritage.
The Year of the Ocean is an opportune time to examine the challenges confronting
marine living resources in light of new tools: advanced and expanded scientific information, the
precautionary approach, increased inclusiveness and partnerships, and the potential of
ecosystem-based management. Much has been done in the past 20 years, and 1998 provides an
excellent starting point for a new direction for the next 20 years.
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INTRODUCTION
Humans have sailed the seas for centuries, but considered anything beneath the surface or
beyond the horizon to be "incognito," and to be labeled as dangerous: Here be dragons. While
our modern perspective may lead us to scoff at the early map makers, even today many maps
treat the ocean as essentially flat, blue, empty space between the continents—featureless and
devoid of interest. Despite quantum leaps in scientific knowledge about the ocean, many
Americans still view the ocean as limitless, vast, and unknowable. According to recent survey
research, however, citizen awareness of the value of ocean resources and the threats they face is
growing (The Mellman Group, 1997). As worldwide observance of the Year of the Ocean
proceeds, it is worth taking stock of existing knowledge about the ocean—and the health and
abundance of its living resources—in order to be better able to chart a course for the future.
Life on earth arose from the ocean, and living marine resources continue to provide
essential ecosystem services on which all life depends. Only in recent years has the extent to
which the ocean is host to a vast diversity of species and ecosystems been recognized. Even
though no "dragons" have been found, exploration of the ocean, which covers nearly three-
fourths of the planet, has revealed creatures even more unusual, and living resources even more
valuable, than could have been imagined by our ancestors. Only in the last 20 years have the seas
begun to yield the secrets of the deep ocean floor. For example, the deep ocean is home to
communities of organisms whose productivity is based on chemosynthesis instead of
photosynthesis, the latter being the process by which most plant life on the earth and in the sea
converts sunlight into useable biological energy. Other whole new ecosystems have been
discovered in the ocean in recent years, and the vast majority of species remain to be discovered.
Although the ocean may have fewer species overall than terrestrial environments, the array
covers a much higher degree of diversity at higher taxonomic levels. All but one of the several
dozen known animal phyla are represented in the ocean, while only about one half occur on
land.1
Providing humanity with food, economic benefits, and recreation, living marine resources
represent a treasure for current and future generations. These resources range from the
tremendously productive phytoplankton, which help maintain atmospheric gas balances,
sequester carbon, and form the base of many marine food chains, to corals, which build reefs that
protect coastlines and create the most biologically diverse ecosystems; and from pelagic fishes
upon which many of the world's commercial fisheries depend, to deep sea hydrothermal vent
communities with unique adaptations that may provide important resources for future
biotechnology breakthroughs (see Box 1).
'Taxonomy is the system used by biologists to describe and classify organisms. The so-called taxonomic pyramid is divided into
kingdom, phylum, class, order, family, genus, species. A whole new Kingdom, the Archaea, was discovered in deep sea
hydrothermal vents. The Archaea are as different from bacteria as bacteria are from plants and animals.
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Box 1: The Value of Living Marine Resources2
The diversity of life in the ocean provides a natural "hope chest" for
current and future generations. The ocean's biological diversity—the living
resources that compose it and the ecological processes that sustain it—form a
foundation for the quality of human life as well as the raw materials to enrich it.
Biological diversity, or biodiversity, refers to the variety and variability among
living organisms, and among the ecological complexes of which they are a part. It
encompasses all of the world's living resources. Marine living resources provide
essential economic, environmental, aesthetic, and cultural benefits to humanity.
Direct use values: The fish humans consume represent the most widely
recognized economic value, whether from capture fisheries or marine aquaculture.
Sixteen percent of all animal protein consumed worldwide comes from the ocean.
In Asia alone, one billion people rely on fish as their main source of protein. The
Food and Agriculture Organization of the United Nations estimates the total value
to fishers of the world's marine catch at $80 billion per year. The comparable
value of fishes landed by U.S. fishers is $3.5 billion. Fishes and seaweeds provide
important fertilizers and livestock feed. Besides food, marine living resources
provide products including ornamental marine life, raw materials, and medicines.
Marine bioprospecting extracted Arabinosides from the sponge, Tethya crypta,
leading to more than $50 million annual sales in derived antiviral medicines. Just
five drugs developed over the past few years in research funded by Sea Grant
have a market potential estimated at $2 billion annually.
Direct uses also include non-consumptive uses such as ecotourism,
recreation, and research. The economic return from whale watching, SCUBA
diving, and visits to aquariums far exceeds that which could be earned from
consumptive use of the organisms in question. Millions of tourists spend about $2
billion a year in the Florida Keys, with the National Marine Sanctuary and other
marine protected areas providing a major attraction. Without sustainable
management of these nature-based tourist attractions, economic potential can
diminish or be lost entirely.
(continued)
2The system for valuations for marine biodiversity (direct, indirect, option, and non-use values), follows: UNEP 1995. Global
Biodiversity Assessment. Cambridge University Press, Cambridge, U.K. 1140 pp.
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Box 1 (continued)
Indirect use values: Maintenance of intact, healthy ecosystems provides global
and local benefits. Marine ecosystems provide natural goods and services such as
carbon storage; atmospheric gas regulation, particularly by the ocean's
enormously productive phytoplankton; nutrient cycling; and waste treatment.
Coral reefs, mangroves, and kelp forests protect coastal areas from weather and
storms. Marine algae contribute nearly 40 percent of global photosynthesis. In
many cases, indirect use values greatly exceed direct use values, yet they often are
not incorporated into economic calculations. Globally, the indirect use values of
marine ecosystems recently have been estimated at $5.2 trillion per annum for
open ocean ecosystems and $11.7 trillion for coastal ecosystems (Costanza et al.
1997).
Option values: Many components of biodiversity not used, or even recognized
today, may help meet human needs in the future. Technological advances in food
production and Pharmaceuticals rely heavily on the natural genetic diversity of
plants, animals, and microorganisms. Advances in molecular biology have
ensured that the coming century will see an acceleration in the use of genetic
materials. Marine organisms have evolved complex chemical compounds and
processes for defense and predation, or for survival in extreme environments—
such as deep sea hydrothermal vents. These compounds and the underlying
genetic diversity have tremendous potential economic importance that would be
foreclosed by the loss of marine biodiversity.
Non-use values: The sea has been a source of ideas on subjects from past global
climates to the ecology of uncommon species, as well as a source of inspiration:
"The oceans, with their powerful storms, their shimmering palette of colors, and
their varied mysterious sea life, have inspired some of the world's finest painting,
poetry, stories, and music." (Norse 1993) The spiritual, cultural, or aesthetic
regard in which people hold the natural world and its resources and the values
humans place on retaining these systems for future generations are usually not
captured by current market or economic models, but are inextricably linked to
human appreciation of the sea and its inhabitants. This appreciation stimulates the
formation of conservation values and a stewardship ethic.
Yet at the same time that humankind was learning more about the diversity of living
marine resources, it was also learning how to better exploit the marine environment in search of
minerals, food, waste disposal, and transportation. As population increased, demands accelerated
for food, products, and services from the ocean, as did demands for living and recreational space
on its shores.
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In the past, most human activities were seen as separate from the ocean, or of such
insignificance in the face of the sea's vastness that they didn't matter. Pollution was one of the
first human actions to be seen as possibly damaging to the ocean. Huge oil spills in the early
1970s coincided with the emergence of the environmental movement and spurred governments
and the public to focus on pollution from ships. Blowouts from oil rigs off Santa Barbara,
California heightened concern about offshore oil drilling. Also at that time, ships routinely
disposed of wastes overboard, and concern was just beginning about land-based sources of
pollution or the effects of either of these sources on the marine environment. By the 1980s, ocean
dumping was internationally recognized as a problem and agreements were put in place to
control disposal of shipboard waste and intentional dumping. By then, Americans had made the
connection between clean water and healthy coasts. Control of industrial and municipal waste
water discharges into rivers, streams and coastal waters has been regulated in the United States
since the passage of the Clean Water Act in the early 1970s. Dumping of industrial wastes and
sewage sludge into the ocean off U.S. coasts ended in 1988 and 1992, respectively, as a result of
the Ocean Dumping Ban Act of 1988.
As the United Nations and its member nations, including the United States, prepare to
observe the Year of the Ocean, there is both increased awareness of human impacts on living
marine resources as well as good news about how these impacts are being addressed. The good
news is the growing worldwide acceptance of the precautionary approach to marine resource
management. A concept unheard of a decade ago, the precautionary approach states that in the
face of uncertainty, managers and decision makers must err on the side of conservation of living
marine resources and protection of the environment. This is the opposite of earlier resource
management approaches, where the proponent of resource use prevailed until something went
wrong. Representing a radical shift of the burden of proof from those who would conserve
resources to those who would use them, the precautionary approach is now being integrated into
U.S. policy and practice, as well as into many international agreements. And this is occurring
none too soon, since many ocean resources continue to decline in the face of increasing demands
upon them.
The federal government, as steward of U.S. living marine resources in partnership with
the American people, has the opportunity to observe the Year of the Ocean in both a reflective
and forward-looking manner. The Year of the Ocean provides a vehicle to accomplish several
goals including;
• increase public awareness of what is known about the marine environment
• solidify and strengthen federal partnerships and cooperation with stakeholders
• use acquired knowledge to act on behalf of the resources
• use enhanced communication to engage others to act
• expand the knowledge base and the application of the precautionary approach
This paper is intended to provide stakeholders and interested constituents with
information on what is known about the state of living marine resources, how human actions
affect these resources, and what tools resource managers can use to progress from this year's
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observance of the Year of the Ocean to a future wherein the ocean's living resources are used
sustainably. Not only does the Year of the Ocean observance provide an opportunity for federal
managers to communicate to the public and to bridge the gap between perception and today's
best available science, it will provide avenues through which the public and user groups can
participate in the important decisions regarding marine living resources.
THE STATUS AND TRENDS OF LIVING MARINE RESOURCES
Knowledge about marine species and ecosystems lags far behind that of terrestrial
systems. In the last two decades, discoveries in the ocean have been made that have shaken the
foundation of human understanding of what is in the sea. These discoveries have highlighted
how little is still known about the oceans, and have led to greatly increased estimates of overall
marine biodiversity. Recent discoveries have ranged from a new large cetacean—the pygmy
beaked whale (Mesoplodon peruvianus)—first recorded in 1991, to the discovery in 1997 of an
entire new deep-sea ecosystem of eyeless worms living in symbiosis with bacteria that feed on
methane ice in the Gulf of Mexico. Contributing to the improved understanding of the state of
marine life that has been acquired in recent decades have been improved information gathering
techniques, more stringent reporting requirements, advances in technology, cooperation among
states, academia, and other nations, and increased outreach to stakeholders, user groups, and
others.
Yet, as the U.S. government and its partners in marine resource management observe the
Year of the Ocean, it is important that the limitations regarding human understanding of marine
organisms, their habitats, and the factors that affect them be recognized. Notwithstanding the
important strides that have been made, what relatively little is known about the state and trends
of marine living resources is concentrated in the areas of commercially exploited species,
protected marine mammals and turtles, and certain commercially significant and accessible
coastal ecosystems such as wetlands and coral reefs.
Until recently, the oceans were thought to be a limitless source of food and natural
resources, and a limitless sink for human pollution. Trends for living marine resources during the
last few decades, however, have convinced many observers that human activities are reaching
and often exceeding the productive limits and recuperative potential of the ocean. Many fishery
resources are being overexploited, and the ability of many species and ecosystems to recover
from overutilization or excessive pollution is limited. The following section summarizes what is
known about the status and trends of fisheries, protected species, coral reefs, and coastal
wetlands.
Fisheries
Among the best known ocean living resources are wild populations offish and shellfish
that are harvested commercially and used directly and indirectly as human food. Worldwide,
there are 15 to 20 million fishers, 90 percent of whom are small-scale fishers; moreover, fisheries
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provide up to 180 million more jobs in associated sectors (FAO 1993). Recent trends indicate
that both worldwide and in the United States, about one-third of the resources on which these
fishers depend are overfished (Figure 1).
The domestic and global status of many commercial fish stocks reveal a pattern of
declining populations and are increasingly a source of serious concern to scientists, managers,
and policy makers. On a global basis, fishery resource reports by the UN's Food and Agriculture
Organization (FAO) since the early 1990s have highlighted that many of the traditional
commercial stocks are overutilized and thus showing declining yields and productivity. Increases
in total catch from capture fisheries in the last two years consist of low-value pelagic species
taken by a small number of countries, and the harvesting of new deepwater stocks that are
unlikely to support current levels of exploitation. In its latest annual report, FAO has concluded
that 60 percent of commercial stocks are either overfished or fully harvested (Figure 1; FAO
1996).
Since the enactment of the Magnuson Fishery Conservation and Management Act in
1976,3 fisheries in the United States have been managed by a system of eight regional councils,
which develop Fishery Management Plans in accordance with national standards. Under this
system, limits on catches, seasons, areas, and gear have contributed to the conservation of U.S.
fishery resources. Among management successes are Alaska groundfish, where the transition
from foreign fleet to U.S. fleet vessels for harvesting (provided for by the 1976 Magnuson Act)
was made while maintaining the stock, which is the most abundant in the nation. Other
management successes include king and Spanish mackerel, where significant declines in the late
1970s and early 1980s were reversed with a strict rebuilding plan and stocks are no longer
considered overfished. Other successes include management actions that led to the recovery of
stocks of striped bass , and surf and ocean quahogs on the Atlantic coast (Matlock in press). In
all, the Councils have developed 39 management plans covering hundreds of species.
Despite management successes, many fish stocks in the United States are threatened. The
National Marine Fisheries Service's (NMFS) 1997 "Report to Congress on the Status of
Fisheries in the United States" (NMFS 1997) covered 727 marine species under federal
management in the nation's 200-mile offshore exclusive economic zone. Of these 727 species,
sufficient information to determine their fishery status was available for only 279 species, less
than two-fifths of the tptal. Of these, 86 species (31 percent) were listed as "overfished," 183
species (66 percent) were listed as "not overfished," and 10 species (3 percent) were considered
to be approaching an overfished condition (Figure 1). The overfished species included some of
the most valuable commercial fish and shellfish. The basis for the identification of overfished
stocks in the NMFS report was the overfishing definition used in the Fishery Management
Plans, supplemented with information from the 1995 edition of "Our Living Oceans" (NMFS
1996). The Sustainable Fisheries Act of 1996 provided a more scientifically rigorous definition
3 The Sustainable Fisheries Act of 1996 reauthorized and amends the Magnuson Fishery Conservation and Management Act
(which has been renamed the Magnuson Stevens Fishery Conservation and Management Act.)
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of "overfished" and "overfishing." Fishery Management Plans are currently being amended
based on this definition and it is likely that additional stocks will be identified as overfished.
Fig. 1. Status of Fisheries
Fdly Rshed
25%
Overfished
35%
Approaching
CXerfshed
4%
Developing
Rshery
40%
Status of World Fisheries
Based on 200 major fish resources.
Source: FAO 1996.
Not
CXerfshed
CXerfshed
31%
Status of U.S. Fisheries
Based on 279 of 727 federally managed
species for which sufficient data are
available.
Source: NMFS 1997.
Annual U.S. catches have fluctuated between 4.5 and 5.0 million tons since 1990 and the
gross first-sale value.has not varied much from an annual average of $3.5 billion. To put these
quantities and revenues in perspective, the United States is the fifth largest fishing nation, and its
catch represents about 5 percent of world totals.
Internationally, FAO estimates that without major changes in fishery management,
landings will not be able to exceed current levels despite increased demand from growing
populations, and could in fact be reduced by as much as 25 percent (FAO 1996). In recent years,
the fishery sector's contribution to the world's growing food needs has been supported largely by
a booming inland and coastal aquaculture sector. The culture of marine species offers important
opportunities for enhancing global food production and food security. Indeed, aquaculture is the
fastest growing segment of U.S. food production. Without careful planning and oversight,
however, aquaculture in marine and coastal environments can have negative impacts on natural
biodiversity. These impacts include:
• habitat degradation (e.g., intentional destruction of mangroves in shrimp culture or
unintentional negative impacts on benthic communities from the buildup of wastes
under culture pens);
• eutrophication;
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• genetic effects on or competition with native species by non-indigenous cultured
species;
• introduction of disease to natural populations.
Economically important shrimp aquaculture operations in Asia were hit hard by disease in 1996.
The international community has acknowledged the need for sound marine aquaculture practices
so that it remains a sustainable industry with minimal adverse impacts on the surrounding
environment (Allsopp 1997).
Protected Marine Species
In the past, the exploitation or incidental capture of many marine species, along with a
lack of adequate natural resource management policies, led to the decline and even extinction of
many marine species. This process began early—the Steller's sea cow, the largest marine
herbivore known to have occupied America's coastal waters, was hunted to extinction in
1768—and has continued into the second half of the 20th century. Current threats to marine
species remain significant. For example, many West Coast Pacific salmon populations are at risk;
scientists continue to seek answers to declines among some sea turtle, sea lion, seal, and seabird
populations; and the northern right whale is critically endangered with fewer than 300 animals
remaining in the Atlantic Ocean.
Since the enactment of the Marine Mammal Protection Act (MMPA) in 1972 and the
Endangered Species Act (ESA) in 1973, selected marine species, particularly marine mammals,
sea turtles, and salmonids have received greatly enhanced levels of protection in the United
States. Pacific grey whale populations have largely recovered from overexploitation and have
been removed from the endangered species list. However, other species have shown little sign of
recovery despite two decades of protection. Of the 163 marine mammal stocks managed under
the MMPA, there is sufficient long-term population data to describe trends for only about one
third of the stocks. Eight of these are declining, 24 are stable, and 23 are believed to be
increasing (Figure 2; NMFS 1996). i
There were 38 marine species and seabirds listed under the ESA as of December 1997.
Endangered marine species in U.S. waters include the northern right whale, sei whale, sperm
whale, finback whale, bowhead whale, blue whale, humpback whale, Hawaiian monk seal, West
Indian manatee, California least tern, hawksbill sea turtle, leatherback sea turtle, Kemp's ridley
sea turtle, shortnosed sturgeon. Certain populations of Steller sea lions, brown pelicans, roseate
tern, green sea turtles, olive ridley's sea turtles, sockeye salmon, chinook salmon, cutthroat trout,
and steelhead trout are also endangered. Threatened species in U.S. waters include marbled
murrelet, loggerhead sea turtle, Gulf sturgeon. Also threatened are certain populations of coho
salmon, chinook salmon, cutthroat trout, steelhead trout, Steller sea lion, southern sea otter, green
sea turtle, and olive ridley turtle.
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Fig. 2. Status of Marine Mammals and Sea Turtles in U.S. Waters
Marine Mammals
Increasing
N=23
12% stable
Sea Turtles
Insuffid
Data N=129
71%
Insufficient
DataN=4
40%
Increasing
N=2
20%
ible N=2
20%
Source: NMFS 1996
Six species of sea turtles regularly occur in U.S. waters (Figure 2). All are listed as
endangered or threatened under the ESA. The Kemp's ridley sea turtle (Lepidochelys kempt), is
the most endangered species of sea turtle in U.S. waters. After precipitous declines in population
size, it is now showing signs of recovery. In 1947 an estimated 40,000 females nested in one day.
By 1966, only 6,000 nests were documented, and the plummeting population continued to
decline to a low of 702 nests documented in 1985. Among the causes for the decline of this
species were the incidental capture of the species at sea and taking eggs and nesting females from
the primary nesting beach in Mexico. The Mexican government began full protection of the
nesting beach in 1966, and in 1978, the U.S. Fish and Wildlife Service and Mexico's Institute
Nacional de la Pesca began a cooperative program to enhance the recovery of the Kemp's ridley
sea turtle. The National Marine Fisheries Service has provided funding in recent years to
maintain and enhance protection efforts on the nesting beach. In addition, NMFS required that
shrimp trawlers install turtle excluder devices in their nets by the early 1990s. As a result of
increased hatchling production and protection at sea, the turtle population is showing signs of
recovery. More than 2,200 Kemp's ridley nests were documented in 1997. Green sea turtle
populations also appear to be increasing in the U.S. Atlantic and in Hawaii, although there is
great concern about the increasing frequency of fibropapillioma disease in this species (NMFS
1996).
As a result of human activities such as logging, dam building, overgrazing, mining,
urbanization, overfishing, poor hatchery policies, and natural events such as floods, drought and
El Ninos, Pacific salmonids are rapidly disappearing in California, Oregon and Washington.
Since 1990, five stocks have been listed as endangered and seven as threatened under the ESA.4
4 Endangered stocks are the Sacramento River winter run chinook (Oncorhynchus tshawytscha), Snake River sockeye (O.
nerka), Umpqua River cutthroat trout (O. clarki clarki), southern California steelhead (O. mykiss) and the upper Columbia River
steelhe'ad (O. mykiss). There are two chinook stocks, two coho (O. kisutcK) stocks and three steelhead stocks listed as threatened.
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Coastwide reviews of all chinook, sockeye, cutthroat, chum (O. keta) stocks will be completed in
1998. Listing determinations will follow immediately after the status reviews are completed. The
ES A provides strict prohibitions on taking endangered salmonids and provides for the
responsible federal agency to put rules in place that will reduce, or in some instances prohibit,
takes of threatened species as well. The ESA has flexibility that allows both state conservation
plans and Habitat Conservation Plans with private parties to aid in conservation and recovery of
listed species. The Oregon Coastal Salmon Restoration Plan is a positive model for other states
to follow as it provides scientifically based strategies for conservation and couples those
strategies with funding to implement them. The Oregon Plan was developed as a grassroots effort
with stakeholders. Habitat Conservation Plans with large industrial land owners and state
agencies are in place in the west and more are in the development phase.
Coral Reefs
As the world's most biologically diverse marine ecosystems, coral reefs are home to one-
third of all marine fish species and tens of thousands of other species. Recent estimates suggest
that while nearly 100,000 species are known to occur on coral reefs, the number may be
underestimated by a factor often (Reaka-Kudla, 1997) Coral reef areas under U.S. jurisdiction
cover approximately 16,879 square kilometers (NOAA 1998). They are home to approximately
550 coral-dependent species of commercially valuable fishes are under federal management, with
an annual commercial value of nearly $75 million. The value of recreational fisheries is at least
this much (Spurgeon, P.O. 1992, NMFS 1996). Coral reefs provide critical protection to
shorelines and attract SCUBA divers arid other forms of tourism. Despite their importance,
shallow water coral health and cover has declined worldwide over the last two decades. This
decline is directly attributable to human influences, including: siltation from onshore
deforestation and construction, pollution, physical damage, dredging, overfishing and destructive
fishing practices, and other abuses. Although the collection of live corals is largely prohibited in
the United States, a growing international trade in corals and coral reef species is contributing to
the degradation and destruction of coral reef ecosystems worldwide.
Concomitant with increasing human pressures on coral reefs, the last decade has seen an
alarming increase in coral diseases, with growing evidence that susceptibility to disease is in part
linked to human-induced stresses. It has been estimated that 10 percent of the earth's coral reefs
have been degraded beyond recovery, and another 30 percent are likely to decline significantly
within the next 20 years (Jameson et al. 1995). It is difficult to generalize about the condition of
coral reefs in the United States. There is agreement, however, that coral reefs are threatened
wherever they are close to large concentrations of people, and that data are available to evaluate
the status and trends of coral reefs in only a few sites (NOAA 1998). The International Year of
the Reef, 1997, provided impetus to several international reef monitoring programs, such as the
International Coral Reef Initiative's Global Coral Reef Monitoring Network and the all volunteer
ReefCheck. These efforts will serve to greatly increase understanding of the status and outlook
for coral reefs worldwide.
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Coastal Wetlands
If coral reefs represent the most diverse marine communities, coastal wetlands and
estuaries rank among the most productive ecosystems. These ecosystems, including salt marshes,
seagrass beds and mangroves, provide habitat for migrating waterfowl and are associated with
some of the world's greatest fisheries. They also provide critical ecological functions as the
sources of nutrients for nearshore production, as filters for land runoff, and as stabilizers for
coastal lands.
The relationships between wetlands and fish production are an essential and important
part of the ongoing debate on wetland regulation and policy. Although research continues to
increase understanding of wetland ecosystems, the life cycles of most commercial fish and
shellfish species are fairly well understood. Biologists have determined that wetlands play an
important part in providing food, protection, and spawning areas. For example, wetlands are
crucial for shrimp production, and estuarine habitat is critical for salmon. Approximately 75
percent of the nation's commercial fishes and shellfishes depend on estuaries at some stage in
their life cycle. Estuaries themselves depend on their wetlands to maintain water quality and
provide the basis for food chains that culminate in seafood harvests. Many estuarine-dependent
species have even closer ties to wetlands in that they feed, take refuge, or reproduce within them.
Without wetlands, these fishes and shellfishes cannot survive.
Until quite recently, the United States was losing wetlands at an alarming rate. The Clean
Water Act, and other federal environmental laws have been instrumental in decreasing wetland
losses since that time. From 1982-92, the losses totaled 31,000 acres of wetland per year, down
from 157,000 acres per year in 1974-83, and down further from the 398,000 acres per year in
1954.74 (USDA/NRCS 1995). However, despite regulatory programs and natural resource
management plans, human population growth and development continue to yield a net loss of
habitat acreage and function. Coastal population has risen by 40 million people since 1960, and
continues to grow at four times the national average. This challenge will become more acute as
each year marine, estuarine, and riverine fish habitats are further sacrificed to physical
destruction, nonpoint and point discharges, eutrophication, waste dumps, and other human
activities. These losses are complicated by natural changes predicated on geology and climate.
Globally, coastal wetlands are also among the most threatened habitats—mangroves are being
cleared for timber or for shrimp farms, and estuaries are being dredged or polluted.
Summary
Basic assessment and information on status and trends are the fundamental tools
managers of natural resources require. Uncertainty is a reality in marine resource management.
The greater the uncertainty, the more conservative the management must be. Managers rely upon
scientifically based information to reduce the degree of uncertainty. The need for accurate,
timely, and precise scientific information has never been greater. Current knowledge of marine
resources—the threats they face and their condition—is tremendously improved from what it was
20 years ago. However, in the ocean realm, many of the fundamentals are still unknown. Yet,
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what is known indicates that the trend in U.S. waters and worldwide is toward overutilization and
increased damage. The following section describes the threats to marine living resources that
have resulted from the observed trends.
THREATS TO THE SUSTAINABILITY OF LIVING MARINE RESOURCES
The international observance of 1998 as the Year of the Ocean comes at a time when the
earth's living marine resources face unprecedented stress from human activity. As human
population and economic growth increase, particularly in coastal zones, the worldwide trend is
for more pressure on coastal areas, the ocean, and the marine wildlife that inhabit those regions.
Moreover, because marine species do not occur or function in isolation, it is not sufficient to
simply protect marine mammals, manage salmon, etc. Rather, management and conservation
regimes that recognize and take into account the interrelationships of all ocean life must be
developed . However, public perception continues to operate considerably behind the state of the
knowledge of scientists, decision makers, managers, and various other marine-oriented
constituencies about the threats facing the marine environment.
In a landmark report, "Understanding Marine Biodiversity" (NRC 1995) the National
Research Council identified the five most important agents of present and potential threat to
marine biodiversity at the genetic, species, and ecosystem levels. These factors also have been
identified by the Parties to the Convention on Biological Diversity5 as key threats (UNEP/CBD
1995). The five categories are:
1. fisheries' operations;
2. chemical pollution and eutrophication;
3. alteration of the physical habitat;
4. invasions of exotic species; and
5. global climate change.
Fisheries Operations
Until very recently, far more effort has been expended on trying to increase catches of
fish than on developing conservation and management efforts. This was in keeping with the
historic view that the abundance of marine fishes was so vast, and the impacts of fishing so
small, that there was no need to regulate it. In fact, serious management of U. S. marine fisheries
began only 20 years ago. The passage of the Magnuson Fishery Conservation and Management
5 Note: The United States has signed but not yet ratified the Convention on Biological Diversity
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Act in 1976 was the first comprehensive federal legislation to address this subject. It was as
much focused on fishery development as conservation, but at the time, was considered
revolutionary in its scope and vision.
The period from 1885 to 1950 was one of developing marine fisheries and slowly
increasing research in fisheries both in the United States and abroad. Marine fishing regulations
were very few. Catches continued to increase, particularly after World War II, through the
application of newer technology and bigger and faster boats. In the 1970s and 1980s, fleets
expanded at twice the rate of catches, which peaked in 1989, leveled off for a few years, then
climbed again as aresult of large catches of low-value pelagic species (FAO 1997; Figure 3).
Fig. 3. Human Population and Global Fish Production
1958-1995
120 -r-
CO CM tO
IO CO ID
o> o> o>
Note: Production includes aquaculture and fisheries both for human consumption
and for livestock feed. Source: FAO 1996
In the early 1970s, a public constituency developed for the protection of whales, seals,
and dolphins. It exerted tremendous influence on the United States and governments around the
world to halt commercial exploitation of these marine animals. The U.S. Congress enacted the
Endangered Species Act and the Marine Mammal Protection Act in the same era as it addressed
issues of clean water and clean air. During this era of environmentalism, Congress also enacted
the Magnuson Fishery Conservation and Management Act. By the mid-1980s, laws and
regulations governing marine mammals had been revisited and made more stringent, but the
emphasis in fisheries was still in the development mode. This included federal financial
assistance to encourage and promote new fisheries and greater fishing power.
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The constituencies supporting fish conservation have grown tremendously in recent
years. Scientists and managers who had predicted and tried to stop calamities such as the New
England groundfish collapse were joined by environmentalists, who saw the connections
between protecting endangered and threatened marine mammals and fishing operations. The
decline of New England's groundfish fishery finally served as the wake up call—to managers
and fishermen, as well as conservationists—who all pressed for reform in fishery management.
It is now recognized that fishing can and already has had profound effects on marine fish
populations. Underscoring the issue^ the National Research Council reported in 1995 that fishing
activity has affected "... virtually every habitat except the deepest sea floors. Even with
management practices now in place, fisheries have major impacts on ocean environments,
ranging from direct harvest to bycatch effects, habitat destruction, genetic changes and food web
changes" (NRC 1995).
Fishing affects marine living resources both directly and indirectly. The principal direct
impact is taking out more fish than the populations can replace. Indirect impacts include bycatch,
the destruction of habitat, and other ecosystem effects that may accompany fishing activities. The
most visible attention to overfishing focused on international commercial fisheries, such as those
using large-scale driftnets on the high seas, conservation of highly prized fishes that cross
boundaries between or among nations and the high seas (known as straddling and highly
migratory stocks), and the problem of reflagging vessels to avoid conservation measures. Several
accords reached through the UN have addressed these issues. However, destructive overfishing
even occurs in artisanal and small-scale fisheries worldwide, where biomass fishing (using fine-
mesh nets to capture all fish species and age classes), blast fishing, poisoning (with cyanide,
rotenone, bleach, etc.) deplete stocks and destroy habitats.
Direct fishing impacts from overfishing
Although a wide variety of both human-caused and natural factors affect the living
resources of the ocean, the most widely studied and probably best understood is resource
overuse. Under this broad heading, managers generally agree that the immediate pressure points
are overfishing and overcapacity. Overfishing generally refers to harvesting at excessive levels.
The term was defined in the latest Sustainable Fisheries Act amendments to the Magnuson-
Stevens Act as "a rate or level of fishing mortality that jeopardizes the capacity of a fishery to
produce the maximum sustainable yield on a continuing basis." Overcapacity, on the other hand,
refers to excessive levels of catching power, usually measured in terms of the number and size of
vessels, and the power and technical efficiency of the engines and gear. In other words,
overcapacity refers to boats and technology; and overfishing to the impact of the boats and gear
on the target fisheries.
Overfishing and overcapacity reflect fundamental global demographic, economic, and
technological trends. Specifically, continuing population growth, increased economic activity,
the general trend toward more abundant and protein-rich diets, and the evolution offish finding
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and capture technology, all tend to promote operations and investments in the global fisheries
sector. The resulting overfishing and overcapacity has placed major and difficult responsibilities
on governments, especially with respect to management and fisheries enforcement. These trends
are exacerbated by the tendency of many governments to continue to promote fishery
development in the absence of meaningful access controls.
In the United States, the passage of the 1976 Magnuson Fishery Conservation and
Management Act was intended to allow the domestic fishing fleet to replace foreign fishing
within the area between the states' outer territorial sea limits (usually three miles) and 200 miles
seaward the Exclusive Economic Zone. However, the fisheries management system at that time
was not operating under the premise that these resources were threatened by overexploitation. In
the late 1970s to late 1980s, managers did not adequately consider the impact that fishing, albeit
by domestic fishermen rather than foreign vessels, would have on fish stocks. As a result,
domestic fishing capacity increases were generally unconstrained and even encouraged. By the
early 1990s, one objective of the Magnuson Fishery Conservation and Management Act had been
accomplished—foreign fishing was gone. However, a second objective—to stop overfishing—
was far from being met. By the 1990s, the realization that overfishing could occur on a large
scale, and actually had occurred, was reaching an audience beyond the scientific community in
the United States and throughout the world.
In the past two decades, the world's fishing nations have so excessively increased their
efforts that global fishing capacity in the traditional fisheries is estimated to be 30 percent greater
than required to take the world catch (Garcia and Newton 1995). In the United States, it has been
estimated that about one- third of all the fisheries for which sufficient data exist are overfished.
There is no similar calculation for the level of overcapacity in U.S. fisheries, but it is assumed to
be significant. A good example is the halibut fishery in the Gulf of Alaska, which before
regulations were instituted that limited access, saw 8,000 boats vying for the catch quota in two
24-hour marathon fishing derbies.
In summary, overfishing has become a global problem. Evidence indicates that
overfishing and overcapacity exist worldwide:
• in the countries that are developed, traditional fishing powers;
• in resource-rich coastal countries that have tended to overestimate the potential of
these resources and have failed to institute adequate safeguards;
• in countries in transition from centralized to market-based economies where
governments are struggling to reorder investment and economic policies in the
fisheries sector; and
• in developing countries that have promoted their fishery sectors too aggressively, or
where demographic changes have provided incentives for destructive fishing
practices.
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Indirect fishing impacts
The most significant indirect impacts of fishing on marine biodiversity include bycatch,
habitat destruction and ancillary impacts on interacting species or ecosystems (NRC 1995).
Bycatch is the capture and associated mortality of nontarget species or of the mortality of the
target species that are discarded because of size, quality, or other preferences. For example, in the
southeast U.S. shrimp fishery, for every pound of landed shrimp, approximately 4-5 pounds of
non-target species (mostly juvenile fish) are also captured and mostly discarded. The high level
of bycatch in shrimp trawls has contributed to the closure of some commercial fisheries in the
Gulf of Mexico. Bycatch is also a major concern for endangered or threatened species—e.g., sea
turtle bycatch in shrimp fisheries; marine mammal drowning in gillnets; and shark, seabird, and
sea turtle bycatch in longline fisheries. It is estimated that the unregulated longline fisheries for
toothfish hi the Southern Ocean may have contributed to the incidental mortality of 66,000 to
100,000 seabirds in 1997 alone (CCAMLR 1997).
By its very operation, fishing changes the relationships among species in a marine
foodweb. It can change the functioning of a marine system by altering the composition of a
particular marine community—either by simply removing large amounts of all types of
organisms, as in the shrimp example above, or by taking large numbers offish of a certain age or
size from a system. For example, in the Georges Bank/Gulf of Maine fishery, the "bottom fish"
species of cod, hake, flounder, and haddock were severely overfished resulting in their
replacement by commercially less valuable fish species (i.e., skates and dogfish). The ensuing
ecosystem shift may preclude the recovery of the cod fishery, despite a stable but much reduced
biomass for this species.
Marine fisheries may alter or destroy habitats. Fishery practices that can harm habitats
include bottom trawling, blast fishing, and the use offish traps and poisons on coral reefs.
Bottom trawls can be particularly destructive, with impacts on benthic habitats and invertebrate
communities lasting for many years (Jones 1992). Habitat destruction is extensive and may
contribute to the decline offish and other species; yet because the destruction is hidden below the
surface, it is seldom well documented or quantified.
Chemical Pollution and Eutrophication
Land-based sources are estimated to account for more than 75 percent of the pollutants
entering the world's ocean. Human communities daily generate new pollution that further
degrades already diminished ecosystems. Some forms of pollution originate hundreds of miles
inland and are carried to the sea by rivers or through the air. Point sources originate from a
specific place, such as an industrial facility or municipal sewage treatment plant. Non-point
sources originate from dispersed areas, such as agricultural lands (silt, pesticides, fertilizers, and
animal wastes), roadways and other paved surfaces (hydrocarbons), deforested hillsides (silt),
septic tanks, and atmospheric deposition. These sources cause at least as much harm to marine
living resources as do point sources, but are generally much more difficult to address.
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The various land-based sources of pollution affect marine biodiversity in many ways. Soil
erosion and contamination from pesticides and fertilizers all degrade ocean habitats. Chemical
pollution also can cause physiological effects such as increased mortality rates, decreased
growth, impaired reproduction, genetic mutations, tumors, disease, or endocrine disruption.
Pollution can cause physical as well as chemical harm to ocean organisms and their habitats, for
instance, by smothering ocean bottom communities, blocking pathways, entangling animals, or
by changing the level of light availability for photosynthesis. Eutrophication, the process of
organic enrichment, results from excess nutrients from runoff (particularly nitrogen in the coastal
zone). Eutrophication can cause harmful or noxious algal growth, shifts in food chains, oxygen
depletion (anoxia), and other undesirable effects on marine ecosystems. Finally, pollution is
believed to contribute to the observed increase in the occurrence of blooms of unicellular marine
algae, which can cause mass mortalities in a variety of marine organisms and cause illness and
even death in humans who consume contaminated seafood.6
Alterations of Physical Habitat
The health of living marine resources is dependent upon the integrity of their habitat. No
organism can live in isolation; all are dependent upon the health and biodiversity of the
surrounding ecosystem, which provides the necessary ingredients of life. However, human
activities can change, degrade, or destroy these habitats and the biodiversity associated with
them. Habitat degradation is an important factor in the decline of many species, salmon being the
prime example. Moreover, as world population increases, so do demands on the coastal
environment. According to the United Nations, more than half of the world's population lives
within 60 km of the shoreline and this could rise to 75 percent by the year 2020.
Coastal zones contain the planet's most productive marine ecosystems, providing habitats
and essential spawning and nursery areas for the major portion of the commercially and
recreationally important fisheries. Coastal habitats (mangrove swamps, estuaries, wetlands,
seagrass beds, coral reefs, etc.) are fragile, biologically productive, and susceptible to
degradation through human activities. In addition, the living marine resources in coastal wetlands
often serve as efficient filters for land-based contaminants, and coral reefs and wetlands buffer
storm surges and help retard coastal erosion. It is here, where the shore meets the sea, and where
people are most inclined to build, manufacture, and recreate, that the most susceptible and
diverse aspects of marine life exist.
In the United States and worldwide, coastal salt marshes have been destroyed by dredging
and filling, mangroves have been removed for shrimp aquaculture, coastal development has
altered natural patterns of erosion and sedimentation, and mining and dredging have directly
altered habitats for marine species. The effects of development are not limited to the shoreline.
As noted above, trawl-fishing operations are a major cause of underwater habitat destruction.
Similarly, activities such as unsustainable forestry, mining, the diversion of water for agriculture,
6por a more comprehensive discussion of marine pollution, please see the Year of the Ocean Marine Environmental Quality
Discussion Paper.
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and dams or other construction far upstream can alter habitats for anadromous species (those that
spend part of their life at sea, and part in fresh water) and alter sedimentation and water flow
downstream.
Invasions of Exotic Species
A marine scientist noted several years ago that the bottom of San Francisco Bay looked
much like the bottom of Tokyo Harbor. Species that were at home on the opposite side of the
Pacific had moved in and taken over, in some cases pushing out the local fauna. Over 234 exotic
species have been identified in San Francisco Bay and Delta, and exotic species may account up
to 99% of the biomass in some habitats (Cohen and Carlton 1998). The phenomenon, known as
invasions of alien or exotic species, is one of the least known threats to marine biodiversity. Non-
indigenous species are introduced both inadvertently and intentionally. Not all intentional
introductions are harmful. In the marine environment, for example, introductions of oysters and
other shellfish have been the basis of a multi-million dollar aquaculture industry. Yet, these same
introductions have also unintentionally introduced new disease organisms traveling in shipments
of the aquaculture species.
Many introductions of marine organisms occur via the exchange of ballast water in
international shipping. The increase in international trade has greatly increased this pathway for
non-indigenous species introductions. Inadvertent introductions through ballast water have been
implicated in outbreaks of red-tide dinoflagellates in Australia; the invasion of the Black Sea by
the American comb jellyfish with disastrous effects on plankton biomass and the anchovy
fishery; and the invasion of the Great Lakes by Eurasian zebra and quagga mussels that have
caused great economic damage in inland waterways. In most cases, the ecosystem effects of
invasions of exotic species are still unknown.
Global Climate Change
Historically, changes in global climate have significantly altered the ecosystems and
processes of the world's ocean. Today, these natural changes are being joined by alterations to
the earth's atmosphere as a result of human activities. Chief among these are decreases in
stratospheric ozone caused by ozone-depleting substances such as chlorofluorocarbons, and
, global warming caused by increased atmospheric concentrations of so-called greenhouse gases
such as carbon dioxide and methane, which are produced by human activities.
Ozone depletion—particularly in higher latitudes—has resulted in increases of
ultraviolet-B (UV-B) radiation reaching the earth. A number of studies have confirmed that
increased UV-B can damage phytoplankton and zooplankton, the basis for much of the ocean's
enormous productivity. The world community has taken the issue of ozone depletion seriously,
and the Montreal Protocol to the Vienna Convention has set countries on a course to the phase-
out of most classes of ozone-depleting substances.
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The Intergovernmental Panel on Climate Change (IPCC) in its Second Climate Change
Assessment concluded that human influences on the earth's climate were already discernible, and
that the climate is expected to continue to change in the future in response to human influences
(IPCC 1995). IPCC further noted that "Climate change and a rise in sea level or changes in
storms or storm patterns could result in the erosion of shores and associated habitat, increased
salinity of estuaries and freshwater aquifers, altered tidal ranges in rivers and bays, changes in
sediments and nutrient transport, a change in patterns of chemical and microbial contamination in
coastal areas, and increased coastal flooding. Some coastal ecosystems are particularly at risk,
including saltwater marshes, mangrove ecosystems, coastal wetlands, coral reefs, coral atolls,
and river deltas. Changes in these ecosystems would have major negative effects on tourism,
freshwater supplies, fisheries and biodiversity. Such impacts would add to the modifications in
the functioning of coastal ocean and inland waters that already have resulted from pollution,
physical modification and material inputs due to human activities."
Summary
Through research and from the hard lessons of experience, it is now acknowledged that
the ocean is not limitless. It cannot continue to absorb all the garbage, chemical spills, and other
wastes from human activities, nor can it maintain its productivity in the face of ever increasing
harvests of its marine life. It no longer is acceptable to act from the assumption that all is well
until proven otherwise, or until the ocean itself offers proof in declining catches, diminished
productivity, or lingering contamination. The primary threats to marine biodiversity are fisheries
operations, chemical pollution and eutrophication, physical alteration of marine habitats, and
invasions of exotic species. Looming on the horizon is the threat of human-caused climate
change and its potential to aggravate existing problems.
THE U.S. STRATEGY FOR ACHIEVING SUSTAINABLE
LIVING MARINE RESOURCES
The past decade has seen two fundamental changes in the processes for making decisions
about living marine resources: first, adoption of the precautionary, risk averse approach, and
second, the new inclusiveness and openness of resource management decision making. In
addition to these underlying process changes, the information base has been increased, new
technologies have been applied, and a new way of looking at marine wildlife has been
adopted—as ecosystems as opposed to single species.
Using these approaches, the U.S. government, in partnership with public and private
stakeholders, is taking action to address the threats to living marine resources and to ensure the
productivity and promise of these resources for future generations. In particular, the United
States is investing in improved science; taking action to eliminate overfishing; promoting
environmentally sustainable approaches to marine aquaculture; ensuring the health of protected
marine species; and Improving planning and management hi coastal and marine environments.
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In some cases, living marine resources are well on the way to recovery. In other cases, the
policy framework has been set and new policy is just beginning to be implemented. In all cases,
the themes of improved science, the precautionary approach, expanded partnerships, and
application of ecosystem principles will be applied to better management of the nation's living
marine resources.
Science in the Interest of Stewardship
Effective stewardship of ocean living resources requires investment in science to better
understand the components and processes of marine biodiversity. Only through a much better
understanding of marine biodiversity and ecological relationships will it be possible to manage
fisheries and marine aquaculture sustainably, reap the biotechnology benefits of marine genetic
resources, and conserve these critical resources for future generations.
The United States is committed to improving the knowledge base necessary to conserve
and manage the world's marine living resources. In these efforts, the U.S. system of private and
public universities, and state and federally funded research institutions and laboratories, play a
crucial role through worldwide scientific collaborations. In addition, the National Oceanic and
Atmospheric Administration and other federal agencies work in cooperation with state agencies,
the environmental community, Native American tribes, Pacific Islanders, international entities,
non-governmental organizations, the fishing industry, and others in the private sector, to ensure
access to the most recent and comprehensive data available.
Much, however, remains to be done. Most marine biological communities still need to be
characterized, and there are still vast numbers of undescribed species of invertebrates and
bacteria. This represents more than idle scientific curiosity, since economic opportunities in
marine biotechnology will depend on this knowledge. Moreover, as information on multi-
species relationships, ecosystem interactions, and environmental influences become more
available, management approaches can move toward more explicit considerations of the impact
of human activities on all components of the ecosystem. (See Box 2)
In every aspect of the strategic vision of U.S. marine resource management agencies, the
acquisition of sound biological, economic, and social information is highlighted as the first step
to focused policy decision making. Such information is crucial to pursuit of a precautionary
approach to management that focuses decisions rather than allowing scientific uncertainty to fuel
controversy and confusion. This information is required not just for current management
decisions, but also to conserve resources and anticipate future trends, assure future use
opportunities, and assess the success of management efforts.
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Box 2: Research Priorities
The National Research Council (NRC 1995) has identified five
fundamental research objectives to better understand marine living resources.
These objectives are:
• to understand the patterns, processes, and consequences of changing
marine biodiversity by focusing on critical environmental issues and
their threshold effects;
• to improve the linkages between the marine ecological and
oceanographic sciences;
• to strengthen and expand the field of marine taxonomy;
• to facilitate and encourage the incorporation of (1) new technological
advances in sampling and sensing instrumentation, experimental
techniques, and molecular genetic techniques; (2) predictive models for
hypothesis development, testing, and extrapolations; and (3) historical
perspectives in investigations of the patterns, processes and
consequences of marine biodiversity; and
• to use the new understanding of the patterns, processes and
consequences of marine biodiversity derived from regional-scale
research to improve predictions of the impacts of human activities on
the marine environment.
A Precautionary Approach to Building Sustainable Fisheries
The United States has realigned its core marine fishery programs to address more
effectively the domestic and global crisis confronting living ocean resources. To restore
sustainability in this sector, the United States is dedicated to a long-term program of recovery for
overfished fisheries in its own 200-mile Exclusive Economic Zone. It is also working with
foreign governments, international organizations, and regional fishery management bodies to
move toward the same goal in all other waters.
The new strategic direction in U.S. fisheries management is based upon the Sustainable
Fisheries Act of 1996 (also known as the Magnuson-Stevens Fishery Conservation and
Management Act). While not explicitly stated in the Act, the precautionary approach concept
shapes the core of mandated actions to reverse the decline of U.S. fisheries and move toward
rebuilding them.
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Toward these ends, Congress has provided directives and discretionary means to:
1. Establish guidelines to assist in the description and identification of "essential fish
habitat" and impacts on that habitat, and to take steps to ensure that programs further
the conservation and enhancement of that habitat
2. To the extent practicable, avoid bycatch, and to the extent that such by catch cannot be
avoided, minimize the mortality of such bycatch
3. Place stricter conditions on the use of new fishing gear
4. Apply measures that will eliminate overfishing in domestic waters and
identify management actions to rebuild those fisheries within ten years (except in
cases where the biology of the fish, other environmental conditions, or specific
international agreements dictate otherwise)
5. Study and, if appropriate, implement a fishing capacity reduction program
The Sustainable Fisheries Act includes U.S. commitments to apply domestically many of
the same principles that have been negotiated internationally in the U.N. Straddling Stocks
Agreement and the Code of Responsible Fishing. The Act now requires the optimum yield for
each fishery to be set equal to or less than the maximum sustainable yield. Overfishing is now
defined in the law, and managers have explicit time frames and milestones for identifying
overfished fisheries and getting them on the road to recovery. The Act also directs that
recommendations be developed to expand the application of ecosystem principles in fishery
conservation and management activities.
The Sustainable Fisheries Act has set the stage for turning the product of a failed fisheries
management system into healthy, productive, and sustainable fisheries in the very near future.
The fundamental changes in the approach to management have begun, and some successes have
already been witnessed.
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Box 3: International Sustainable Fisheries Initiatives
For centuries, customary international law and practice have been mare
liberum, freedom of the sea. It was customary that anyone possessing the
wherewithal to ply the seas and cast nets was free to fish. Further, it was assumed
that anyone wishing to impose any restrictions on fishing (or other activity) on the
seas bore the burden of proof to show that the activity was harmful before any
limitations were necessary. Moreover, the only persons permitted access to the
arenas where decisions about marine wildlife were made were government
officials and user groups. Over time, these two presumptions have shifted, most
recently and most thoroughly in an international agreement about ocean fishing.
The United States has been a leader in promoting international agreements
and initiatives that shift the focus from increasing catches at all costs to
sustainable fishing, ecosystem protection, conservation of biodiversity, and the
precautionary approach to fishery management. These agreements include:
• The 1982 U.N. Convention on the Law of the Sea contains a
comprehensive menu of dispute settlement procedures. Universal
acceptance of the Convention (including accession to the Convention
by the United States) would provide additional tools to deal promptly
and constructively with disputes involving fisheries management.
• The Agreement for the Implementation of the Provisions of the United
Nations Convention on the Law of the Sea Relating to the Conservation
and Management of Straddling Fish Stocks and Highly Migratory Fish
Stocks has been heralded as a "sea change" in international fisheries
law (Freestone 1997). The UN Agreement on Straddling Stocks has
been held up as a measure against which effective fishery management
regimes should be measured. In addition to its precautionary provisions,
the Agreement calls for collection and use of best available scientific
information, and directs signing nations to conduct their fishery
business hi open, accessible "transparent" forums where interested
parties can observe and participate.
(continued)
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Box 3 (continued)
The 1994 Agreement to Promote Compliance with International
Conservation and Management Measures by Fishing Vessels on the
High Seas requires flag states to strictly regulate the activities of their
high seas fishing vessels.
The 1995 UN FAO Code of Conduct for Responsible Fisheries, is a
nonbinding document that details the full range of principles that
undergird sustainable (responsible) fisheries management.
Subsequently, NMFS produced a plan in 1997 to implement these
principles in domestic fisheries.
The United Nations adopted a global moratorium on the use of large-
scale pelagic driftnets on the high seas which took effect in 1992. The
United States has played a lead role in the detection, apprehension, and
prosecution of fishing vessels violating the UN moratorium on large-
scale pelagic driftnets.
The United States is participating more actively in various regional
management bodies, particularly those dealing with North Atlantic and
North Pacific issues, and is a strong supporter of a recently initiated
effort to launch a new management organization for the tuna fisheries
of the Western Pacific.
' The United States is also promoting international efforts to reduce
fishery impacts on dolphins, sea turtles, sharks, and seabirds.
• Finally, the United States is supporting initiatives designed to enhance
conservation and improve the sustainability of fisheries through a
number of international organizations and agreements, including FAO,
the UN Commission for Sustainable Development, the World Trade
Organization, the Organization for Economic Cooperation and
Development, Asia Pacific Economic Cooperation, the Convention on
International Trade in Endangered Species of Wild Fauna and Flora,
and the Convention on Biological Diversity.7
7Note: The United States has signed but not yet ratified the Convention on Biological Diversity
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The depletion of the world's fish stocks and the impact of fisheries activities on
biodiversity and fishery ecosystems are a global problem and have attracted international
attention in recent years. In partnership with other nations, the United States has embarked on a
series of initiatives designed to improve the management of fisheries that are not restricted to one
coastal nation's Exclusive Economic Zone and explore ways of dealing more effectively with the
effects of environmentally harmful practices and economic incentives in the fisheries sector. (See
Box 3)
Developing Robust and Environmentally Sound Marine Aquaculture
World population is expected to increase by one billion people during the next decade.
This, coupled with the increasing affluence of the world's people, means that future demand for
seafood is projected to continue growing for the foreseeable future. Despite this increase in
demand, future seafood harvests from the wild are not expected to increase significantly above
the current levels.
A major junction in world history is fast approaching—one where humans for the first
time will need to move from increased harvesting of wild fish stocks to aquaculture (the
production of farmed crops of fishes, shellfishes and other aquatic plants and animals). This shift
will be the next in a series of historical food production revolutions that have allowed humankind
to continue feeding itself despite shrinking farmland and growing population worldwide.
Aquaculture already accounts for 25 percent of world food fish supplies, with China,
India, Taiwan, and Thailand among the leaders in this field. Given current population
projections, aquaculture production would have to double to 52 million metric tons by 2025 in
order to maintain the present level of per-capita fish consumption. The potential for growth in
mis industry is obvious. The United States currently produces only about $800 million of the $33
billion annual value worldwide of aquaculture products, or less than 3 percent of the total.
Aquaculture in marine and brackish water holds particular promise for increased growth.
Legitimate concern about the negative environmental effects of some aquaculture
operations has hindered industry growth in the United States. Addressing these concerns and
developing new environment-friendly technologies will allow the industry to expand. Two
examples of new technologies that address water quality issues associated with aquaculture are:
(1) the development of ways to move aquaculture to the open ocean where the water has a greater
nutrient carrying capacity, and (2) using onshore recirculating systems. These technologies can
be a model for other nations to use to reduce the negative environmental impacts of aquaculture.
Additionally, uniform observance of an international code of conduct, such as the aquaculture
provisions of the FAO Code of Conduct for Responsible Fisheries, will help to minimize future
negative impacts on the environment.
Whether aquaculture is done in ponds or tanks on land, or in the ocean, it always depends
on the availability of clean water and a source of broodstock (frequently from wild stocks). Many
aquaculture operations also depend on wild-caught fish for feed. At the same time, aquaculture
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can contribute to the restoration of fisheries through stock enhancement and by reducing pressure
on wild-stock harvest. This interaction between aquaculture and fisheries suggests that a holistic
fisheries management approach to the marine environment should include both components.
The goal of U.S. ocean programs should be to maximize the benefits from the nation's
ocean resources that are received by U.S. citizens. This goal includes sustainable fisheries in the
context of a healthy coastal and ocean environment. Marine aquaculture can begin to fulfill its
potential to help achieve these goals through a dynamic effort by the federal government in
cooperation with other state and local governments and the private sector to promote and refine
it.
Enhancing the Protection and Recovery of Marine Species by Working in Partnerships
Protected marine species in the United States include marine mammals and species listed
under the Endangered Species Act. Many of the direct threats to protected marine species arise
from human activities such as fishing, shipping, coastal and watershed development, water
pollution, seismic exploration, and offshore mineral development. Reducing conflicts between
these species and human activities in the marine environment is the key to their conservation and
recovery. In addition, some marine mammals may cause harm to other protected marine species,
such as salmon, or interfere with fishing or aquaculture operations. All these conflicts require
more "people management" than "wildlife management." Years of regulatory approaches have
not been completely successful in reducing human-caused mortality and injury to protected
species. A number of federal programs and policies now recognize the value of involving local
stakeholders in decision making and implementation of management actions. Natural resource
managers have begun employing new stakeholder models to gather information, assess problems,
and find the technology or ingenuity to solve them.
Under the Marine Mammal Protection Act of 1972 and the Endangered Species Act of
1973, the National Marine Fisheries Service has been working with fishermen to identify means
to reduce interactions with marine mammals during fishing operations, restore habitats for
endangered salmon in the Pacific Northwest and California, develop conservation plans to
restore coho salmon, and reduce the entanglement of albatrosses in longline fishing gear in the
North Pacific. Similar efforts to engage user groups in helping to solve protected species
problems is one strategy for recovering protected species and incorporates the new goal of
openness or transparency in marine resource decision making.
In addition, the United States is working to:
• Assess the status of, and impacts to, protected species. Information is needed to
identify and focus management actions, limit the scope of restrictions, and promote
the recovery of all protected species.
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• Develop and implement conservation and recovery plans for depleted marine
mammals and endangered and threatened species. This is being done in partnership
with states and the private sector.
As knowledge about the interconnectedness of living systems increases, the importance
of acting with foresight and preventive measures when conserving protected marine species
likewise increases. Waiting for a species to reach the brink of extinction before taking action is
counterproductive. By applying ecosystem approaches, conserving remaining critical habitats,
and restoring degraded habitats, the opportunity exists to conserve for future generations both
individual species and the web of life on which they depend.
The United States is also working internationally to conserve marine species. The
International Whaling Commission, through its ban on commercial whaling, has been
instrumental in promoting the recovery of many large whale species from the brink of extinction.
The Convention on International Trade in Endangered Species of Wild Fauna and Flora actively
supports nations' efforts to manage species sustainably and reduce the negative impacts of
international trade in species and products of species. Increasingly, the Convention has devoted
attention to marine species protection. The United States has also been a leading force in the
development of numerous other treaties and agreements. For example, it played a key role in the
recently concluded negotiation of the Inter-American Convention for the Protection and
Conservation of Sea Turtles,8 the first international agreement devoted solely to the protection of
sea turtles. The Convention establishes national sea turtle conservation programs in the signatory
countries. These programs will include prohibiting intentional take (except for subsistence take
as allowed under the convention), prohibiting domestic or international sale of turtle parts or
products, conserving and restoring marine habitat and nesting beaches, and promoting efforts to
enhance sea turtle populations. All Parties will establish a monitoring and observation program
to verify that these measures are being applied.
Sustaining Healthy Coasts by Focusing on Whole Ecosystems
Clearly, efforts to rebuild and sustain fisheries and recover and protect endangered
species are important. But they rely to a large degree on traditional wildlife management
approaches that concentrate on one species at a time. Single species management is limited in its
effectiveness, especially as pressures on the marine environment intensify. Each individual
species has a habitat which it needs to live and reproduce, and depends on a community of other
species for food and survival. This community of species-their dynamic interactions with each
other and the physical environment, and their overlapping mosaic of habitats-together constitute
an ecosystem. Increasingly, the United States and the world community are recognizing the
critical Importance of conserving whole habitats and communities, both for the recovery of
individual species, and for the ecosystem functions that they provide. Internationally, the
e: The United States has not yet ratified the newly completed Inter-American Convention for the Protection and
Conservation of Sea Turtles.
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Convention on Biological Diversity exemplifies this approach, as does the FAO Code of
Conduct for Responsible Fisheries.
The importance of habitat conservation has always has been a part of the Marine
Mammal Protection Act and the Endangered Species Act, and it has gained increased emphasis
in fisheries with passage of the Sustainable Fisheries Act in 1996. The Sustainable Fisheries Act
has provided significant new tools to protect and conserve the habitat of marine, estuarine, and
anadromous fish and shellfish resources. By October 1998, all Fishery Management Plans must
be amended to identify and describe "essential fish habitat"—defined as those waters and
substrate necessary to fishes for spawning, breeding, feeding, or growth to maturity—for each
federally managed species. The Act also includes new provisions to ensure the conservation and
management of essential fish habitats once these areas are designated. Fishery Management
Plans must include measures to minimize to the extent practicable adverse fishing and non-
fishing related effects on essential fish habitats. In addition, federal agencies that authorize, fund,
or undertake actions that may adversely affect these habitats must consult with the National
Marine Fisheries Service to evaluate the effects of their actions on the habitat and the associated
life stages of the fisheries involved. These new policies represent an important application of the
precautionary approach to fisheries and environmental management.
Just as the sources, types, and routes by which land-based pollution affect species and
ecosystems are complex, so are the mitigating measures. The human side of the equation is an
equally complex, dynamic web of interrelationships among human institutions, societal and
economic demands for products and services, and natural resources. Society's demands from a
coastal area can exceed the area's capacity to meet the combined demands simultaneously. For
that reason it can be difficult to maintain an area's long-term environmental integrity, which is
critical to marine biodiversity. The management system that attempts to achieve this balance
must be flexible and adaptable, and must be capable of responding to dynamic changes over
time.
As a process for decision making, integrated marine and coastal area management aims to
prevent, control, or mitigate adverse impacts of human activities on the coastal environment. It
involves all stakeholders, including decision makers in public and private sectors, resource
managers, non-governmental organizations, land users, and the general public. A central feature
is the use of economic incentives. These are often more effective at changing human behavior,
and can be more politically feasible. They also can be more effective in terms of results and
cheaper to manage and enforce than the use of restrictive regulations.
Marine protected areas, as part of a larger integrated area management scheme, provide
one of the most effective mechanisms for conserving marine living resources and the habitats on
which they depend. Marine protected areas can:
• be a valuable management tool to protect areas that are repositories for marine
biodiversity;
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• protect unique and/or ecologically significant resources;
• provide a living "laboratory" against which to test the effectiveness of management
measures;
• enrich and form a critical link among nations' food supplies;
• attract revenue-generating tourism activities; and
• provide potential future benefits from marine biotechnology development.
Marine protected areas provide one key tool for the protection, conservation, and restoration of
coastal and marine habitats (and their biodiversity) in which multiple uses and demands can be
balanced.
The United States has been a leader in establishing areas within its maritime jurisdiction
designed to protect and conserve the biological resources of its marine and coastal regions. The
National Marine Sanctuary Program was established under legislation because "this Nation
historically has recognized the importance of protecting special areas of its public domain"
(Marine Protection, Research, and Sanctuaries Act of 1972). Under this legislation, the Sanctuary
Program identifies, designates, and manages areas of national significance with respect to
conservation, research, recreational, ecological, historical, educational, or aesthetic qualities. The
program administers 12 sites nationally, with two more in development. The primary goal of the
National Marine Sanctuaries is to protect biodiversity, biological productivity, cultural resources,
and areas of pristine condition. In addition, a number of national parks, seashores, and
monuments throughout U.S. coastal regions are administered by the National Park Service, and
even more areas are managed by the states. In the Caribbean region, the United States has
worked toward the adoption of the Specially Protected Areas of Wildlife Protocol,9 which
promotes the concept of protected areas within the region. The concepts applied by the U.S. Man
and the Biosphere in the Biosphere Reserve Program offer an ideal setting for coordination,
cooperation, and interdisciplinary research in fostering harmonious relationships between
humans and the biosphere.
The 1987 amendments to the Clean Water Act have also served to enhance marine
species protection efforts through the establishment of the National Estuary Program. Unlike
traditional regulatory approaches, the National Estuary Program focuses on protecting not just
water quality or individual species, but whole ecosystems. It also engages local communities in
protecting estuaries and the species that inhabit them, and requires stakeholders to create a
comprehensive conservation and management plan for long-term protection of these resources.
Currently, 28 National Estuary Programs are working to safeguard the health of some of the
nation's most important coastal waters. A second program, the National Estuarine Research
^The United States has not yet ratified the SPAW Protocol.
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Reserve System, provides for the cooperative management, with states, of estuarine areas
representing various regions and estuarine types in the United States.
The United States has also begun to address the threat of exotic invasive species in the
marine environment, through interagency and international initiatives. The Non-indigenous
Aquatic Nuisance Prevention and Control Act of 1990 established an interagency Aquatic
Nuisance Species Task Force. This effort has begun to document the extent of the problem,
develop management approaches and provide public outreach. Ballast water discharge from ships
appears to be the major vector of aquatic invasions. Internationally, the United States has joined
with other nations in promoting measures to control the spread of non-indigenous organisms
through the regulation of ships' ballast water through International Maritime Organization
(IMO), a specialized agency of the United Nations that addresses issues involving international
shipping matters.
Integrated marine and coastal area management will also play a critical role in U.S.
adaptation to global climate change. While the essential step to protect marine living
resources—and the first responsibility of nations—is to reduce greenhouse gas emissions that are
generated by humans and contribute to global warming, some level of adaptation to a changing
climate will be necessary. Integrated planning efforts will help to protect the huge economic
investments in coastal zones, while beginning to take into account the interactions with critical
marine ecosystems.
CONCLUSIONS AND OPTIONS FOR CONSIDERATION
Ocean living resources, the ecosystems they form, and the ecological processes they
mediate, provide immense benefits to the United States and to all of human society. Increasingly,
however, these resources and their benefits are threatened by human activities. Fishing, waste
disposal and runoff, coastal development, and invasions of exotic species have led to worldwide
declines in marine species and the integrity of marine ecosystems, particularly coastal
ecosystems. Global climate change caused by human activity has the potential to further
exacerbate this situation.
The United States is committed to addressing these threats in order to ensure the long-
term sustainability of living marine resources and the benefits they represent. Evidence already
shows that U.S. management and conservation practices are paying dividends in healthier
resources. Continued improvement will require enhanced domestic action and international
cooperation to:
• Expand understanding of marine genetic resources, species, ecosystems, and their
functions and processes
• Address the direct and indirect impacts of fishing operations and introduce ecosystem
approaches to management to ensure sustainability of the resources
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• Develop environmentally sustainable marine aquaculture to meet growing demands
for food
• Provide enhanced protection for species and habitats at risk
« Implement integrated marine and coastal area management to protect coastal and
nearshore marine living resources
« Address the problems of the introduction and spread of non-indigenous invasive
species
Against the backdrop of recent reform of the underlying fishery management law in the
United States and increased national and international awareness of the value and threats to
ocean resources, managers are charting the future and planning strategies for sustaining marine
biodiversity. The critical elements at the heart of this new strategic vision are improvements in
science; use of the precautionary approach in fisheries and environmental management;
developing cooperative partnerships with users of marine resources and other stakeholders; and
exploiting the full potential of ecosystem-based management. Human knowledge and approaches
to life beneath the sea have come far in the past 20 years, and international observance of the
Year of the Ocean provides an excellent focal point for a renewed commitment to better
management in the next 20 years.
REFERENCES
Allsopp, W., 1997. World Aquaculture Review: Performance and Perspectives. Pages 153-166 in
E.L. Pikitch, D.D. Huppert, and M.P. Sissenwine, editors. Global trends: fisheries management.
American Fisheries Society Symposium 20, Bethesda, Maryland.
Costanza, R., d'Arge, R., de Groot, R., Farber, S., Grasso, M., Hannon, B., Limburg, K., Naeem,
S., O'Niell, R.V., Paruelo, J., Raskin, R.G., Sutton, P., and van den Belt, M. 1997. The value of
the world's ecosystem services and natural capital. Nature, 387: 253-260.
CCAMLR 1997. Report of the 16th Annual Meeting of the Commission and Scientific
Committee for the Conservation of Antarctic Marine Living Resources.
Cohen, A. and Carlton, J. 1998. Accelerating invasion rate in a highly invaded estuary. Science
279:555-558.
FAO, 1993. Fisheries Series No.40 Fisheries Statistics Series No. 111. Food and Agriculture
Organization (United Nations).
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FAO 1996. State of the World Fishery and Aquaculture. FAO Fisheries Circular. Food and
Agriculture Organization (United Nations).
FAO 1997. FAO Marine Resources Service, Fishery Resources Division. 1997. Review of the
state of world fishery resources: marine fisheries. FAO Fisheries Circular. No. 920. Rome FAO
173 pp.
Freestone, D.. 1997. "International Fisheries Law: Who is Leading Whom?" The Magnuson
Stevens Act: Sustainable Fisheries for the 21st Century? Tulane Law School Symposium, Sept.
7-9, New Orleans, LA
Garcia, S.M. and Newton, C. 1995. Current Situation, trends and prospects in world capture
fisheries. FAO Conference on Fisheries Management and Global Trends. Rome, FAO.
IPCC, 1995. Climate Change 1995: IPCC Second Assessment Report. Intergovernmental Panel
on Climate Change.
Jameson, S.C., McManus J.W., and Spaulding, M.D. 1995. State of the Reefs: Regional and
Global Perspectives. NOAA Publication.
Jones, J.B. 1992. Environmental impact of trawling on the seabed: a review. N.Z. J. Mar. Fresh.
Res. 26:59-67.
Matlock, G.C. (in press). Management history - management future. Paper presented at: The
Magnuson-Stevens Act: Sustainable Fisheries for the 21st Century. September 1997. Tulane Law
School, New Orleans, LA.
The Mellman Group. 1997. U.S. Poll - Majority of Americans Say that Oceans Should be
Priority over Space Exploration. Report for SeaWeb Marine Conservation Initiative, a project of
the Pew Charitable Trusts, December 1997.
NMFS. 1996. Our Living Oceans: Report on the Status of the U.S. Living Marine Resources,
1995. U.S. Dept. Commerce, NOAA Tech. Memo. NMFS-F/SPO-19, 160 pp.
NMFS. 1997. Report to Congress on the Status of Fisheries in the United States, September
1997.
NOAA 1998 (on-line). "The extent and condition of U.S. coral reefs" by S.L. Miller and M.P.
Crosby. NOAA's State of the Coast Report. Silver Spring, MD: National Oceanic and
Atmospheric Administration. URL: http://state of coast.noaa.gov
Norse, E., Ed. 1993. Global Marine Biological Diversity: A Strategy for Building Conservation
into Decision Making. Island Press, Washington, D.C., 384 pp.
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NRC. 1995. Understanding Marine Biodiversity: A Research Agenda for the Nation. National
Academy Press; Washington D.C. 114 pp.
Reaka-Kudla, M.L. 1997. The global biodiversity of coral reefs: A comparison with rain forests.
In: Reaka-Kudla, M.L, D.E. Wilson, and E.G. Wilson (eds.) Biodiversity II: Understanding and
Protecting our Biological Resources. Washington, D.C., John Henry Press. 551 pp.
Spurgeon, P.O. 1992. The economic valuation of coral reefs. Marine Pollution Bulletin, 24:11,
pp. 529- 536. Also, Our Living Oceans: The Economic Valuation of U.S. Fisheries. 1996.
NOAA Technical Memorandum.
UNEP/CBD. 1995. The Jakarta Mandate on Marine and Coastal Biological Diversity; Decisions
of the Second meeting of the Conference of the Parties to the Convention on Biological
Diversity. Jakarta, Indonesia, 6-17 November 1995. United Nations Environment Programme.
UNEP. 1995. Global Biodiversity Assessment. United Nations Environment Programme.
Cambridge University Press, Cambridge, U.K. 1140 pp.
USDA/NRCS 1995. National Resources Inventory Summary. U.S. Department of Agriculture.
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DOMESTIC LEGAL REGIME
Contents
Anadromous Fish Conservation Act (16 U.S.C. §§ 757a-757g)
Antarctic Conservation Act of 1978 (16 U.S.C. §§ 2401-2412)
Antarctic Marine Living Resources Convention Act of 1984 (16 U.S.C. §§ 2431-2444)
Atlantic Coastal Fisheries Cooperative Management Act (16 U.S.C. § 5101)
Atlantic Tunas Convention Act of 1975 (16 U.S.C. §§ 971-9711)
Atlantic Salmon Convention Act of 1982 (16 U.S.C. §§ 3601-3608)
Atlantic Striped Bass Conservation Act (16 U.S.C. § 1851 note)
Central, Western, and South Pacific Fisheries Development Act (16 U.S.C. §§ 758e-758e-5)
Control of "Crown of Thorns" Seastar (16 U.S.C. §§ 1211-1213)
Control or Elimination of Jellyfish or Sea Nettles (16 U.S.C. §§ 1201-1205)
Driftnet Impact Monitoring, Assessment and Control Act (16 U.S.C. § 1826)
Eastern Pacific Tuna Licensing Act of 1984 (16 U.S.C. §§ 972-972h)
Endangered Species Act of 1973 (ESA) (16 U.S.C. §§ 1531-1543)
Fur Seal Act Amendments of 1983 (16 U.S.C. §§ 1151-1175)
Fish and Wildlife Act of 1956 and associated provisions (16 U.S.C. §§ 742a-742d, 742e-742j
742k, 744-748, 750-753, 753a-753b, 754, 758-758d, 760a-760g)
Fish and Wildlife Coordination Act (16 U.S.C. §§ 661-666c)
Indian Treaty Rights to Hunt and Fish
Lacey Act Amendments of 1981 (16 U.S.C. §§ 3371-3378)
Magnuson-Stevens Fishery Conservation and Management Act (16 U.S.C. §§ 1801-1883)
Marine Mammal Protection Act of 1972 (16 U.S.C. §§ 1361-1407)
Migratory Bird Treaty Act (16 U.S.C. §§ 703-715s)
The National Aquaculture Act of 1980 (16 U.S.C. §§ 2801-2810)
The National Fishing Enhancement Act of 1984 (16 U.S.C. § 1220, 33 U.S.C. §§ 2101 et
sea.)
National Marine Sanctuaries Act (16 U.S.C. §§1431 et seq.)
Northern Pacific Halibut Act of 1982 (16 U.S.C. §§ 773-773k)
Pacific Salmon Treaty Act of 1985 (16 U.S.C. §§ 3631-3644)
South Pacific Tuna Act of 1988 (16 U.S.C. §§ 973-973r)
Sponge Act (16 U.S.C. §§ 781-785)
Tuna Conventions Act of 1950 (16 U.S.C. §§ 951-991)
Whaling Convention Act of 1949 (16 U.S.C. §§ 916 - 9161)
The legal regime covering this topic is based on a collection of important federal statutory
authorities. The following is a brief description of some of those authorities relating to ocean living
resources. The list is selective and is designed to illustrate some major ocean living resources acts.
The list is not meant to be comprehensive.
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Anadromous Fish Conservation Act 16U.S.C. §§ 757a-757g
The Anadromous Fish Conservation Act provides authority to enter into cooperative agreements to
conserve, develop and enhance anadromous fish resources, including conducting research and
investigations, stream clearances, constructing and maintaining devices to assist with feeding,
spawning and migration. The Act authorizes the Secretary of the Interior to enter into cooperative
agreements with one or more States for the purpose of conserving, developing and enhancing
anadromous fish resources and the fish in the Great Lakes and Lake Champlain that ascend streams
to spawn.
Antarctic Conservation Act of 1978,16 U.S.C. §§ 2401-2412
The purpose of the Antarctic Conservation Act of 1978 is to provide for the conservation and
protection of the fauna and flora of Antarctica, and of the ecosystem upon which such fauna and
flora depend, consistent with the Antarctic Treaty, signed in Washington on December 1, 1959, and
the Protocol on Environmental Protection to the Antarctic Treaty, signed October 4,1991, in
Madrid.
Antarctic Marine Living Resources Convention Act of 1984,16 U.S.C. §§ 2431-2444
The Act provides the domestic legislative authority necessary to implement the Convention on the
Conservation of Antarctic Marine Living Resources. In order to fulfill its purpose, the Act prohibits
activities that harass, molest, harm, wound, or kill finfish, mollusks, crustaceans, birds, or any other
species of living organism found south of the Antarctic Convergence. The transportation, sale,
importation, exportation, custody, or possession of any of these species by a person who knew or
reasonably should have known that the species were taken in violation of the Convention is also
illegal. The Secretary of Commerce is responsible for promulgating regulations to implement this
Act and for enforcing its statutory prohibitions. Both civil and criminal penalties, as well as seizure
and forfeiture remedies, are available under this statute.
Atlantic Coastal Fisheries Cooperative Management Act 16 U.S.C. § 5101
The purpose of the Atlantic Coastal Fisheries Cooperative Management Act is to support and
encourage the development, implementation, and enforcement of effective interstate conservation
and management of Atlantic coastal fishery resources. The Secretary of Commerce, in cooperation
with the Secretary of the Interior, is responsible for developing and implementing a program to
support the interstate fishery management efforts of the Atlantic States Marine Fisheries
Commission. The Atlantic States Marine Fisheries Commission is responsible for preparing and
adopting a coastal fishery management plan to provide for the conservation of coastal fishery
resources. States are required to implement and enforce the plan. If the Secretary of Commerce
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finds that a state has failed to carry out its responsibilities, the Secretary must declare a moratorium
on fishing in the fishery in question within the waters of the noncomplying state.
Atlantic Tunas Convention Act of 1975, 16 U.S.C. §§ 971-9711
The Atlantic Tunas Convention Act of 1975 implements the International Convention for the
Conservation of Atlantic Tunas, signed at Rio de Janeiro May 14, 1966. The Act authorizes not
more than three Commissioners to serve as U.S. delegates to the International Commission for the
Conservation of Atlantic Tunas. The Secretary of State is authorized to act on behalf of the United
States with respect to Commission activities, with the concurrence of the Secretary of Commerce
and the Secretary of the department in which the Coast Guard is operating, when appropriate. The
Secretary of Commerce is authorized to administer and enforce the Convention, and to promulgate
necessary and appropriate regulations. The Secretary of the department in which the Coast Guard is
operating is primarily responsible for enforcement activities at sea. The Act also provides for
enforcement of the Act and its implementing regulations.
Atlantic Salmon Convention Act of 1982.16 U.S.C. §§ 3601-3608
The Atlantic Salmon Convention Act of 1982 implements the Convention for the Conservation of
Salmon in the North Atlantic Ocean, signed at Reykjavik, Iceland, on March 2,1982. The United
States is represented on the Council established by the Convention by three United States
Commissioners. The Secretary of State may receive and act upon communications of the North
Atlantic Salmon Conservation Organization. The Secretary of Commerce, in cooperation with the
Secretary of the Interior and the Secretary of the department in which the Coast Guard is operating,
promulgates regulations necessary to carry out the purposes and objectives of the Convention and
the Act and prepares statements, reports and notifications required by the Convention. The Act
provides for enforcement of the Act and its implementing regulations.
Atlantic Striped Bass Conservation Act 16 U.S.C. § 1851 note
The Atlantic Striped Bass Conservation Act is intended "to support and encourage the
development, implementation, and enforcement of effective interstate action regarding the
conservation and management of the Atlantic striped bass." Each year, the Atlantic States Marine
Fisheries Commission determines whether coastal states are in compliance with the Interstate
Fisheries Management Plan for Striped Bass. If a coastal state is not in compliance with the Plan,
the Secretary of Commerce and the Secretary of the Interior must declare a moratorium on fishing
for Atlantic striped bass within the coastal waters of that coastal state.
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Central. Western, and South Pacific Fisheries Development Act, 16 U.S.C. §§ 758e-758e-5
The Central, Western, and South Pacific Fisheries Development Act authorizes the Secretary of
Commerce to carry out a program for the development of the tuna and other latent fisheries
resources of the Central, Western, and South Pacific Ocean.
Control of "Crown of Thorns" Seastar. 16 U.S.C. §§ 1211-1213
The Secretary of Commerce and the Secretary of the Smithsonian Institution are authorized to
cooperate with and provide assistance to the governments of the State of Hawaii, the territories and
possessions of the United States, the Trust Territory of the Pacific Island, and the other island
possessions of the United States, in the study and control of the seastar "Crown of Thorns"
(Acanthaster planci).
Control or Elimination of Jellyfish or Sea Nettles. 16 U.S.C. §§ 1201-1205
The Secretary of Commerce is authorized to cooperate with, and provide assistance to, the states in
controlling and eliminating jellyfish and other pests and in conducting research for the purposes of
controlling floating seaweed. The Congress also consents to any compact or agreement between
any two or more states for the purpose of carrying out a program of research, study, investigation
and control of jellyfish and other such pests in the coastal waters of the United States.
Driftnet Impact Monitoring, Assessment and Control Act 16 U.S.C. § 1826
The Secretary of Commerce, through the Secretary of State and the Secretary of the department in
which the Coast Guard is operating, is required to seek to secure international agreements to
implement an international ban on large scale driftnet fishing. The Secretary of Commerce, after
consultation with the Secretary of State and the Secretary of the department in which the Coast
Guard is operating, must submit to the Congress an annual report describing the steps taken to carry
out the Act. If the Secretary identifies any nations that conduct, or authorize their nationals to
conduct, large-scale driftnet fishing beyond the exclusive economic zone, the Secretary must certify
that fact to the President. Such certification is deemed to be a certification for the purposes of
section 8(a) of the Fishermen's Protective Act of 1967.
Eastern Pacific Tuna Licensing Act of 1984.16 U.S.C. §§ 972-972h
The Eastern Pacific Tuna Licensing Act of 1984 implements the Eastern Pacific Ocean Tuna
Fishing Agreement, signed in San Jose, Costa Rica, on March 15,1983. The Secretary of State is
authorized to act on behalf of the United States and appoint a United States representative to the
representative body. The Secretary of Commerce, in cooperation with the Secretary of State and the
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Secretary of the department in which the Coast Guard is operating, promulgates necessary
regulations. The Act provides for enforcement of the Act and its implementing regulations.
Endangered Species Act of 1973 (ESA). 16 U.S.C. §§ 1531-1543
The ESA protects species of plants and animals listed as threatened or endangered. The Secretary of
the Interior and the Secretary of Commerce determine, through regulations, whether any species are
endangered or threatened. The Secretaries also are required to designate critical habitat and develop
and implement recovery plans for threatened and endangered species. Federal agencies must insure
that any action authorized, funded, or carried out by such agency is not likely to jeopardize the
continued existence of any endangered species or threatened species or result in the destruction or
adverse modification of critical habitat.
The ESA prohibits the taking of any member of an endangered species. "Take" is defined broadly
and includes harassment, harm, pursuit, hunting, shooting, wounding, killing, trapping, capturing,
or collecting, or attempting to engage in any of this type of conduct. The requirements of the ESA
are enforceable.
Fur Seal Act Amendments of 1983.16 U.S.C. SS 1151-1175
The Fur Seal Act Amendments prohibit the taking of fur seals in the North Pacific Ocean, except as
provided by the Act. Indians, Aleuts and Eskimos who dwell on the North Pacific Ocean may take
fur seals for subsistence purposes. The Secretary of Commerce is responsible for regulating the
taking of fur seals. The Amendments authorize a North Pacific Fur Seal Commission.
The Fur Seal Act Amendments also authorize the Secretary to administer the fur seal rookeries and
other federal real and personal property on the Pribilof Islands.
Fish and Wildlife Act of 1956 and associated provisions, 16 U.S.C. §§ 742a-742d, 742e-742j,
742k, 744-748,750-753, 753a-753b, 754, 758-758d, 760a-760g.
The Fish and Wildlife Act of 1956 authorizes the National Marine Fisheries Service to conduct
investigations and prepare and disseminate information and reports regarding fish and their habitats
in order to provide for the proposed development offish resources.
Fish and Wildlife Coordination Act. 16 U.S.C. §§ 661-666c
The Fish and Wildlife Coordination Act requires that wildlife conservation receive equal
consideration with other features of water-resource development. The Act requires that Federal
permitting and licensing agencies consult with the National Marine Fisheries Service, Fish and
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Wildlife Service before issuing a permit for activities that modify any body of water. The National
Marine Fisheries Service provides comments and recommendations to prevent loss of, and damage
to, fish populations and their habitats.
Indian Treaty Rights to Hunt and Fish
Certain Indian tribes in the Puget Sound and Columbia River basins of the Pacific Northwest and
on the Great Lakes have federally recognized and protected treaty guaranteed rights to take fish
including shellfish and, in the case of the Treaty with the Makah, 12 Stat. 939 (Jan 31,1855) also to
take whales and seals. These rights are protected and enforced under the Supremacy Clause of the
United States Constitution. The federal government also protects these rights pursuant to its trust
responsibility towards the affected tribes. These rights, which were reserved in treaties entered into
by the United States with various Indian tribes in the mid-1800's have been the subject of
numerous court decisions, including seven decisions by the United States Supreme Court.
The treaties in the Pacific Northwest, commonly known as the Steven Treaties after the principal
federal negotiator at the time, Territorial Governor Isaac Stevens, generally contain a provision
similar to the following Article 3 of the Medicine Creek Treaty, 10 Stat. 1132 (December 26,
1854):
The right of taking fish, at all usual and accustomed grounds and stations, is further
secured to said Indians in common with all citizens of the Territory, ***: Provided
however, that they shall not take shellfish from any bed staked or cultivated by
citizens,***.
The courts have interpreted these treaties rather broadly, recognizing that they reserved unto the
tribes several important legal rights, including: (1) a right of access to all usual and accustomed
fishing places; (2) a right to a fair share of the fishery, which has been interpreted to mean 50
percent of the harvestable resource within each tribe's usual and accustomed area; and (3) a right to
harvest each tribe's fair share free from state and federal regulations except those non-
discriminatory laws necessary for conservation. Moreover, although the focal point of litigation to
date has been on anadromous fish such as salmon, the courts and federal regulatory agencies have
recently applied these principles to shellfish and other fish species. The interrelationship of these
treaty rights with international treaties and other domestic federal laws concerning ocean living
resources often raises complex legal issues.
Lacev Act Amendments of 1981.16 U.S.C. §§ 3371-3378
The Lacey Act prohibits domestic and international trafficking in protected fish, wildlife, and
plants. It does so in two ways. First, it requires that most shipments offish and wildlife moving in
interstate or foreign commerce be accurately marked and labeled as to their contents. Second, the
Lacey Act makes it unlawful to import, export, transport, sell, receive, acquire, or purchase fish,
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wildlife, and certain indigenous plants taken, possessed, transported, or sold in violation of state,
federal, Indian tribal, or foreign laws or regulations that relate or refer to fish or wildlife or plants.
Violators are subject to both criminal and civil sanctions. The prohibitions apply broadly to all wild
animals, whether dead or alive, and to any part, product, egg, or offspring, including captive-bred
animals, and more narrowly to certain wild plants indigenous to the U.S.
Magnuson-Stevens Fishery Conservation and Management Act. 16U.S.C. §§ 1801-1883
Under the Fishery Conservation and Management Act (FCMA), the United States claimed
sovereign rights and exclusive fishery management authority over all fish, and all Continental Shelf
fishery resources, within the exclusive economic zone. The FCMA established a procedure for
authorizing foreign fishing, and prohibited unauthorized foreign fishing within the exclusive
economic zone.
The FCMA established national standards for fishery conservation and management within the
exclusive economic zone. The FCMA established eight Regional Fishery Management Councils
composed of state officials with fishery management responsibility, the regional administrators of
the National Marine Fisheries Service, and individuals appointed by the Secretary of Commerce
who are knowledgeable regarding the conservation and management, or the commercial or
recreational harvest, of the fishery resources of the geographical area concerned. The Councils are
responsible for preparing and amending fishery management plans for each fishery under their
authority that requires conservation and management.
Fishery management plans describe the fisheries and contain necessary and appropriate
conservation and management measures, applicable to foreign fishing and fishing by vessels of the
United States. The plans are submitted to the Secretary of Commerce for approval. If approved, the
Secretary of Commerce promulgates implementing regulations. The Secretary of Commerce may
prepare Secretarial fishery management plans if the appropriate Council fails to develop such a
plan. The FCMA also provides for enforcement of the Act.
In 1996, the Sustainable Fisheries Act amended the FCMA and renamed it the Magnuson-Stevens
Fishery Conservation and Management Act.
Marine Mammal Protection Act of 1972 (MMPA). 16U.S.C. §§ 1361-1407
Under the MMPA, the Secretary of Commerce is responsible for ensuring the protection of
cetaceans and pinnipeds (except walruses). The Secretary of the Interior is responsible for ensuring
the protection of sea otters, polar bears, walruses and manatees. The MMPA established a
moratorium on the taking and importation of marine mammals and marine mammal products,
except: 1) for purposes of scientific research, public display, photography for educational or
commercial purposes, or enhancing the survival or recovery of a species or stock, or for importation
of polar bear taken in sports hunts in Canada; 2) when taken incidentally in the course of
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commercial fishing operations; 3) to deter a marine mammal from damaging fishing gear or catch,
damaging private property, endangering personal safety, or damaging pubic property; 4) when
taken incidentally by citizens engaged in a specified activity (other than commercial fishing) within
a specified geographical region; 5) when the Secretary has waived the moratorium; or 6) if the
marine mammal was taken by an Indian, Aleut, or Eskimo for subsistence purposes or for purposes
of creating and selling authentic native articles of handicrafts and clothing. The MMPA provides
for enforcement of the Act and its implementing regulations.
The Secretaries are directed to initiate negotiations with foreign governments to protect and
conserve marine mammals. The Secretaries may transfer management authority for a species of
marine mammal to a state. The MMPA also established the Marine Mammal Commission
composed of three members appointed by the President.
Migratory Bird Treaty Act, 16 U.S.C. §§ 703-715s
It is unlawful "to pursue, hunt, take, capture, kill... any migratory bird, any part, nest or egg" or
any product of any such bird protected by the Migratory Bird Convention, except as permitted by
regulations. The Secretary of the Interior is charged with determining when, to what extent, and
how to permit these activities.
The National Aauaculture Act of 1980,16 U.S.C. §§ 2801-2810
The purpose of the National Aquaculture Act of 1980 is to promote aquaculture in the United
States. The Secretaries of Agriculture, Commerce, and the Interior are required to establish and
periodically amend a National Aquaculture Development Plan. The Secretaries are required to
submit a biennial report to Congress that contains a description and evaluation of the actions
undertaken with respect to the Plan. The Secretaries are to provide information and assistance on
aquaculture activities.
The National Fishing Enhancement Act of 1984 (Artificial Reefs), 16 U.S.C. § 1220, 33 U.S.C.
§§2101etseq.
States may apply to the Secretary of Transportation for obsolete ships which would be designated
for scrapping if the state intends to sink such ships for use as an offshore artificial reef for the
conservation of marine life.
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National Marine Sanctuaries Act (NMSA). 16U.S.C. §§1431 et seq.
The NMSA provides the Secretary of Commerce with the authority to designate and manage
nationally significant marine areas as national marine sanctuaries. The NMSA lists recreational
and esthetic qualities as among the things that might give an area special national significance.
The NMSA's stated purposes and policies include comprehensive and coordinated conservation
and management; enhancing public awareness, understanding, appreciation and wise use of the
marine environment; and facilitating, to the extent compatible with the primary objective of
resource protection, all public and private uses of resources not prohibited pursuant to other
authorities.
Among the factors the Secretary must consider in determining whether an area merits
designation as a national marine sanctuary are present and potential uses of therarea that depend
on maintenance of the area's resources, including commercial and recreational fishing, other
commercial and recreational activities, and research and education; the public benefits to be
derived from sanctuary status, with emphasis on the benefits of long-term protection of
nationally significant resources, vital habitats, and resources which generate tourism.
Northern Pacific Halibut Act of 1982. 16 U.S.C. §§ 773-773k
The Northern Pacific Halibut Act of 1982 implements the Convention between the United States of
America and Canada for the Preservation of the Halibut Fishery of the Northern Pacific Ocean and
Bering Sea. The Act authorizes the appointment of Commissioners to the International Pacific
Halibut Commission, outlines the responsibilities of the Secretary of Commerce and North Pacific
Fishery Management Council in regulating the Pacific halibut fishery, and provides for
enforcement of the Act.
Pacific Salmon Treaty Act of 1985. 16 U.S.C. §§ 3631-3644
The Pacific Salmon Treaty Act of 1985 implements the Treaty between the Government of the
United States of America and the Government of Canada Concerning Pacific Salmon, signed at
Ottawa, January 28,1985. It authorizes the appointment of four United States Commissioners to
the Pacific Salmon Commission, members of the Northern Panel, Southern Panel and Fraser River
Panel, and members of an advisory committee. The Secretary of Commerce promulgates
regulations necessary to carry out the United States' international obligations under the Treaty. The
Secretary of Commerce may preempt state or tribal law if necessary to fulfill the United States'
obligations under the Treaty.
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South Pacific Tuna Act of 1988. 16 U.S.C. §§ 973-973r
The South Pacific Tuna Act of 1988 implements the Treaty on Fisheries Between the Governments
of Certain Pacific Island States and the Government of the United States of America, signed in Port
Moresby, Papua New Guinea, April 2,1987. The Secretary of State is authorized to act on behalf of
the United States in Treaty matters. The Secretary of Commerce, with the concurrence of the
Secretary of the department in which the Coast Guard is operating, issues regulations necessary to
carry out the objectives of the Treaty and the Act. Operators of vessels may request licenses to fish
in the Licensing Area. The Secretary may order fishing vessels to leave the Licensing Area upon
making certain findings. Vessels must stow gear while in closed areas and must allow and assist
observers. The Act provides for enforcement of the Act and its implementing regulations.
Sponge Act 16 U.S.C. §§ 781-785
The Sponge Act regulates the landing, curing and sale of sponges taken from the Gulf of Mexico
and Straits of Florida.
Tuna Conventions Act of 1950,16 U.S.C. §§ 951-991
The Tuna Conventions Act of 1950 authorizes the appointment of not more than four
Commissioners to the International Commission for the Scientific Investigation of Tuna and the
Inter-American Tropical Tuna Commission. The Secretary of State is authorized to act on behalf of
the United States with respect to Commission activities, and the Secretary of Commerce is
authorized to promulgate necessary regulations. The Act also provides for enforcement of the Act
and its implementing regulations.
Whaling Convention Act of 1949.16 U.S.C. §§ 916 - 9161
The Whaling Convention Act of 1949 implements the International Convention for the Regulation
of Whaling, signed at Washington on December 2, 1946. The President appoints the United States
Commissioner to the International Whaling Commission. The Secretary of Commerce is authorized
to administer and enforce the Act. The Act prohibits persons subject to the jurisdiction of the
United States to engage in whaling, or shipping, transporting, purchasing, selling, offering for sale,
importing, exporting, or possessing whales in violation of the Convention or implementing
regulations. The Act provides for enforcement of the Act.
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1998 Year of the Ocean
Ocean Living Resources
LIST OF ACRONYMS
FAO Food and Agriculture Organization (United Nations)
ESA Endangered Species Act
IPCC Intergovernmental Panel on Climate Change
MMPA Marine Mammal Protection Act
NMFS National Marine Fisheries Service
NMSP National Marine Sanctuary Program
UN United Nations
UNEP United Nations Environment Programme
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OCEAN ENERGY AND MINERALS: RESOURCES FOR THE FUTURE
Contents
1. EXECUTIVE SUMMARY D-2
2. INTRODUCTION D-3
3. ENERGY RESOURCES D-6
4. MINERAL RESOURCES D-12
5. ISSUES ASSOCIATED WITH OCEAN ENERGY AND
MINERAL RESOURCES DEVELOPMENT D-15
6. THE NEW PARADIGM: MOVING BEYOND CONFLICT TO
CONSENSUS D-18
7. REFERENCES D-20
8. DOMESTIC LEGAL REGIME D-21
9. LIST OF ACRONYMS D-30
This Year of the Ocean document was prepared as a background discussion paper and does not
necessarily reflect the policies of the U.S. Government or the U.S. Government agencies that
participated in its preparation.
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EXECUTIVE SUMMARY
A resolution adopted by the members of the United Nations proclaims 1998 as the
International Year of the Ocean. The objective of this resolution is to focus the attention of the
general public, governments, and decision makers on the importance of the ocean and marine
environments as resources for sustainable development. In keeping with this focus, the Ocean
Principals Group, an ad hoc group of federal government agencies with ocean research and
management responsibilities, established three primary goals:
1. Promote public awareness and understanding of the value of the ocean, its resources,
and marine activities to the national welfare;
2. Ensure that government does all it can and should to promote the exploration,
sustainable use, and conservation of the ocean; and
3. Cherish the national heritage associated with the ocean.
The purpose of this paper is to highlight the importance of domestic ocean energy and
mineral1 resources to the national economy and welfare. For example, although technological
advances continue to enhance cost-effective recovery of ocean oil and gas resources, long-term
development should be considered within a national energy policy that balances concern for the
environment with energy security for present and future generations. Many resource
development issues remain to be discussed among all stakeholders—federal, state, and local
governments, industry, and the general public. Among these issues are Outer Continental Shelf
leasing moratoria, royalty relief, revenue sharing with and impact assistance to coastal states,
marine mineral mining, and environmental protection. It is important that stakeholders be
actively involved in the process so that these important ocean resources are developed in a
reliable, safe, and environmentally sound manner.
During this Year of the Ocean, it is important to evaluate the role of ocean energy and
mineral resources to the United States and its citizens. To maintain a reliable and cost-effective
supply of oil, natural gas, and other minerals from the ocean, the United States must move from
conflict to consensus among all stakeholders. This paper presents issues and ideas for discussion
at Year of the Ocean symposia and is intended to serve as a catalyst for important policy
decisions that need to be made to ensure a sound energy future and economical and
environmentally safe recovery of energy and non-energy mineral resources from the seafloor.
'The term "mineral" as used in this paper refers to hard minerals found on and in the seabed; examples are sand, gravel, and shell
resources; metals such as manganese, gold, titanium, and polymetallic deposits; sulfide deposits; and phosphates.
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INTRODUCTION
The United States has sovereign rights over the exploration and development of non-
living resources, including oil and gas, found in the seabed and subsoil of the continental shelf,
which is defined to extend to 200 nautical miles from its coast or, where the continental margin
extends beyond that limit, to the outer edge of the geological continental margin. This claim,
made under the Truman Declaration of 1945, is confirmed in the 1982 Convention on the Law of
the Sea. Currently, about 27 percent of the natural gas and 18 percent of the oil produced in the
United States is from the federally managed Outer Continental Shelf (OCS).
The development of the OCS is projected to increase substantially over the next few
years. Oil production in the Gulf of Mexico is expected to reach a level of 1.9 million barrels per
day by the year 2000, with natural gas production at between 12 and 17.2 billion cubic feet of
gas per day. Meanwhile, the federal government collects an average of $3 to 4 billion annually
in bonuses, rents, and royalties from oil and gas-producing companies for OCS oil and gas
leases. These funds are distributed to the general treasury, the Land and Water Conservation
Fund and the National Heritage Fund. These conventional hydrocarbon resources will continue
to be an important source of energy, revenue, and employment for the United States well into the
next century.
The offshore oil and gas industry, in operation since 1947, has made significant progress
in establishing a strong human and environmental safety record. Approximately 85,000
Americans are employed directly in the offshore oil and gas industry, with an equal number
employed in supporting jobs. Technological advancements have substantially reduced hazardous
working conditions and environmental impacts over what they were a few decades ago.
Additionally, new technologies have enabled industry to identify and develop new reserves, both
in shallow and deep water. In 1995, Congress passed the Deepwater Royalty Relief Act, which
provided new economic incentives to industry to develop deep water areas in the Gulf of Mexico.
The Act has contributed to a significant increase in the number of tracts leased and aggregate
bonuses received, and it has spurred a surge in employment in the OCS oil and gas industry and
supporting services.
The U.S. offshore energy resources are now being produced in water as deep as 5,376 feet
using subsea systems. By the turn of the century, this production capability will extend to even
greater water depths. However, development of these deep water resources presents new
challenges, both technologically and environmentally. These include working under harsh
conditions, geohazards, and dealing with irregular ocean bottom relief features. Moreover, deep
water resource development places increased demands on coastal ports and communities for
facilities and services.
In terms of potential alternative energy resources from the ocean, the vast deposits of
methane hydrates found in deeper oceanic areas offer the greatest hope for future economical
recovery and production. While technology exists for harnessing renewable and non-hydrocarbon
energy sources such as tidal and wave power or thermal stratification, these energy sources are
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not now economically viable. However, they may become sources of energy in the future as
technology advances, conventional hydrocarbons become depleted, and concerns for global
climate change continue.
The ocean seafloor contains vast deposits of sand and gravel, phosphorites, and other
minerals that are useful—both for public works and commercially. In recent years, severe coastal
storms have caused rapid erosion of beaches and barrier islands. Maintaining beaches for tourism
is an economic necessity for many coastal communities. Nearshore and offshore sand deposits
are becoming important sources for beach renourishment by eastern seaboard coastal
communities, and such resources are also being considered for barrier island restoration. Around
the world, sand and gravel (marine aggregate) find extensive use in construction and account for
the largest tonnage of minerals produced from the ocean. Industry is looking more and more to
the ocean for these critical building materials as land supplies of sand and gravel are depleted.
Marine aggregate is also used for capping contaminated sediments in estuaries, harbors, and
waste dumps. As demand for these resources increases, policies and procedures must be
developed to ensure their timely availability in a manner consistent with sound environmental
practices.
Marine mining of strategic minerals such as manganese, gold, titanium, and other metals
has not been economically viable in the United States. However, mineral extraction in marine
areas is expected to begin long before land deposits become exhausted because of issues
surrounding land-use priorities, clean-water requirements, and environmental considerations.
Technology to extract these minerals economically is being developed, and policies for ocean
mining will need to be considered.
Federal Authorities
The appendix to this paper provides an extensive overview of the federal laws and
authorities for ocean energy and mineral resources. A more cursory presentation will be provided
here. ""It should be noted at the outset that the term "Outer Continental Shelf (OCS) is a legal
delineation created by federal statute and is not the same as the continental shelf that is defined in
the 1958 Geneva Convention on the Continental Shelf. Legally, the OCS comprises that part of
the continental margin adjacent to the United States that remained subject to federal jurisdiction
and control after enactment of the Submerged Lands Act of 1953.
Submerged Lands Act, 1953
The Submerged Lands Act established state jurisdiction over offshore lands within
3 miles of shore (or 3 marine leagues for Texas and the Gulf coast of Florida). The Act also
reaffirmed the federal claim to the OCS, which consists of those submerged lands seaward of
state jurisdiction, and limited states' claims to inside the landward boundary of the OCS.
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Outer Continental Shelf Lands Act, 1953
The Outer Continental Shelf Lands Act established federal jurisdiction over submerged
lands on the OCS and gave the Secretary of the Interior responsibility for administering energy
and non-energy mineral exploration and development on the OCS. Additionally, it gave the
federal government a mandate to develop OCS resources, explicitly stating that there was "an
urgent need for further exploration and development of the oil and gas deposits of the submerged
lands of the Outer Continental Shelf." It authorized the Secretary to lease the federal OCS for
mineral exploration, development, and production and provided for limited state involvement.
Outer Continental Shelf Lands Act Amendments of 1978
The Outer Continental Shelf Lands Act amendments of 1978 included many new
provisions such as consultation with coastal states and other interested parties, environmental
assessment, studies programs, planning, remedies and penalties, and a process for developing
leasing schedules in 5-year increments. While they include requirements for coordination and
consultation with state and local governments concerning OCS activities, the amendments
retained the Secretary of the Interior's broad discretion in managing OCS resources. The national
purposes and policies set forth in the 1978 amendments recognize the dual goals of
environmental protection and expedited exploration and development.
Presidential Proclamation Creating the Exclusive Economic Zone
On March 10, 1983, U.S. President Ronald Reagan signed Proclamation 5030, which
established the U.S. Exclusive Economic Zone. This consists of those areas adjoining the
territorial sea of the United States, the Commonwealth of Puerto Rico, the Commonwealth of the
Northern Mariana Islands, and U.S. overseas territories and possessions. The U.S. Exclusive
Economic Zone extends up to 370 km from the U.S. coastline. About 15 percent of this area lies
on the geologic continental shelf and is shallower than 200 meters.
Outer Continental Shelf Lands Act Amendments of 1985
The 1985 OCS Lands Act amendments resolved a dispute over how the federal
government shares nearshore revenues with affected states, as required in section 8(g) of the
OCS Lands Act. The amendments mandated that 27 percent of all revenues from production
within 3 miles seaward of the federal-state boundary be given to the states. They also set a
schedule for distribution on revenues placed in escrow pending settlement of any jurisdictional
disputes between the federal and state governments.
Outer Continental Shelf Lands Act Amendments of 1994
The 1994 OCS Lands Act amendments authorized the Secretary of the Interior to
negotiate agreements (rather than conduct a competitive lease sale) for sand, gravel, and shell
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resources for use in projects undertaken by federal, state, or local governments for shore
protection and beach or coastal wetlands restoration, or for use in other types of construction
projects that are wholly or partly funded, or authorized, by the federal government.
Access to OCS hard minerals for purposes other than those specified in the amendments
continues to be addressed through the competitive bidding process by granting a lease to the
highest bidder for the extraction and use of any mineral.
Federal Agency Responsibilities
The Secretary of the Interior designated the Minerals Management Service (MMS) as the
regulatory agency for managing mineral resources on the OCS. One of MMS's goals is to ensure
safe, environmentally sound operations during the production of oil, gas, and minerals from the
OCS. This agency accomplishes that goal through a strong regulatory program while supporting
research in offshore safety, oil-spill containment and cleanup, structural integrity, and blowout
prevention. The continuation of these responsibilities plays a key role in protecting the ocean and
ensuring safe, environmentally sound oil and gas development from the OCS.
ENERGY RESOURCES
History of Ocean Oil and Gas Development
This year marks the 51st anniversary of offshore oil and gas production. In November
1947, a discovery was made off the Louisiana coast, 12 miles from shore in water 16 feet deep.
This represented the first successful commercial development to be made out of sight of land. It
was also the first offshore well drilled from a mobile platform, thus initiating the technology that
has subsequently been used to drill more than 20,000 offshore oil and gas wells in the submerged
lands off the coasts of the United States. Previously, nearshore development was an extension of
onshore fields and technology. The earliest nearshore production in the United States was off
Summerland, California, in 1896, and was part of an onshore field. These early nearshore wells
were drilled from wooden piers extending out from the shoreline. The next milestone occurred in
the Gulf of Mexico in 1938 when a discovery in the Creole field, 1.5 miles from shore in 26 feet
of water, marked the petroleum industry's first successful venture into open, unprotected waters.
The need for production capability in deeper water depths further offshore has pushed the
industry to develop new and better equipment and techniques. Conventional steel-jacketed
production platforms stand in as much as 1,198 feet of water off the coast of southern California
and in 1,350 feet off the Louisiana coast. In 1984, the drillship Discover Seven Seas drilled an
exploratory well in 6,952 feet of water off the coast of New Jersey. In the often ice-bound waters
of the Arctic, drilling units have evolved from single use artificial gravel islands to specially
designed multi-use caisson-retained islands and ice-resistant mobile units of more conventional
design. Historically, the 1,000 feet water depth barrier for installation of production platforms
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was broken in the Gulf of Mexico in 1976; recently, an exploration well in the Gulf has been
drilled in 7,600 feet of water.
Since the enactment of the OCS Lands Act in 1953, outer continental shelf oil and gas
production has increased greatly and contributes significantly to the total U.S. domestic
production. In 1996, this production reached 18 percent of total domestic oil production and 27
percent of gas production. Between 1953 and 1995, the.outer continental shelf has generated
more than $110 billion in federal revenues. These contributions may be expected to continue to
increase since the OCS is estimated to contain about 19 percent of the nation's proven gas
reserves, 15 percent of the proven oil reserves, and more than 50 percent of the nation's
remaining undiscovered oil and gas resources.
Value to the Nation
The federal OCS oil and gas program has provided significant benefits to the United
States by helping to address its energy needs, contributing to its economic well-being, and by
providing an important source of revenues for the U.S. Treasury. It is estimated that more than
half of the nation's undiscovered oil and gas lies on the outer continental shelf; thus, offshore
energy resources may play an even more important role in meeting U.S. energy needs in the
future. Currently, the United States imports about one-half of the petroleum necessary to meet its
energy needs, and the Department of Energy projects this level will reach 61 percent by 2015.
The success of deep water exploration and development in the Gulf of Mexico, largely
due to advances in 3-dimensional seismic and production technology, is reversing the long-term
decline in domestic oil production. By the end of 1996, there were 26 rigs drilling in water
depths greater than 1,000 feet, which compares with 9 such rigs in 1990. Oil production from the
Gulf of Mexico increased by 10 percent in 1995, and most of the U.S. oil and gas reserve
additions from new field discoveries (79 percent and 70 percent, respectively), and from new
reservoir discoveries in old fields (91 percent and 68 percent), were in the Gulf.
The oil and gas industry employs tens of thousands of American workers. The average
salary and benefits for workers of producing companies employed as a direct result of activity in
the Gulf of Mexico was estimated to be $52,580 in 1992. Since then, a shortage of skilled labor
due to the recent boom in industry activity has pushed earnings even higher. In addition to
payroll expenditures, producers pay several billion dollars each year to vendors and contractors
who support OCS activities. Expenditures by producing companies on employees, equipment,
and support services in turn result in additional spending in communities near outer continental
activities and throughout the nation. To cite some specific examples, Shell's Auger project
involved contractors in 30 states, and work on the Rowan No. 4 jack-up drilling rig involved
contractors in 43 states.
Bonus bids, rents, royalties, and other revenues paid to the federal government for the
rights to explore for and produce OCS energy resources average between $3-4 billion annually.
Total revenues (unadjusted for inflation) are well above $110 billion since passage of the OCS
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Lands Act in 1953. Of the OCS revenues collected each year, up to $900 million is deposited in
the Land and Water Conservation Fund (for state and federal projects); $150 million goes to the
national Historic Preservation Fund; roughly $500-600 million is distributed to coastal states (in
accordance with section 8(g) of the OCS Lands Act; and the remainder goes to the U.S. Treasury.
Additional revenue is generated from taxes on industry profits and wages.
The Human and Environmental Safety Record
There are significant risks associated with oil and gas development. With respect to
possible risks to humans, some major safety concerns are blowouts, explosions, fires, and vessel
and helicopter accidents. Exploration, development, and production of oil and gas also may
impact the marine, coastal, and human environments in several ways:
• physical disruption of the seafloor habitat and benthic communities;
• discharge of chemicals, drilling muds and cuttings, and produced waters;
• hydrocarbon air emissions from facilities, supply vessels, and helicopters;
• exploration and production noise impacts on marine mammals and fisheries stocks;
• impacts of explosive platform removals on fish species;
• socioeconomic impacts on coastal communities and ports—of special concern in Alaska
are potential impacts on native Alaskan subsistence culture; and
• accidental oil spills.
Routine permitted activities are carefully monitored to minimize the risk of significant
effects on the environment. Spills generally are viewed as much more threatening to the
environment due to the immediate damage and disruption a large release can cause to ecological
resources and to coastal livelihoods and activities that depend on those resources. The number of
significant spills from oil production in state and federal waters has been low and the volume of
oil spilled has, in general, continuously decreased over the years. There has not been a spill larger
than 1,000 barrels from an OCS platform or rig since 1980. In fact, since 1980, OCS operators
have produced some 5.5 billion barrels of oil of which only 61,500 barrels (or 0.001 percent) has
been spilled. Natural seeps introduce about 100 times more oil into U.S. marine waters than have
spills from OCS oil and gas activities. Increased precautions by industry, enhanced safety
technology (e.g., blowout preventers and shut-in valves), and adherence to strict governmental
regulations have all contributed to minimizing the risk of oil spills from offshore activities.
The MMS diligently strives to diminish environmental and human risks through its
regulatory program, which places stringent environmental and human protection requirements on
all OCS operators.
Environmental Safeguards
Through a broad range of environmental laws, the federal government has the
responsibility—either on its own or in cooperation with states—to prevent or eliminate damage
to the environment; to regulate pollution to restore and maintain the chemical, physical, and
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biological integrity of waterways; to protect and enhance air quality; and to protect and promote
conservation of plants and animals listed as endangered or threatened.
With respect to development on the OCS, environmental impacts may vary in intensity
due to such factors as different methods of transportation (pipeline or tanker) and distances from
the shoreline. To address this and protect workers and the environment, the MMS tailors special
stipulations as required into leases sold to companies developing the resources. Concerns raised
by coastal states and communities, fishing groups, and other federal agencies are likewise
addressed. Some concerns may require a study of the impact on local marine life. Studies may
lead to requirements for special operating procedures covering such areas as training of personnel
and the handling of waste discharges of mud and cuttings. Making existing regulations clearer is
yet another approach used to safeguard the environment.
Technological Improvements
Over the last half century, significant technological improvements in operational safety
on the OCS have occurred. Today, for example, computer systems monitor platform operations.
Advances in blowout preventers and increased safety inspections have allowed the search for oil
and gas to continue into deeper water without compromising safety.
Nevertheless, major concerns about operational maintenance and oil-spill prevention and
clean-up remain. Continuous inspections and replacement of platform components and safety
equipment are helping to relieve these concerns and ensure efficient and safe operation. Updated
training and oil-spill contingency plans now allow for quick response and effective cleanup of a
spill if it occurs. Remote sensing technology is being used to monitor oil slick movements more
accurately.
Another way human and environmental safety has improved for OCS operations is
through the implementation of the MMS's Safety and Environmental Management Program
(SEMP) and the U.S. Coast Guard's Prevention Through People program. The SEMP advocates
a voluntary, but systematic approach, to safety management by every company operating on the
OCS and uses the American Petroleum Institute's Recommended Practice 75 as the operating
standard. This program supplements the traditional, compliance-based regulations of the MMS
and further enhances its ability to prevent accidents that cause human injury and illness or
environmental damage. Through SEMP, the MMS is working collaboratively with the offshore
industry to refocus efforts on company safety and environment performance in addition to
regulatory compliance. The Prevention Through People program initiated by the U.S. Coast
Guard is intended to help elevate worker awareness of human involvement in accidents and to
reduce the human error factor. This program differs from SEMP because it deals with vessels
that are not stationary or fixed. Through these two programs, the federal government can better
identify problem areas and heighten safety for both workers and the environment.
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New Frontiers for Conventional Hydrocarbons
Exploration and development have been moving to remote areas such as deep water
provinces, Arctic areas, and isolated natural gas fields, where there has been limited drilling.
Interest in OCS deep water areas has increased in recent years, especially in water depths greater
than 800 meters, because of better technology, new discoveries in deep water, and the passage of
the Deep Water Royalty Relief Act.
While the Arctic presents unique engineering and environmental challenges, there is
potential for significant new discoveries on the North Slope of Alaska and in the Beaufort Sea.
Proposed development of past discoveries has created an optimistic outlook for the future.
Meanwhile, it must not be forgotten that oil and gas are being produced from the OCS offshore
southern California. And although there is a current halt on leasing off the Pacific coast, the area
holds vast reserves of oil and gas that may prove important to the nation in the future.
New Technologies for Finding and Recovering Oil and Gas
Three-dimensional seismic acquisition, modeling, and interpretation have greatly
increased the efficiency of oil and gas exploration. As a result, fewer wildcat wells are being
drilled, and more of them are discoveries. The renewed interest in deep water areas is being
credited to better technology including three-dimensional seismic and horizontal drilling. For
example, computers are now used to process geological and geophysical data and to create three-
dimensional subsurface interpretations. This allows companies to identify reservoirs in
progressively deeper water. Extended-reach or horizontal drilling has increased in the last 5 years
due to higher production rates and greater recoveries from both new and existing wells.
Horizontal drilling brings a larger portion of the reservoirs into contact with the wellbore,
thereby increasing the flow rates. Besides the ability to increase recovery in borderline fields and
protect environmentally sensitive areas, horizontal wells can provide geological information for
sidelong distances up to 5,000 feet in a single formation. It is estimated that over the next 5
years, from one-third to two-thirds of all new wells will be horizontally drilled.
Methane Hydrates: Unconventional Hydrocarbons
Within the last decade, research has shown that most continental margins are reservoirs
for an unconventional energy deposit. Immense amounts of gas are concentrated in frozen, ice-
like gas hydrates within the top several hundred meters of sediment in deep water on the
continental margins of the United States, from the Gulf of Mexico to the Alaska arctic. The
worldwide amount of methane in gas hydrate deposits is conservatively estimated to be the
equivalent of at least 1 x 104 gigatons of carbon. This is about twice the amount of carbon held
hi all conventional fossil fuels on earth. Gas hydrates may prove to be the only hydrocarbon
resource that could significantly affect the future world energy mix. The production history of
the Russian Messoyakha gas hydrate field demonstrates that gas hydrates can be produced by
conventional methods. Gas from hydrate deposits may become a major energy resource if
economically profitable techniques are devised to extract the methane.
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Outlook for Development of Renewable Ocean Energy Resources
The time scale to renew fossil fuels by geochemical processes is long compared to the
time in which the modern world can consume known fossil fuel reserves. Consequently, the
world's supply of fossil fuels is non-renewable for all practical purposes, and many nations are
looking seriously at other alternative energy sources to provide part of their expanding energy
needs. Many of the alternative energy sources are derived directly or indirectly from the radiant
energy of the sun. The heat content of the world's ocean and the mechanical energy manifested
by the various ocean water motions (e.g., surface waves, tides, and mean currents) are among the
renewable energy sources available to many countries. This section examines some of these
oceanic alternative energy resources.
One way of using the abundant heat content of the surface ocean is to exploit the
temperature difference between the warm surface layer of the ocean and the colder, deeper ocean
lying below the penetration depth of sunlight. Engines operate between temperature differences
by extracting heat from a higher temperature "reservoir" and ejecting "waste" heat into a lower
temperature reservoir. The upper and lower layers of the ocean could function as the reservoirs
for an engine that could, for example, power an electric generator. In this fashion, the heat of the
surface ocean could be converted into a more usable form of energy (e.g., electricity).
The mechanical motions of the ocean such as surface waves and mean currents are
indirect manifestations of solar energy and, like the heat content of the ocean, constitute a large
source of energy potentially available for human use. This likewise applies to the gravitationally
driven tidal motion of the sea. Engineers in many countries have developed various devices for
generating electricity from these forms of mechanical energy. Specially designed turbines
mounted in dams or on moorings can capture some of the energy manifested in elevated sea level
or strong currents. Other mechanical devices move under the influence of surface waves and
capture some of their energy. All of these modern devices are coupled with electric generators.
Coastal areas having large amplitude tides and narrow channels or embayments that can
be dammed or support moorings with turbines are candidates for practical ocean energy
conversion. Devices moored in persistent and strong ocean currents like the Gulf Stream could,
in principle, also extract useful energy. Other coastal areas where the tidal energy may be small,
but where high wave action is common, are candidates for wave energy conversion.
There are practical problems with mechanical energy converters. Not all coastal areas
have the high tidal amplitudes or the frequency of high waves necessary to provide the needed
amount of energy for conversion. Tides are periodic with quiescent periods one or two times per
day, and high wave activity is not always present even in frequently windy areas. Energy storage
thus becomes an important consideration for using some of these devices but also increases
operating costs.
In addition, damming bays and straits significantly alters the circulation of water with
possible adverse environmental consequences, and rapidly rotating turbines can kill fish,
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mammals, and freely floating marine invertebrates. Mooring turbines in open water rather than
attaching them to dams, and placing streamlined protective housings around the turbine blades,
greatly reduces these adverse environmental impacts. The consequent reduction in energy
efficiency adds to their cost; nonetheless, many engineers still believe that these systems are
commercially viable.
MINERAL RESOURCES
A wide variety of mineral resources are found on the seafloor. These resources fall into
four general categories:
• granular sediments
• placer minerals
• hydrothermal deposits
• hydrogenetic minerals
Granular sediments are transported to the sea by rivers and glaciers and are sorted
according to size by wave action on the coastline. They include quartz-rich sand and gravel,
carbonate-rich sand, shell, silt, and clay. Gold, diamonds, platinum, tin, and titanium are among
the most common placer minerals, as well as concentrations of heavy minerals and ores such as
titanium oxide. Hydrothermal minerals are associated with volcanic activity and include sulfide
deposits rich in copper, zinc, lead, gold, and silver. Hydrogenetic deposits form by precipitation
from seawater under various conditions and host minerals such as phosphorite, salt, barite, and
iron-manganese nodules, and crusts rich in cobalt, platinum, nickel, copper, and rare earth
elements.
Both coarse sand and gravel and finer sand are extremely abundant on most continental
shelves, with the coarsest materials (gravels) occurring closest to the coast and finer grained
materials dominating the outer shelves and slopes. The thickest sand and gravel deposits are
those formed as a result of glacial action in the northern and southern thirds of the globe. Placer
minerals are also found nearest to the coast, usually in association with present or former river
systems. Marine hydrothermal minerals are found in the deep ocean volcanos on oceanic ridges
and island arc systems. Hydrothermal deposits form in association with underwater vents of
mineral-rich hot water called "smokers.". Hydrothermal deposits also include phosphorite and
barite accumulations on the continental shelves. The cobalt-rich manganese crusts found on the
flanks of most of the 50,000-plus extinct volcanic seamounts in the Pacific Ocean are
hydrogenetic deposits.
Sand and Gravel
Sand and gravel, used primarily for construction aggregates, constitute the largest
tonnage of any ocean mineral produced. These materials are essential resources for the expanding
populations of coastal areas. Aggregates are used in nearly all residential and commercial
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construction and in most public works projects such as roads and streets, dams, airports, bridges,
and tunnels. The exhaustion of existing reserves, zoning, government regulations, and competing
land uses are increasingly restricting the production of construction aggregate from the land, and
thus encouraging the use of offshore aggregate sources close to coastal population centers.
The greatest use in the United States of offshore sand and gravel is for beach
renourishment and coastal restoration and protection. With increased development adjacent to or
near the coastline, and the natural processes of landward migration over time, there has been a
steady increase in the number and size of beach renourishment projects. Traditional approaches
to prevent coastal erosion (e.g., jetties and groins) are no longer acceptable in many areas, having
become too expensive, ineffective, or damaging to the environment. Beach renourishment,
although expensive and short-lived in some cases, is now a widely accepted method of restoring
an eroded coastline.
Recent changes in wetland regulation sometimes mandate the building of new wetlands
to offset those that have been destroyed and much of the material to construct coastal wetlands
will be supplied by offshore dredging. Marine sand may also be used for capping both recent and
former offshore dump sites.
Portions of the OCS areas surrounding the United States, especially in the northeast,
contain an abundant supply of sand and gravel, much of it near growing metropolitan areas
where demand is greatest. The detailed distribution and characteristics of these resources is
known in only a few areas. Resource characterization studies are needed to better understand the
potential development of resources in specific localities.
Environmental and physical oceanographic studies are needed to better understand the
possible impacts of dredging to ocean and seafloor life and the coast. Costs are generally greater
for mining offshore sand and gravelthan for onshore deposits, but these costs may be offset by
lower transportation costs for the delivered product and by a possible reduction in environmental
impacts onshore. These advantages have prompted commercial interests to examine further the
feasibility of developing marine sand and gravel resources.
Current Uses of Offshore Sand and Gravel
Offshore sand and gravel use is an established industry in several countries, most notably
Japan, the United Kingdom, Denmark, and the Netherlands. Japan obtains most of its
construction aggregates from offshore deposits, and the offshore dredging industry in the United
Kingdom is growing steadily. The technology developed and the experience gained by these
countries in dealing with economic and environmental issues should prove useful for future
development of U.S. offshore sand and gravel resources. Major technological developments in
dredging, coming largely from the Netherlands and Japan, have occurred over the past 10 years.
Innovations include high-capacity underwater pumps and multiple-booster pumps, which enable
operation in deeper water and the pumping of sand as far as 7 miles from the dredge to the
shoreline.
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Although there are no commercial sand and gravel mining operations seaward of the 3-
mile federal-state line, on the U.S. outer continental shelf, there have been a number of such
operations in rivers, bays, and harbors over the years. One company currently produces
construction aggregate from deepening and maintaining the Ambrose Channel across New York
Bay, and the State of New York has prepared an Environmental Impact Statement addressing
sand mining in other parts of the bay. The same company is seeking leases to dredge sand and
gravel in federal waters off the northern New Jersey coast, an indication that economic
conditions are favorable for a commercial operation in the New York-New Jersey area.
Sand from offshore deposits has been used for beach renourishment since 1922, when
Coney Island Beach in New York City was rebuilt. Since then, hundreds of millions of cubic
yards of marine sand have been placed on U.S. beaches. The offshore sand used for beach
renourishment projects is generally from deposits within state waters but occasionally it comes
from the federal OCS as far as 8 miles from the coast. Project sizes range from hundreds of
thousands of cubic yards to 15-20 million cubic yards. To support publicly beneficial projects, a
1994 amendment to the OCS Lands Act (P.L. 103-426) authorized a negotiated agreement
process in lieu of competitive bidding for governmental use of OCS sand, gravel, or shell. The
amendment authorized fees to be assessed for use of these resources based on their value and the
public interest served from their development. Each request to use OCS resources under a
negotiated agreement is handled individually. To assist government agencies needing OCS
resources, MMS developed procedures and guidelines to explain the National Environmental
Policy Act and OCS Lands Act requirements, and the development of terms and conditions for
removal of the resource. The MMS guidelines on assessing fees outlines the approach that will
be used to determine appropriate fees that balance resource value with other public benefits for
governmental shore protection and restoration projects.
To date, two coastal communities have obtained federal OCS sand through this new
process, and several more negotiated agreements are in progress. Completed projects using
federal sand include Duval County, Florida, where 1.2 million cubic yards of sand were placed
on a 10-mile stretch of shoreline, and the U.S. Navy's Fleet Combat Training Center at Dam
Neck, Virginia, where 900,000 cubic yards were placed on the beach to protect the facility. New
projects are being planned with the City of Myrtle Beach, South Carolina, for Surfside Beach;
the State of Louisiana for restoration of the Isles Dernieres and Timbalier Island (two of the most
rapidly eroding sections of the nation's coast); the National Park Service for the northern end of
the Assateague Island National Seashore in Maryland; and the City of Virginia Beach, Virginia,
for Sandbridge Beach.
Development of Other Minerals
While offshore development of other hard minerals currently is not a significant activity
in U.S. waters, active offshore mining of minerals other than sand and gravel worldwide include
diamond recovery off the southwestern coast of Africa, tin offshore of Indonesia, and titanium
offshore of western Australia. Diamond mining offshore Africa began in 1961 and has become a
major contributor to the diamond market. Several companies, including the diamond giant De
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Beers, are operating offshore both Namibia and South Africa with very large dredges and at-sea
processing plants. Diamonds are now dredged in water as deep as 180 meters and remotely
operated bulldozers with large suction hoses connected to a processing ship have been tested for
mining in even deeper water. A fleet of over 30 bucket-line dredges are currently working off
Indonesia, processing over 40 million cubic meters a year of sediments to recover tin ore.
Although no development of the metals-rich manganese nodule deposits has occurred to date,
mining exploration licenses have been held since 1984 by several multinational companies in an
area of the Pacific Ocean between Hawaii and Central America. There has also been recent
interest by Japanese and Chinese firms in manganese nodules off the Cook Islands and other
areas in the Pacific.
Mineral deposits in U.S. waters (other than sand and gravel) include massive phosphate
beds beneath the continental shelf from North Carolina to northern Florida, titanium-rich heavy
mineral sands off the East Coast from New Jersey to Florida, gold-bearing sand and gravel
deposits offshore Alaska, barite deposits offshore southern California, manganese nodules on the
Blake Plateau offshore South Carolina and Georgia, and the cobalt and platinum-rich crusts in
the Hawaiian Exclusive Economic Zone area. Gold was recovered in state waters off Nome,
Alaska, from 1986 to 1990 by the WestGold Corporation using the Bima, a converted Indonesian
tin mining dredge. Despite the relatively rich deposits, the operation was closed mainly due to
steadily declining gold prices.
ISSUES ASSOCIATED WITH OCEAN ENERGY AND
MINERAL RESOURCES DEVELOPMENT
Energy Issues
Public Perception
From its beginning, the OCS program of the United States has faced controversy over the
ownership and management of offshore oil and gas resources. Some of the controversy predates
the inception of the federal program in 1954, as both the federal government and individual
coastal states vied for jurisdiction over the nation's offshore area, with the former eventually
gaining title to the great majority of the continental shelf. Additional controversy has arisen over
the years as concerns about the program's environmental and socioeconomic impacts have
increased. Some of this concern is attributable to a perceived imbalance in governmental and
community benefits and costs occasioned by OCS development. In addition, the full range of
benefits and costs—and those of alternatives, such as importing oil by supertanker—are not
easily or readily identifiable.
The 1989 Exxon Valdez tanker oil spill that occurred in Prince William Sound, Alaska,
profoundly affected the public's perception of the OCS program even though the spill was not
caused by OCS oil and gas drilling. That event, which rekindled concerns first raised after the
Santa Barbara OCS oil spill in 1969, received intense and lengthy media coverage. This
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heightened concern about the possibility of similar accidents and strengthened negative
perceptions about offshore oil development. Despite arguments that development of domestic
resources is necessary and beneficial, as well as reassurances about the environmental soundness
of the OCS program, a large segment of the population remains unconvinced.
While there is some OCS production activity offshore California, the OCS program at
this tune is mainly concentrated in the Central and Western Gulf of Mexico, with limited leasing
and exploration activity offshore Alaska. Although Louisiana has expressed some concern and
reservation about shouldering the bulk of the nation's energy needs, offshore oil and gas are still
viewed as important and integral parts of that region's economy, relatively few residents are
opposed to it, and extensive infrastructure and technological progress has led to a recent boom in
activity in the Gulf.
Multiple Use Conflicts
Oil and gas activities on the OCS occur along with many other activities in the ocean,
including commercial and sports fishing, tourism and recreation, vessel traffic, military and
NASA operations, and non-energy marine mineral extraction. There also are areas of special
concern, such as parks and sanctuaries and, in Alaskan areas, subsistence hunting and fishing
activities. In addition to the "competition" for space, there is concern from many ocean and
coastal user groups that routine oil and gas activities such as seismic surveys, drilling, and
discharge of effluent waters and cuttings, may have adverse effects on the coastal and marine
habitats and biota.
Moratoria
In the 1980s, state and local governments, dissatisfied with OCS policies that gave
primary authority to the federal Executive branch, turned to the U.S. Congress to check this
authority. Congress responded by adding "moratoria" riders to annual appropriations legislation
prohibiting the use of funds for OCS leasing and related activities in much of the outer
continental shelf.
In 1990, following analysis and recommendations by an interdepartmental OCS Oil and
Gas Leasing Task Force, President Bush announced a series of decisions intended to balance
energy production and environmental protection and to allow the OCS program to continue in
the less controversial areas. Areas offshore California, southern Florida, the North Atlantic states.
Washington, and Oregon were withdrawn from, leasing consideration until after 2000. However,
Congress continued to enact moratoria for the areas withdrawn by Presidential Order and even
expanded prohibitions to some areas and activities that had not previously been restricted. The
Clinton Administration has supported a continuation of most moratoria while underlying
conflicts are resolved through consultation and negotiation among affected parties.
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Coastal Impact Assistance
In 1990, President Bush also directed the Secretary of the Interior to prepare a legislative
initiative that would provide coastal communities directly affected by OCS development with a
greater share of the financial benefits of new development and with a larger voice in decision
making. In 1992, the Department of the Interior developed and submitted to the 102nd Congress
a proposal for providing impact assistance to coastal states and communities located near OCS
oil and gas activities. That proposal was adopted in a modified form by the Senate, but the
energy legislation enacted by Congress in October 1992 excluded this and all other provisions
relating to the OCS program.
Louisiana, along with some other coastal states and localities, continues to support
legislation to provide federal revenues to mitigate onshore effects of OCS activities. The OCS
Policy Committee, an advisory committee formed to advise the Secretary of the Interior on
policy issues related to the OCS program, proposed an impact assistance plan in 1993. It renewed
its support in 1997 and directed a working group to develop an implementation plan for such a
proposal. In October 1997, the working group submitted to the full committee its report
proposing a detailed program for providing a portion of OCS revenues to affected states and
localities. The report was approved by the full OCS Policy Committee and forwarded to the
Secretary of the Interior.
National Energy Policy
The National Energy Policy Plan, issued in 1995 and entitled Sustainable Energy
Strategy, presents the Clinton Administration's energy policy. The concept of sustainable
development guides the energy policy process and motivates three strategic goals:
1. maximize energy productivity to strengthen the economy and improve living
standards;
2. prevent pollution to reduce the adverse environmental impacts associated with energy
production, delivery, and use; and
3. keep America secure by reducing vulnerability to global energy market shocks.
The environmentally sound development of the nation's OCS resources will help further
the achievement of each goal. As noted above, investments in and production of OCS oil and gas
generate billions of dollars annually in bonuses, royalties, and taxes, and create thousands of well
paying jobs throughout the U.S. economy. Offshore development under proper environmental
safeguards poses less risk of large oil spills than does importing foreign oil in tankers. Expanded
use of natural gas, including that produced on the OCS, has substantial environmental benefits
over other fossil fuels. Production of oil and gas from the OCS directly reduces the amount of oil
that must be imported from abroad, much of it from politically unstable regions, thereby
lessening the threat to the U.S. economy posed by supply disruptions.
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The development of OCS oil and gas resources is a part of the Administration's
commitment to encourage the economically beneficial and environmentally sound expansion of
diverse domestic energy resources. The National Energy Policy Plan promotes the production of
oil and natural gas resources in deep water in the Gulf of Mexico as one of the nation's best
opportunities for adding large new oil reserves, providing new energy supplies for the future,
spurring the development of new technologies, and supporting thousands of jobs in the oil and
gas and affiliated industries.
Minerals Issues
Sand and gravel will continue to be the most sought after mineral commodities from the
OCS. As previously mentioned, sand has been obtained from well beyond the 3-mile limit of
state jurisdiction for beach renourishment, and demands for offshore sand and gravel will likely
increase. Sand and gravel reserves on the OCS are immense, with estimates of over 2 trillion
cubic meters on the Atlantic shelf alone. In spite of this large resource base, the higher costs and
risks of marine dredges are impediments to offshore mining, and conflicts over access still occur.
Because transportation cost is the largest factor in sand and gravel extraction and distribution,
there could be competition for high quality deposits closest to the coast. Conflicts are also likely
to arise with other ocean users, such as fishermen and clammers. However, the use of digital
maps in geographic information systems promises to aid in managing both seafloor and water
column utilization and minimize multiple-use conflicts.
THE NEW PARADIGM: MOVING BEYOND CONFLICT TO CONSENSUS
OCS oil and gas development has been a contentious issue since its inception. Prior to the
Submerged Lands Act of 1953, states and the federal government argued over who had authority
over the seabed and its resources. After passage of the Act, states and other stakeholders believed
that the federal government functioned too independently and was insensitive to state concerns
when it came to holding offshore lease sales and approving oil and gas development and
production activities off their coasts. Passage of the National Environmental Policy Act, the
Coastal Zone Management Act, and the Outer Continental Shelf Lands Act Amendments gave
states and other constituents a greater voice in offshore oil and gas development. However, the
level of discord escalated in the mid-1970s, when concern over foreign oil embargoes and rapid
rises in the price of gasoline and heating oil led the federal government to accelerate efforts to
develop and produce offshore oil and gas.
Areawide leasing, leasing in frontier areas, as well as several large and highly publicized
oil spills gave rise to the idea that human safety, environmental protection, and the
socioeconomic well-being of coastal communities were being seriously jeopardized in favor of
maximizing oil and gas production. States and others therefore turned to the political arena for
relief in the form of Congressionally and Presidentially mandated moratoria. This situation
continues today. In order to address public concerns, beginning in the late 1980s and expanding
in the early 1990s, the-federal government implemented a policy of involving the various
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stakeholders early in the planning stages, maintaining a meaningful dialogue, and assuring that
non-federal concerns play an important and crucial role in the decision process. This new way of
doing business and interacting with constituents has been characterized as "moving beyond
conflict to consensus."
While disagreement and contention still exist today, involved parties are talking and
interacting in a positive manner, and a general atmosphere of trust and respect is replacing the
mistrust of only a few years ago. There is a need to build upon this new paradigm so that as the
United States enters the 21st century, all parties will continue to work toward a national
consensus on development of offshore oil and gas resources while being sensitive to regional and
local issues and concerns. This also applies to the relatively new arena of using offshore sand and
gravel resources for beach renourishment. As more and more coastal communities look to OCS
sand for replenishing beaches and protecting property, and as the commercial sector becomes
increasingly interested in OCS aggregate for building materials, it is likely that the issue will
become highly contentious if the various stakeholders are not involved early in the decision
process.
In October 1993, the OCS Policy Committee's Subcommittee on OCS Legislation
offered the following specific recommendations for forwarding the new paradigm of moving
beyond conflict to consensus:
1. Regional task forces representing all OCS program stakeholders should be established
to focus more on reaching consensus on OCS leasing decisions in an effort to obviate
the need for moratoria.
2. A prompt and suitable resolution should be attained for the leases that have been
targeted for buyback and are subject to litigation. Generally, section 5 of the OCS
Lands Act, as amended, should be the means for considering leases for cancellation
and compensation, and section 5 is not in need of amendment at this time.
3. A portion of the revenues derived from OCS program activities should be shared with
coastal states, Great Lakes states, and U.S. territories.
4. Economic and technical incentives should be thoroughly analyzed and considered for
implementation by the Department of the Interior to encourage the U.S. oil and gas
industry's continued participation in the OCS program.
Implementation of these recommendations may go a long way toward ensuring that the
OCS program continues to be a reliable and significant contributor to the energy supply and
economic well-being of the United States. Involvement of all stakeholders in the planning and
decision processes are important to ensure that development and production activities are carried
out in a manner consistent with the highest standards of human safety and environmental
protection. This approach can also serve as a blueprint for establishing successful OCS mineral
programs.
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REFERENCES
Minerals Management Service. An Assessment of the Undiscovered Hydrocarbon Potential of the
Nation's Outer Continental Shelf. A Resource Evaluation Program Report; 1996. MMS 96-0034;
40pp.
"Coastal Impact Assistance. A Report from the Coastal Impact Assistance Working Group to the
Outer Continental Shelf Policy Committee." October, 1997; 23 pp.
"Environmental Studies in OCS Areas Under Moratoria: Findings & Recommendations. Report
of the Subcommittee on Environmental Information for Select OCS Areas Under Moratoria."
May, 1997; 82 pp.
"Moving Beyond Conflict to Consensus. Report of the OCS Policy Committee's Subcommittee
on OCS Legislation." October, 1993; 71 pp.
Sustainable Energy Strategy: Clean and Secure Energy for a Competitive Economy. July, 1995;
National Energy Policy Plan, Department of Energy,; ISBN 0-16-048183-X; 22 pp.
"U.S. Outer Continental Shelf Sand and Gravel Resources: Programs, Issues and
Recommendations. Final Report of the OCS Policy Committee's Subcommittee on OCS Sand
and Gravel Resources." April, 1993; 42 pp.
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DOMESTIC LEGAL REGIME
Contents
Ocean Energy and Mineral Resources
Federal Authorities Relating to Energy Resources
• Outer Continental Shelf Lands Act (43 U.S.C. § 1331 et seq.)
• OCS Deep Water Royalty Relief Act (Pub. L. 104-5 8)
• Ocean Thermal Energy Conversion Act (42 U.S.C. § 9101 et seq.)
Federal Authorities Relating to Mineral Resources
• Deep Seabed Hard Mineral Resources Act (30 U.S.C. § 1441 et seq.)
State Authorities Relating to Energy and Mineral Resources
• Under the Submerged Lands Act (43 U.S.C. § 1301 et seq.)
Improving Stakeholder Involvement
The legal regime covering this topic is based on a collection of important federal statutory
authorities. The following is a brief description of some of those authorities relating to ocean
energy and mineral resources. The list is selective and is designed to illustrate some major ocean
energy and mineral resources acts. The list is not meant to be comprehensive.
I. OCEAN ENERGY AND MINERAL RESOURCES
The oceans contain significant energy and mineral resources that will become increasingly
important as the availability of land-based sources diminishes. There are a number of domestic
legal authorities governing ocean energy and mineral resources that involve responsibilities of
different federal and state agencies. These domestic legal authorities often provide for a
balancing of competing policy objectives. In particular, offshore development that addresses
domestic energy and mineral needs must be balanced against the need to protect and conserve
ocean and coastal resources and ecosystems. Domestic legal authorities also provide for
consultation and coordination among stakeholders. However, the development of ocean energy
resources has been controversial. Successful, sustainable development of ocean and mineral
resources requires that we move from conflict to consensus among all stakeholders within the
framework of a comprehensive management strategy.
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II. FEDERAL AUTHORITIES RELATING TO ENERGY RESOURCES
The United States claims one of the world's largest and richest continental shelves. The outer
continental shelf (OCS) accounts for 15 percent of U.S. crude oil production and 25 percent of
U.S. natural gas output. The United States collected $3.0 billion in royalties and other revenues
in 1994 ($2.8 billion in 1995; $4.3 billion in 1996 (preliminary)). Since 1954, the federal
government has received more than $ 110 billion from the leasing and production of OCS oil and
gas. The OCS has served as a source of about 12 percent of domestic oil production and more
than 20 percent of domestic gas production. The Secretary of the Interior has designated the
Minerals Management Service (MMS) as the agency responsible for the mineral leasing of
submerged OCS lands and for the supervision of offshore operations after lease issuance. The
principal federal legal authorities for the development of ocean energy resources are the Outer
Continental Shelf Lands Act and the Deep Water Royalty Relief Act.2
Outer Continental Shelf Lands Act (OCSLAX 43 U.S.C. § 1331 et seg
The Outer Continental Shelf Lands Act (OCSLA), 43 U.S.C. § 1331 et seg., established federal
jurisdiction over submerged lands on the OCS seaward of state boundaries. Under the OCSLA,
the Secretary is responsible for the administration of mineral exploration and development of the
OCS. The OCSLA empowers the Secretary to grant leases to the highest qualified responsible
bidder(s) on the basis of sealed competitive bids and to formulate such regulations as necessary
to carry out the provisions of the OCSLA. The OCSLA provides guidelines for implementing an
OCS oil and gas exploration and development program, and authorities for ensuring that such
activities are safe and environmentally sound. The basic goals of the OCSLA include the
following:
to establish policies and procedures for managing the oil and natural gas resources of the
OCS that are intended to result in expedited exploration and development of the OCS in
order to achieve national economic and energy policy goals, assure national security,
reduce dependence on foreign sources, and maintain a favorable balance of payments in
world trade;
to preserve, protect, and develop oil and natural gas resources of the OCS in a manner
that is consistent with the need (a) to make such resources available to meet the nation's
energy needs as rapidly as possible; (b) to balance orderly resource development with
protection of the human, marine, and coastal environments; (c) to ensure the public a fair
and equitable return on the resources of the OCS; and (d) to preserve and maintain free
enterprise competition;
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to encourage development of new and improved technology for energy resource
production, which will eliminate or minimize risk of damage to the human, marine, and
coastal environments; and
to provide opportunities for state and local government participation in policy and
planning decisions made by the federal government relating to exploration for, and
development and production of, minerals on the OCS.
PCS Deep Water Royalty Relief Act (Pub. L. 104-58)
The OCS Deep Water Royalty Relief Act (DWRRA), contained in Pub. L. 104-58, provides new
incentives to lease and develop in certain Gulf of Mexico deep water areas. Specifically, the
DWRRA amends the Secretary of the Interior's discretionary authority to grant royalty relief to
include producing and non-producing leases in order to promote development, increase
production, or encourage marginal production of certain deepwater leases in the Gulf of Mexico.
The DWRRA also contains three other major provisions related to leases issued as a result of
sales held before and after the date of the DWRRA's enactment. The following is a summary of
these three other major provisions:
Section 303 establishes a new bidding system that allows the Secretary to offer tracts
with royalty suspensions for a period, volume, or value of production.
Section 304 mandates that all tracts offered by November 22, 2000 in deep water in
certain areas of the Gulf of Mexico must be offered under the new bidding system
permitted by the DWRRA. The Secretary must offer such tracts with a specific minimum
royalty suspension volume based on water depth.
Existing (pre-Act) leases may apply for royalty suspensions for new production in deep
water in certain areas of the Gulf of Mexico. This production does not qualify for royalty
suspensions if the Secretary determines that the new production would be economic in
the absence of royalty relief. Otherwise, the Secretary must determine the volume of
production on which no royalty should be due in order to make the new production
economically viable.
There has been a revitalization of oil and gas exploration and development in the Gulf of Mexico
and, with the advent of new deep water drilling technologies, a dramatic intensification of
interest in developing the frontier deep water areas. Oil production should increase as much as
70-100 percent by the year 2000, with exploration pushing beyond the exclusive economic zone
and product pipeline networks extending well off the continental shelf and down the continental
slope.
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Ocean Thermal Energy Conversion Act(42 U.S.C. § 9101 etseq.")
With regard to alternative energy sources from the ocean, the Ocean Thermal Energy Conversion
Act (OTEC Act), 42 U.S.C. § 9101 et sec[., established a licensing program for facilities and
plantships that would convert thermal gradients in the ocean into electricity. The OTEC Act
directed the Administrator of the National Oceanic and Atmospheric Administration (NO A A) to
establish a stable legal regime to foster commercial development of OTEC. In addition, the
OTEC Act directed the Secretary of the department in which the U.S. Coast Guard is operating to
promote safety of life and property at sea for OTEC operations, prevent pollution of the marine
environment, clean up any discharged pollutants, prevent or minimize any adverse impacts from
construction and operation of OTEC plants, and ensure that the thermal plume of an OTEC
plantship does no unreasonably impinge on and thus degrade the thermal gradient used by any
other OTEC plantship or facility, or the territorial sea or area of national resource jurisdiction of
any other nation unless the Secretary of State has approved such impingement after consultation
with such nation. The OTEC Act also assigned responsibilities to the Secretary of State and the
Secretary of Energy regarding OTEC plants.
There has been a low level of activity under the OTEC Act since its passage in 1980. Following
NOAA's initial environmental studies and implementation of a licensing program, NOAA has
not received any license applications for OTEC facilities or plantships. The availability and
relatively low prices of fossil fuels, coupled with the risks to potential investors, has limited the
interest in commercial development of OTEC projects. The need to protect the environmental
quality of ocean resources and ecosystems may outweigh the benefits of constructing OTEC
facilities in certain areas. Moreover, OTEC projects have offered an unclear return on a
significant investment.
III. FEDERAL AUTHORITIES RELATING TO MINERAL RESOURCES
The oceans contain valuable deposits of sand, gravel, and other minerals. Among other things,
OCS sand deposits are important sources for beach renourishment for many coastal communities.
As land supplies of sand and gravel become less available, industry is turning to the OCS as an
alternate source of these important building materials. The OCS also contains deposits of
strategic minerals such as gold, titanium and other metals which will become more important as
an alternate source to land deposits.
The MMS' marine minerals program manages exploration and development activities for federal
offshore sand, gravel, and shell, and other mineral resources found on the OCS. The program has
focused on six areas: (1) manganese crusts offshore Hawaii and Johnston Island (2) phosphorites
offshore North Carolina, (3) heavy mineral placers and phosphorites offshore Georgia, (4) sand
resources offshore the gulf coast states and the Atlantic, (5) heavy mineral placers offshore
Alaska, and (6) black sand deposits offshore Oregon. The principal legal authority for the
development of these resources falls under the OCSLA.
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Section 8(k) of the OCSLA Amendments authorizes the Secretary of the Interior to lease
minerals, other than oil, gas, and sulfur, on the OCS on the basis of competitive bidding and
under such terms and conditions as may be prescribed at the time of the lease offering. Included
within this authority is the Secretary's responsibility to design, implement, and manage the OCS
minerals policy and development. The basic goals of the MMS marine minerals program are to:
evaluate and achieve the potential of the OCS as a domestic supply source for strategic
and other non-energy mineral resources;
safeguard the ocean and coastal environments by ensuring that all OCS mineral activity is
environmentally sound and acceptable;
ensure that OCS mineral activities are fully coordinated and compatible with other uses
of the ocean; and
provide an effective consultation process for coastal states and the federal government
regarding offshore minerals.
The MMS established a three-tiered regulatory regime for offshore minerals. These regulations
govern prospecting activities, leasing activities, and operations on offshore mineral leases.
Together, these rules outline the requirements for data and information gathering ventures
associated with prospecting and scientific research. These regulations also establish leasing
procedures, basic mineral lease conditions, and general procedures to govern discovery,
development, and production activities on a lease.
With the cooperation of adjacent coastal states, joint federal-state task forces assess leasing
potential of an offshore area. If leasing is determined to be economically feasible, resource and
environmental studies follow. The task forces recommend appropriate action to the Secretary and
the State Governor(s). Federal decisions to proceed to lease sales are made by the Secretary of
the Interior, with review and comment from the Governor(s).
In addition, in 1994, Pub. L. 103-426 (Negotiated Agreements for OCS Sand, Gravel, and Shell
Resources), which amends OCSLA sections 8(k) and 20(a), was signed into law. 43 U.S.C. §
1337 (2)(A). This law authorizes the Secretary of the Interior, through the MMS, to negotiate
agreements for use of OCS sand, gravel and shell resources in projects undertaken by federal,
state, or local governments for shore protection, beach or coastal wetlands restoration, or certain
other construction projects. Once the MMS receives a request for OCS sand, gravel, or shell
resources and the necessary supporting information, it determines the project's eligibility under
Pub. L. 103-426. Once eligibility is established, the conditions of the negotiated agreement are
developed.
Coastal states and local communities have been generally supportive of the MMS sand and
gravel program and, in light of diminishing coastal and nearshore resources, recognize the need
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for access to OCS sand for beach nourishment and coastal restoration. The MMS sand and gravel
program is active in a number of coastal areas:
A negotiated agreement was completed with the City of Jacksonville/Duval County,
Florida, to use sand from a borrow site 7 miles offshore to renourish several local
beaches. A stipulation was attached to that agreement requiring that a benthic
repopulation study be conducted for the actual borrow area.
The Governor of Louisiana has requested initiation of the negotiated agreement process
for use of OCS sand from the Ship Shoal area for barrier island restoration.
The Navy and the MMS entered into a memoranda of agreement to use OCS sand from
Sandbridge Shoal, offshore Virginia, to renourish a portion of the federal beach at the
Fleet Combat Training Center at Dam Neck near Virginia Beach.
Plans were being made for a negotiated agreement to use OCS sand to renourish Surfside
and Garden City beaches hi South Carolina.
The National Park Service initiated the planning process to renourish a portion of
Assateague Island in Maryland using sand from an OCS borrow site.
With the passage of Pub. L. 103-426, the MMS anticipates an increase in requests for negotiated
agreements. A wide range of qualified projects could emerge, including those congressionally
authorized, federally sponsored, or state/locally sponsored. In addition, requests for OCS sand,
gravel, and shell resources via competitive bidding could emerge as OCS mining activities
become more commonplace.
Deep Seabed Hard Mineral Resources Act (DSHMRAX 30 U.S.C. § 1441 et sea
With regard to minerals on the deep seabed, seabed nodules contain nickel, copper, cobalt and
manganese - minerals important to many industrial uses. No commercial deep seabed mining is
currently conducted, nor is such activity anticipated in the near future. However, four licenses
have been issued under the Deep Seabed Hard Mineral Resources Act (DSHMRA), 30 U.S.C. §
1441 et sea., for exploration of seabed areas in the Clarion-Clipperton zone of the south Pacific
ocean.
The DSHMRA establishes an interim domestic legal regime for deep seabed mining pending
adoption of an acceptable international regime. The Administration submitted the Convention
and Agreement to the Senate for consent to accession and ratification in October, 1994 and it is
pending in the Senate Committee on Foreign Relations. Since that time, the Convention has
come into effect and over 123 nations are Parties. The Agreement addresses previously expressed
concerns regarding the seabed mining portions of the Convention. The DSHMRA establishes a
licensing regime that ensures protection of the marine environment, safety of life and property at
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sea, prevention of unreasonable interference with other uses of the high seas, and conservation of
mineral resources. The DSHMRA encourages other nations that embark on ocean mining
ventures to manage the activities of their nationals in a similar fashion and to respect licenses and
permits issued under the DSHMRA. The DSHMRA also facilitates the transition from a
domestic regime to an acceptable international regime.
The DSHMRA sets forth criteria that would need to be met for an international regime to be
acceptable to the United States, namely: assured and non-discriminatory access for U.S. citizens,
under reasonable terms and conditions, to deep seabed resources; and assured continuity in
mining activities undertaken by United States citizens prior to entry into force of an international
regime under terms, conditions, and restrictions which do not impose significant new economic
burdens. The DSHMRA also recognizes that a treaty must be judged by the totality of its
provisions. The Agreement to implement Part XI of the United Nations Convention on the Law
of the Sea revises Part XI in a manner that satisfies these criteria.3 During the period of
provisional application of the Agreement, the DSHMRA remains in effect and provides authority
to implement likely United States obligations under the Agreement.
IV. STATE AUTHORITIES RELATING TO ENERGY AND MINERAL RESOURCES
Under the Submerged Lands Act. (43 U.S.C. § 1301etseq.)
There are a number of state authorities, implemented by different state agencies, relating to
energy and mineral resources. Under the Submerged Lands Act (SLA), 43 U.S.C. § 1301 et seq.,
the location of the energy and mineral resources determines whether or not they fall under state
control. Specifically, the SLA granted states title to the natural resources located within three
miles of their coastline (three marine leagues for Texas and the Gulf coast of Florida). For
purposes of the SLA, the term "natural resources" includes oil, gas and all other minerals.
State authorities range in the nature and extent of their control over ocean energy and mineral
resources on state submerged lands. The range depends on each state's evaluation of different
policy interests, such that activities may be restricted in certain areas and allowed in others. State
management authority for oil and gas exploration and production on state submerged lands may
be implemented by more than one state entity. Also, state management of energy and mineral
resources is often addressed within the context of a broader state coastal management plan.
State policies also affect energy and mineral resource development on the OCS. As indicated
above, federal authorities such as the OCSLA provide for consultation and coordination with
International legal authorities relating to ocean energy and mineral resources will be Fully addressed elsewhere in the legal authorities issue paper.
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affected coastal states. However, consultation and coordination can be difficult when there are a
large number of stakeholders representing strong policy interests.
V. IMPROVING STAKEHOLDER INVOLVEMENT
Successful, sustainable development of ocean energy and mineral resources requires that we
move from conflict to consensus among all stakeholders within the framework of a
comprehensive management strategy. Stakeholders have blocked development of oil and gas
resources in many areas of the OCS. Management of ocean energy and mineral resources can be
difficult due to the number of stakeholders and the nature of their interests or responsibilities.
Federal and state laws relating to energy and mineral resources often contain differing policy
objectives that must be balanced. However, the Department of the Interior (DOI) has taken steps
to solve conflicts in the application of its OCS program by working with stakeholders.
The history of the OCS program relating to energy resources shows that its expansion has been
controversial. When federal management of the OCS began under the OCSLA, oil and gas
activity was concentrated in the Gulf of Mexico off Louisiana and Texas, where the program was
supported as a part of that region's economy. Following commercial discoveries offshore
southern California, the 1969 Santa Barbara Channel blowout and oil spill started opposition to
offshore oil and gas development.
In response to the oil embargo of late 1973 and early 1974, the federal government expanded the
OCS program to include areas where activities had not occurred before. The increased scope and
pace of activity heightened concerns about the environmental and socioeconomic effects of
offshore development. Citizens and governments in coastal areas demanded that they be
consulted. As a result, the OCSLA was amended in 1978 to provide for environmental
consideration and more substantive involvement of state and local governments and others in
OCS decision making.
In 1979, oil supply disruptions and price increases renewed pressure for developing offshore
energy resources. The federal government announced an area wide OCS leasing plan for frontier
areas. The announcement of this plan sparked opposition. Even though the new provisions of the
OCSLA called for increased consultation and coordination, many affected parties felt that their
concerns and recommendations were not being adequately considered in OCS leasing and
development decisions. As a result, the OCS program became the subject of congressional
moratoria and administrative deferrals. In May 1992, certain congressional moratoria became the
subject of litigation by oil companies under breach of contract and takings claims.
DOI has decided to resolve conflicts related to the OCS program relating to energy resources by
working with stakeholders. As part of this approach, DOI endorsed existing congressional
moratoria on lease sales in order to maintain the status quo while discussions on various OCS
issues ensured. DOI began resolving disputes on existing leases through the settlement of
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litigation and is taking steps to establish working relationships among stakeholders in a move
toward consensus decision making. The MMS has also increased stakeholders' role in
developing consensus on 5-Year program and lease sale decisions. DOI's actions will help
coordinate decision making, and facilitate comprehensive management of ocean resources.
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LIST OF ACRONYMS
MMS Minerals Management Service
OCS outer continental shelf (particularly as defined jurisdictionally by the Submerged
Lands Act of 1953 and subsequent amendments, etc.)
SEMP Safety and Environmental Management Program
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PERSPECTIVES ON MARINE ENVIRONMENTAL QUALITY TODAY
Contents
1. INTRODUCTION E-2
2. THE VALUE OF MARINE ENVIRONMENTAL QUALITY E-3
3. PRESSURES ON MARINE ENVIRONMENTAL QUALITY E-5
4. THE STATE OF MARINE ENVIRONMENTAL QUALITY E-l 1
5. RESPONSES TO CHANGES IN MARINE
ENVIRONMENTAL QUALITY E-17
6. CONCLUSION E-26
7. REFERENCES E-27
8. DOMESTIC LEGAL REGIME E-31
9. LIST OF ACRONYMS E-45
This Year of the Ocean document was prepared as a background discussion paper and does not
necessarily reflect the policies of the U.S. Government or the U.S. Government agencies that
participated in its preparation.
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"... [M]an's fingerprint is found everywhere in the oceans. Chemical
contamination and litter can be observed from the poles to the tropics and from
beaches to abyssal depths...But conditions in the marine environment vary widely.
The open sea is still relatively clean...In contrast to the open ocean, the margins of
the sea are affected by man almost everywhere, and encroachment on coastal
areas continues worldwide...If unchecked, this trend will lead to global
deterioration in the quality and productivity of the marine environment."
The State of the Marine Environment, 1989;
Group of Experts on the Scientific Aspects of Marine Pollution
INTRODUCTION
Covering nearly three-quarters of the earth's surface, marine and coastal waters are the
earth's largest and most vital resources, influencing global energy cycles and biological
processes upon which all life depends. The ocean provides food, medicine, natural resources,
habitat, and essential ecological services, contributing to many valuable commercial,
recreational, and cultural opportunities. Each resource and service provided by the ocean relies
upon high marine environmental quality. The complexity and interdependence of these
resources, cycles, and biological processes are just being realized as answers are sought to
questions such as:
• What are the existing conditions of marine environmental quality?
• Are marine environmental conditions getting better or worse?
• Are coastal and ocean ecosystems healthy?
• Can the fish and shellfish be eaten?
• Can swimming be permitted?
• Is enough being done to manage environmental quality in marine and coastal waters?
• Are there alternatives to traditional regulatory approaches that should be considered
in managing pressures (e.g., land-based sources of pollution and coastal development)
on the marine environment?
» How will increases in human population, increases in consumption, and
improvements in technology affect the way people use the ocean, and what will be the
resulting impacts on marine environmental quality?
« Can/should the assimilative capacities of the ocean be seen as the "ultimate sink" for
high-risk wastes from human activities?
This paper will address marine environmental quality using a "pressure-state-response"
approach. "Pressure" is the demand placed upon the marine environment and its resources by
users, pollution, and land-based activities. "State" describes the current conditions resulting from
these pressures. "Response" is what is being done to address the pressures. For the purposes of
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this paper, "ocean" will be broadly defined to include estuarine, marine and other coastal waters
(e.g., the Great Lakes).1
THE VALUE OF MARINE ENVIRONMENTAL QUALITY
The ocean plays a critical role in energy and nutrient cycling; it supplies minerals and
other natural resources, energy, and habitat for sustaining living resources, and provides a
medium for recreation, learning and enlightenment. Nearshore ecosystems are supported by the
ocean and the interrelationship between oceanic and land systems. This interrelationship can
affect the profit and growth potential of many economic sectors, including natural resource
harvesting (e.g., minerals and oil), commercial and recreational fishing, real estate,
manufacturing, tourism, and waste assimilation. For communities and businesses around the
country, clean water can mean the difference between economic decline and a bright, prosperous
future. For marine organisms and ecosystems, marine environmental quality can mean the
difference between life and death.
Value can be quantified for some oceanic resources (e.g., oil energy) and services (e.g., •
transportation), while for other resources, values can only be approximated. Each year, 64,000
million tons of sand is mined from the ocean for construction purposes and for beach
renourishment. In the United States, offshore crude oil sites generate between $1 and $9 billion
annually and directly employ 85,000 Americans. These sites account for 15 percent of U.S. oil
production and 26 percent of natural gas production. While offshore petroleum drilling sites are
still a viable source of energy, "alternative" non-hydrocarbon renewable energy sources such as
temperature gradients and tidal energy are being explored. These alternative energy sources may
depend upon marine environmental quality. Approximately 95 percent of all U.S. foreign trade is
carried by vessels and passes through U.S. ports (MARAD, 1994). In 1992, 897 million tons of
goods equaling $488 billion passed through U.S. ports (DOT, 1994).2
Food harvested from the ocean generates approximately $38 billion in economic activity
for the nation annually. The bulk of this revenue is generated by the commercial fishing industry
which employs nearly 250,000 people and 70,000 vessels. Recreational fisheries contribute an
additional $18 billion annually to the U.S. gross national product. The impacts of poor water
quality include fish kills and shellfish bed closures, contributing to millions of dollars in lost
fishing revenues. Wetland losses, water diversions, and other construction activities have resulted
in the loss of spawning and nursery habitat, further reducing commercial and recreational
fisheries' profits. (U.S. EPA, 1996).
' This broad definition is required because of the extensive use of estuaries, wetlands, and other coastal areas by humans, marine
organisms, and wildlife dependent upon coastal ecosystems. In addition, evaluation of the interconnections between the land,
particularly coastal watersheds, and the sea is critical to understanding the value of the resources and services provided by the
ocean, and the potential impacts of land-based activities, often far from the ocean, upon ocean waters.
2 For more information, see the Ocean Energy and Minerals Resources and the Marine Transportation Year of the Ocean
Discussion Papers.
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From coral reefs to kelp forests, marine and coastal areas are as different as the life they
support is diverse. As a result, these areas attract a multitude of tourists and provide a large
variety of recreational activities. In 1993, the recreation and tourism industry was the second
largest employer in the nation, with annual sales exceeding $380 billion. Healthy coastal
ecosystems are critical to places like Martha's Vineyard, Massachusetts, Santa Cruz, California,
the Florida Keys, and similar coastal communities which enjoy revenue from tourists seeking
places to swim, fish, boat, hunt, dive, hike, and observe wildlife. The importance of good marine
environmental quality was evident in a recent survey conducted for Conde Nast Traveler
magazine, wherein 25 percent of respondents revealed that they had changed travel plans because
of environmental problems at their intended vacation destinations.
Along with direct monetary contributions, healthy marine ecosystems provide indirect
contributions to local economies through their aesthetic, artistic, cultural, and spiritual value. For
example, a 1991 American Housing Survey found that "when all else is equal, the price of a
home located within 300 feet of a body of water increases by up to 28 percent." (Smith, 1995).
Community and business leaders understand the potential value of waterfront locations, and
often use them as a focal point for urban renewal.
Coastal wetlands, mangroves, and tidal flats play essential roles in nutrient cycling and
providing habitat for wildlife, as well as protecting coastal developments from storm surges and
filtering sediments and toxins from waters. Where development has been permitted in low lying
areas close to the waters edge or in converted wetlands, infrequent yet intense storms cause
billions of dollars in damages (e.g., damage costs from Hurricane Andrew in 1993 were $25
billion). Wetlands, barrier islands, and tidal flats provide a buffer from storms and assist in
reducing shore erosion. Many municipalities and some industries are incorporating wetlands into
their wastewater treatment systems to remove nutrients, process some chemical and organic
wastes, and reduce sediment loads prior to discharge into riverine and marine waters. This form
of pretreatment reduces industry and municipality costs, protects shellfish and swimming areas
from closures, and reduces the number offish consumption advisories issued. While wetlands
help to improve and maintain water quality, they also play an important role in sustaining the
health and abundance of marine species. It is estimated that 77 percent of shellfish and marine
commercial species (Chambers, 1991) and 75 percent of all U.S. migrating waterfowl depend
upon these areas during some stage of their life cycle.
Although it is difficult to quantify, an article in Science by Costanza et al. (1997),
estimates the global value of the ocean and the services it provides to be $33 trillion per year.
Most of this value lies outside the traditional market system (e.g., commercial fisheries), and
comes instead from services such as waste treatment, nutrient cycling, and regulation of
disturbances such as floods or storms. Thus, it is important not only aesthetically, but
economically to take care of the health of the ocean and its resources.
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PRESSURES ON MARINE ENVIRONMENTAL QUALITY
Population growth, coastal development, resource demand, climate, relative sea-level
rise, and natural coastal processes all affect marine environmental quality. Yet, nearly all of the
threats to habitat and marine environmental quality are human induced pressures—from physical
alteration of the environment to pollution impacts from human activities conducted either
directly in/on marine waters or within the watershed.3 Land based activities impact marine
environmental quality, which in turn influences other land and water activities. Increasing rates
of economic growth and urbanization, pollution, and changes to ecosystems, can result in user
conflicts in the marine environment.
Economic Growth
Coastal areas are becoming increasingly crowded, with approximately 130 million
people—more than half of the total U.S. population—currently residing within 80 miles of the
coast. Growing at a faster rate than the nation as a whole, U.S. coastal populations are expected
to reach 165 million people by the year 2015 (NOAA, 1997). Population growth translates into
employment opportunities, economic prosperity, new industry, improved regional infrastructure,
enhanced educational opportunities, and increased tax revenues. However, as coastal populations
grow, so does the stress placed on the environment. The features that first attracted people to the
coast can be lost or diminished if growth is not planned for or addressed during development. Of
course, one outcome of economic growth is that an economic base is developed from which
funds can be provided to ameliorate the impacts of growth.
Increasing population generally results in the conversion of open land and forest for
activities such as commercial development, agriculture, forestry, and other activities that provide
economic growth. In addition to physically altering the habitat, coastal development can reduce
permeable surface area, thereby increasing the rate of runoff and impacting water quality by
transporting sediments, toxic chemicals, pesticides, herbicides, pathogens, nutrients, and other
pollutants to local waterways. Water recharge capacities can be reduced as habitat is changed to
accommodate urban development. This "hardening of the coast" places stress upon the water
table and can lead to saltwater intrusion and other marine environmental quality issues.
As urbanization and inland activities increase, so do the volumes of municipal and
industrial waste discharged into local waterways. This can potentially impair water quality at the
same time that demands for potable water, natural resources, energy supplies, wastewater
treatment, and transportation of goods increase. Whether from runoff or discharges, excess
nutrients, sediments, pathogens, and toxic chemicals can impair water quality. This in turn can
result in a degradation or loss of fishing opportunities, changes in wildlife populations, a
reduction in the value of wetlands and estuaries, decreases in wetlands available for water
3 Examples of activities that can impact marine environmental quality include conversion of open land and forests for
commercial or residential development, agriculture, forestry, construction, marinas, commercial fishing, shell-fishing, hydro-
modification activities (e.g., dams, dredging), and offshore drilling.
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treatment, and decreased protection from storms. When habitat is lost, wildlife suffers from a
lack of area to maintain life cycle processes.
The ongoing increase in global economic interdependency is expected to raise the value
of U.S. imports and exports from $488 billion in 1992 to $1.6 trillion in 2010, while the volume
increases from 897 million metric tons to 1.5 billion metric tons (U.S. DOT, 1994). Associated
with this economic growth is an increase hi potential impacts on marine environmental quality
from the additional vessels, port activities, personnel, and other associated industries required to
accommodate the production and transport of these additional goods and services. For example,
with greater numbers of ships accessing U.S. ports, the potential for the introduction of non-
indigenous species through ballast water exchange has increased proportionally.
Increasing demands for shellfish and commercial fish have spurred competition and
technology improvements to increase fishing capabilities. According to the National Marine
Fisheries Service, commercial landings by U.S. fishermen reached 10.5 billion pounds in 1993.
Increased catches in the 1990s, however, reflected the increasing harvest of lower-valued species,
as traditional commercial stocks became overfished in the late 1980s and 1990s (NMFS, 1996).
Over-exploitation, in concert with impacts from pollution, habitat degradation, habitat
modifications such as dams, and by-catch waste4, has resulted in a depletion of some edible fish
stocks, placing some ecosystems on a path toward unsustainability, and leaving some fishing
industries on the brink of collapse.
The travel and tourism industry is the largest and fastest growing segment of the
expanding service industry in the United States. About 85 percent of all tourism revenues are
received in coastal states, but with these revenues come increased demands for drinking water,
housing, wastewater treatment, and recreational activities. As leisure pursuits change, so do the
demands on waterway uses and water quality. According to the Sports Fishing Institute,
Americans participated in 166 million days of fishing in 1990, and approximately 4 million
people over the age of 16 participated in shell fishing. The recreational boating industry is
growing rapidly with 73.4 million boaters having spent $10.5 billion on related products and
services in 1991. Already stressed from pollution, reefs are at risk as increasing numbers of
recreational divers concentrate at the ever fewer number of reefs still harboring great biological
diversity.
Demands for energy and natural resources promote offshore exploration drilling and
mining. These activities can impact marine habitats and water quality through physical
disturbances, introduction of pollutants, and suspension of sediments into the water column.5
Eventually, the benefits derived from unregulated and uncontrolled economic growth and
urbanization in an area can come full circle and be outweighed by losses of economic growth as
residents, tourists, businesses, and industry choose to move to other areas where an infrastructure
4 By-catch waste is defined here as marine life caught during commercial operations which are not the targeted species. Often
these organisms are discarded.
5 For more information see the Ocean Energy and Mineral Resources Year of the Ocean Discussion Paper.
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exists that can support the demands of multiple uses and still provide an aesthetically pleasing
environment.
Pollution Pressures
Direct Discharges
Direct discharges are defined here to include releases from vessels, discharges of
municipal and industrial wastewater via pipelines, and dumping of waste materials, such as
dredged material, into ocean waters. In the United States, there are more than 2,000 sewage
treatment plants, municipalities, and industrial facilities discharging effluents into estuarine and
coastal waters. Approximately 2.3 trillion gallons of effluent are discharged into marine waters
from sewage treatment facilities annually. While most of this sewage meets secondary treatment
standards prior to disposal, nutrients and pathogens from such discharges can contribute to the
degradation of local marine ecosystems—creating "dead zones"6 and forcing the closure of
shellfish beds and swimming areas. Nutrient loading can be significant causes of degradation to
coral reefs and other coastal ecosystems.
More than 2.8 billion gallons of industrial waste water per day7 are discharged directly
into U.S. ocean waters (U.S. EPA, 1994). Many of the chemicals discharged into marine waters
can be toxic even in minute concentrations, and can compromise the water column, contaminate
sediments, and concentrate in marine organisms. Leaching from hazardous waste sites has been
the source of many toxins in marine waters (e.g., In New York, PCBs are leaching into the
Hudson River in from an abandoned industrial plant). Exposure to these chemicals and metals
can pose risks of acute or chronic8 toxicity to marine organisms. In addition, the risks to
predators and humans can be increased if toxins become concentrated through the food chain. In
some locations, thermal pollution from electric generating plants has been shown to stress marine
organisms by raising the ambient temperature of the water.
During operations, vessels may be responsible for directly discharging oil, sewage,
garbage, and non-indigenous species into marine waters. Some pollutants are from direct
discharges (e.g., the emptying of sewage from vessel toilets, or ballast water exchange), while
others may be a result of leaching (e.g., anti-fouling agents or paints).9 Once discharged,
pathogens in sewage can impact drinking water intakes (e.g., in the Great Lakes), and necessitate
the closing of shell fishing and swimming areas; discharged nutrients, meanwhile, can increase
eutrophication.IO>1! Oil and other chemical contaminants washed or discharged into the ocean may
6 Dead zones are areas within a water body where the oxygen level in the water is so low that plants, fish, and other marine
organisms are unable to survive.
7 This estimate excludes electric utilities and offshore oil and gas effluents.
8 Acute levels of toxins are defined as lethal, while chronic levels are sublethal and result in disease or disruptions to
physiological or reproductive processes.
9 According to 1991 customs data, ballast water exchanges from foreign vessels exceeds 58 million gallons per day (Shipping
Study, 1995).
10 Eutrophication is the increase in biological productivity of an aquatic system as a result of natural or artificial inputs of
nutrients.
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be suspended in the water column, ultimately settling in sediments and concentrating in marine
organisms. Discharged garbage12 adversely affects marine life (due to entanglement or ingestion),
and can also cause vessel damage through propeller entanglement and by disabling engines when
sucked into intake valves. The potential negative consequences of invasions of non-indigenous
species are becoming an increasing concern at ports and coastal areas.
In U.S. coastal and ocean waters, dredged material is the primary waste transported and
directly disposed.13 The U.S. disposes of approximately 300 million cubic yards of dredged
material each year from inland and coastal waters, only 60 million cubic yards (20 percent)14 of
which are disposed of in open ocean waters. Unregulated and uncontrolled disposal of dredged
material can increase suspended solids in the water column and smother benthic organisms. If the
sediments are contaminated, there is a potential for acute or chronic toxicity in marine organisms
and a risk to human health (U.S. EPA, 1991).
Indirect Discharges
One to two-thirds of pollutants contributing to the degradation of coastal and marine
waters are from indirect sources, and include sediments, nutrients, pathogens, and toxic
compounds. The difficulty in controlling these pollutants is the diverse array of sources (which
include runoff and seepage from agricultural and urban areas, and air deposition onto land and
into water) and the multiple methods of transport. Nationwide, it has been estimated that indirect
loadings account for more than half of the suspended solids, nutrients, fecal coliform, and metals
entering coastal waters annually. Runoff from non-urban areas, sewage spills and overflows,
urban storm water runoff, and combined sewer overflows are often responsible for seafood
advisories and shellfish bed and beach closings.
Pollutants from agricultural and pasture lands include sediments, fertilizers, pesticides,
herbicides, and animal wastes which contain bacteria and nutrients. Eighty-eight percent of the
total suspended solids entering marine waters are from agricultural runoff, contributing to water
quality problems such as light attenuation and the smothering of sensitive ecosystems (U.S. EPA,
1995). Excessive nutrients can stimulate the growth of algae and other plants and organisms,
which in turn deplete the levels of dissolved oxygen and harm aquatic life; too many nutrients
can also trigger toxic algal blooms. Bacteria and pesticides from agricultural and pasture lands
can kill aquatic life, contaminate seafood, and necessitate the closing of shellfish beds. Cleared
land has a reduced capacity to absorb water, resulting in increased sediment transport, increased
flooding, reduced recharging capabilities of local aquifers, and increased quantities of toxic
chemicals and nutrients transported to local waterways.
11 The Centers for Disease Control have linked an outbreak of illnesses during the summer of 1997 to waterborne pathogens
originating from vessel discharges of sewage in shell fishing areas in the Gulf of Mexico (CDC, 1997).
12 Garbage includes but is not limited to: glass, metal, paper, plastics, and food wastes.
13 While several other nations dump industrial wastes and sewage sludge into ocean waters, the U.S. stopped industrial waste
dumping in 1988 and ended such sewage sludge disposal practices in 1992.
14 It should be noted that an estimated 5-10 percent of all sediments dredged in the United States are not suitable for open water
ocean disposal (NRC, 1997). Alternative disposal is sought for these sediments.
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Many of the pollutants from urban areas are washed to sea through storm sewers. The
volume and flow rate of runoff from yards and streets into sewers increases as more land is
developed, thus the volume of pollutants such as oil, fertilizers, and litter that is transported to
waterways also increases. Fourteen percent of estuarine miles in the United States are impacted
from oil and grease (U.S. EPA, 1994c). Oil and grease together are major contributors to
estuarine degradation, with 363 million gallons of oil originating from land and municipal and
industrial wastes. Annually, oily road runoff from a city of 5 million could contain as much oil as
one large tanker spill (Ocean Planet, 1995). Over two million pounds of cadmium, copper, and
zinc are carried to U.S. waters from urban areas annually (U.S. EPA, 1984). Nearly 80 percent of
marine debris comes from land-based sources, either washed directly into waterways or arriving
through storm sewer and combined sewer overflows (Coe, 1996).
Another source of indirect discharges is atmospheric deposition. The scientific
community and coastal managers now recognize the importance of atmospheric deposition in
causing surface water contamination, and have developed and refined models describing the
processes of atmospheric deposition of nitrogen, phosphates, mercury, and other toxic chemicals.
As much as 67 percent15 of the total nitrogen load delivered to the Tampa Bay, Florida,
watershed (TBNEP, 1996), and 80 percent of PCBs in Lake Superior (NOAA, 1997), are
believed to originate from atmospheric deposition.
Accidental Releases
Because industrialized society depends on petroleum products to maintain its accustomed
standard of living, large volumes of petroleum are transported each day in the coastal and marine
environment. These large volumes are moved by vessels as cargo and fuel, and through
pipelines. Fixed facilities, offshore exploration and production platforms, tanker spills, and
natural oil seeps contribute millions of gallons of oil to the world's marine waters annually.
Spills and leaks cause the formation of tar balls, oil slicks, and tar mats, and can impact the
micro-layer, the benthos, the coast, and marine life.
Ecosystem Alteration
While often necessary to ensure vessel accessibility to ports or to control flooding, hydro-
modification projects, such as dams, flood control channels, dredging, water diversions, and the
development of wetlands, have profound impacts on coastal and marine habitats—changing the
natural flow, timing, and volume of freshwater inflow and sediment depositional patterns in bays
and estuaries. This is of particular concern in estuarine areas where changes in water flow can
alter the salinity of the ecosystem, increase stress on marine organisms, decrease or eliminate
protection from storms16, and reduce recharge areas. Alteration of flow can also impact marine
systems by transporting pollutants and resuspending sediments and toxic chemicals, thereby
increasing the potential for concentration of toxins in marine organisms and humans. Activities
' 5 This includes dryfall and wetfall to both the bay and the Tampa Bay Watershed.
'6 The Charles River Basin in Massachusetts determined that the loss of 8,442 acres of wetlands would increase flood damage
costs by approximately $17 million (Thibodeau, 1981).
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such as sandmining, drilling, and shell fishing can physically disrupt benthic habitats and
resuspend toxic chemicals and sediments in the water column.
The introduction of non-indigenous species often results in unexpected ecological,
economic, and social impacts to the coastal and marine environment. Predation and competition
by non-indigenous species has resulted in the eradication of some native populations and the
drastic reduction of others, thereby altering local food webs. This process is often compounded
by the exploitation of commercial fish. Overpopulation of some non-indigenous species has
resulted in the degradation and loss of wetland vegetation and other submerged aquatic
vegetation as a result of overgrazing (e.g., nutria). Additional impacts of non-indigenous species
can include (U.S. EPA, 1997):
• the introduction of pathogens to coastal waters
• alteration of water tables
• modification of nutrient cycles or soil fertility
• increased erosion
• interference with navigation
• a reduction in sport and commercial fishing yields
• negative impacts on recreational boating and beach use
Overfishing can portend the beginning of an ecologically unsustainable trend. Practices
such as "Growth overfishing"17, cyanide, or dynamite fishing18 involve the taking of all marine
species without concern for size or species. The result is that noncommercial species are killed
during the harvesting process of desirable species, or that species are harvested before they reach
maturity and can reproduce. This removal of multiple species can alter the ecosystem.
19
Climate Change
Throughout time, climate change has affected coastal and marine environments and will
continue to do so in the future. However, human activities and alterations to the environment
have rendered coastal resources more vulnerable to the effects of climate change. Such effects
include accelerated sea-level rise, increased siltation, altered rainfall patterns, and changes in
storm frequency and intensity. Over the past 100 years, the relative sea level has risen by 1 to 2.5
mm/yr. Climate change and a rise in sea level or changes in storms patterns could result in
increased erosion of shores, changes in coastal and marine habitats, increased coastal flooding,
changes in salinity of estuaries and freshwater aquifers, altered tidal ranges in rivers and bays,
changes in sediment and nutrient transport, and changes in the pattern of chemical and
microbiological contamination of coastal areas. Projections based on long-range climate models
17 Growth overfishing refers to harvesting that results in a reduction in the average size offish or shellfish landed, and often
involves taking fish prior to their reaching sufficient size for reproduction.
18 In some regions of the world, cyanide and dynamite are used in the harvesting offish. This method kills not only the target
species but all marine life in the area.
19 For more information on oceans and climate change issues such as relative sea-level change, tectonic subsidence, sediment
budgets and longshore currents, see the Climate and Weather Year of the Ocean Discussion Paper.
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Figure 1: Leading Sources of Water Quality Impairment
(Source: EPA, 1995)
suggest that freshwater discharges, from the Mississippi River to the coastal ocean will increase
20 percent if atmospheric carbon dioxide concentrations double. This is likely to affect water
column stability, surface productivity, and global oxygen cycling in the northern Gulf of Mexico.
Increased temperatures in the open ocean could result in a shifting of the geographical
distribution of certain species.
THE STATE OF MARINE ENVIRONMENTAL QUALITY
Good environmental quality is essential for sustaining coastal and marine ecosystems,20
commercial and recreational fisheries, and economic growth in coastal communities. It is also an
important means of providing natural protection against rising sea levels and storm damage. The
health of coastal and marine ecosystems is affected by water quality, and in turn, water quality is
dependent upon ecosystem health. If one is impaired, the other is threatened. Despite their value
and the programs designed to protect them, many coastal waters are being degraded at an
alarming rate. According to the 1994 National Water Quality Inventory, 44 percent of U.S.
estuarine waters are not supporting their designated uses (e.g., fishable or swimmable). Figure 1
shows the major sources of pollution impairing monitored estuarine waters in the United States.
20 Marine and coastal areas include a wide variety of systems, such as: wetlands, tidal marshes, sea grass beds, kelp forests,
mangrove swamps, coral reefs and deep-sea vents. They provide refuge, food, and nursery areas for shellfish, fish, birds, worms,
other wildlife, and a diversity of plant and bacterial life.
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Water Quality in Marine Ecosystems
To understand the current status of water quality in marine environments, it is necessary
to consider nutrients levels, along with the extent of contamination by pathogens, chemicals, oil,
and debris/litter.
Nutrients
Nutrients have an ambiguous position in the assessment of water quality—they are
necessary to support healthy marine ecosystems, but in excess, they can lead to severe oxygen
depletion. Excess nutrients also stimulate the growth of dinoflagellates and nuisance algae, such
as blue-greens which are often toxic to estuarine and marine animals. This stimulation in growth
know as blooms, can have such effects as causing fish kills or manatee deaths, and in some
instances may threaten human health. Since the end of World War II, increases in human
population density, fertilizer use, animal husbandry, and changes in land use, have contributed to
increased nutrient inputs from runoff that range in magnitude from two- to ten-fold. It has been
estimated that 40 percent of estuarine and coastal waters are not "fishable or swimmable,"
primarily because of nutrients and bacteria from urban and agricultural runoff and municipal
wastewater discharges (U.S. EPA, 1995a). Recent studies have shown air deposition of nitrogen
is also a significant contributor to nutrient over-enrichment of marine waters. For example, 21
percent of nitrogen loadings to the Chesapeake Bay are from air deposition (Valigura, 1996).
Pathogen Contamination
Viruses, bacteria, and protozoa can cause diseases in plants, humans, and other animals.
In excess, they contribute to closures of shellfish beds and swimming areas, fish kills, and
seafood consumption warnings. The good news is that "approved" shellfish harvest waters are at
an all time high. Of the 25 million shellfishing acres classified in 1995, about 59 percent are
"approved" for shellfishing, and restrictions on shellfishing waters are at their lowest levels since
1980. There has been a significant decrease in shellfishing acreage that has harvest limitations
due to pollution from industry, wastewater treatment plants, and direct discharges; however,
there has been an increase in the acreage that is "harvest limited" as a result of boating, marinas,
urban runoff, and agricultural runoff (NOAA, 1997). Overall, the condition of shellfish harvest
waters in the United States is improving.
During 1996, there were at least 2,596 individual closings and advisories for ocean, bay,
and Great Lakes swimming beaches due to bacterial contamination. Over 80 percent of the beach
closings and advisories in 1996 were based on monitoring that detected bacteria levels exceeding
beach water quality standards.21 Decreases in hurricane activity in Florida and decreases in the
number of heavy storms in California (NRDC, 1997) resulted in fewer combined sewer overflow
events and reduced the number of beach closings in 1996. The number of beach closings due to
21 For, example, beaches can be closed to swimming when there is a risk of catching waterborne diseases from raw sewage
contamination.
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pathogen contamination continues to decrease as a number of metropolitan areas upgrade their
sewer systems and separate their storm drains and sewer systems.
Chemical Contamination
Since 1940, more than 70,000 synthetic chemicals have been introduced into the marine
environment, impacting areas such as the Mobile Delta, where excessive levels of mercury in
finfish resulted in the closing of some fishing areas from 1970-72 and again in the early 1990s
(U.S. EPA, 1997). Efforts to reduce chemical loadings to marine waters have had some success.
Away from the influence of urban sources, offshore monitoring of toxic chemicals has shown a
decline in the concentrations of chemicals which have been banned from use in the United States
(NOAA, 1997). Meanwhile, reported releases of toxic chemicals to surface waters of the United
States decreased by 4.1 million pounds (a decrease of more than 10 percent) from 1994 to 1995
(U.S. EPA, 1997b).22 The decrease in toxic chemicals released to surface waters is a reflection of
real changes in industry practices such as source reduction,23 installation of pollution control
equipment, increased recycling and reuse of waste as raw materials, production changes, and a
reduction in the number of one-time events (e.g., spills).
Over the last decade, chemical contamination of aquatic sediments has been recognized
as a serious problem in some U.S. coastal waters. In Puget Sound, hot spots of toxic chemicals
have been shown to alter and reduce the bottom-dwelling community, to interfere with cellular
and physiological processes, and to cause disease in fish. Most hot spots are in areas of high
vessel traffic, industrial activities, or poor flushing and are often located near urban centers
(NOAA, 1994). Other adverse economic impacts of contaminated sediments include delaying or
raising the cost of maintenance dredging of navigational waterways due to the potential dangers
of resuspending toxic chemicals into the water column or the need to find disposal sites for the
sediments.
Oil Contamination
In 1996, approximately 4,200 oil spills occurred in coastal areas and in the open ocean.
Spill sources range from minor marina activities to one-time releases from tankers (U.S. DOT),
with major tanker spills accounting for only 5 percent of the volume of oil spills. Fixed facilities
and offshore exploration and production platforms contribute 15 million gallons of oil pollution
to the world's ocean bodies annually. By contrast, 363 million gallons of oil per year reaches the
ocean in runoff from land and municipal and industrial wastes. In fact, the yearly road runoff
from a city of 5 million could contain as much oil as one large tanker spill (Ocean Planet, 1995).
Natural oil seeps discharge 62 million gallons of oil into marine waters annually. Effects on
organisms from oil spills can be acute, such as fish kills from initial contact with the toxic
22 This information is from Table 5-1 in the 1997 Toxic Release Inventory. It has been corrected for additions and subtractions
of chemicals to the list and for changes in the number of industries monitored, but does not include ammonia, hydrochloric acid,
or sulfuric acid.
23 This includes such actions as elimination of spills and leaks during normal operations, process changes, and chemical
substitutions.
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fractions of petroleum, or subtle, such as chronic effects on reproduction which become evident
as toxic chemicals concentrate through the food web of an ecosystem. Effects on human
populations are realized through economic losses, such as those associated with the loss of a
fishery or tourism. Particularly susceptible to injury from releases of oil are exposed shorelines,
shallow reef environments, estuaries, mangrove forests, and wetlands (U.S. EPA, 1993).
Marine Debris/Litter
Two hundred and sixty-seven species of marine organisms are known to ingest or become
entangled in marine debris that causes injury and sometimes death (MMC, 1995). Coastal
communities can lose millions of annual tourism dollars, experience declines in commercial and
recreational fish stocks, incur damages to vessels, and see declines in property values as a result
of marine debris. Annually, $1.5 million is spent by coastal communities in New Jersey to
remove debris from beaches and coastal waters in order to prevent a repetition of the 1987 and
1988 beach seasons when $2 billion in tourist revenue was lost as a result of debris washing
ashore. Lost or neglected fishing gear contributes to the depletion of commercial fisheries.24 And
while numbers for the United States are unavailable, Japan estimates that in 1992, the Japanese
fishing industry spent $4.1 billion dollars in boat repairs resulting from damage caused by marine
debris. Sources of marine debris include vessels and beachgoers, but recent studies show that 80
percent is likely to be from indirect sources such as street litter, improperly sealed waste
receptacles, landfills, and from combined sewer overflow events. Annex V of MARPOL, an
international treaty banning the dumping of plastics from ships and regulating other garbage
discharges, has been in place since 1988 and improvements are being made to reduce marine
debris from ships.
Ecosystem Change
U.S. coastal areas, land and water, support an extensive and unique set of ecological,
commercial, and recreational functions, and provide food, shelter, and nursery areas for birds,
marine invertebrates, fish, and other wildlife. Across the nation, estuaries contain 32,300 square
miles of wetlands, 21,900 square miles of shellfish waters, and 27,000 public recreation sites
(Baily, 1993). Despite their ecological importance, many of these productive areas have been
modified or lost to support residential, agricultural, industrial, and commercial growth. As
habitat is lost, wildlife systems are strained for sufficient area to maintain life-cycle processes.
Habitat Alteration
Since the 1700s, the 48 contiguous states have lost nearly half of their original wetlands
(Watzin and Gosselink, 1992). Twenty-five years ago, wetland losses were estimated at 460,000
acres each year. Today, wetland losses are estimated to be one-fourth of that rate or less (U.S.
EPA, 1997). Nonetheless, physical alteration or degradation of habitat continues to occur, with a
24 For example, approximately 31,600 crab pots were lost in Bristol Bay, Alaska, between 1990 and 1991; if each trap caught
and killed one legal-sized crab per year, the annual catch would be 205,400 pounds.
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concomitant loss of diversity, as a result of human activities such as channelization, drainage for
agricultural purposes, development, and dredging.
Such a drastic decrease in habitat acreage has had a great impact on marine and terrestrial
species dependent upon these ecosystems for spawning, nurseries, and habitat. During some
stage in life, 77 percent of all commercial species and 80-90 percent of recreational fish and
shellfish catches rely upon wetland areas (NOAA, 1997). Eighty percent of endangered species
depend on habitat within 10 vertical feet of sea level (NOAA, 1995). Between 80 and 90 percent
of U.S. shorelines are undergoing net long-term erosion; while some of this erosion is due to
natural processes, erosion resulting from anthropogenic factors has increased over the past
century. The development of tidal flats and barrier islands has eliminated unique and essential
habitats for many plants and animal species.
In addition to physical alterations, water quality impairment and habitat loss can be
caused by excess nutrient loading, sedimentation, and increasing levels of pathogens and toxic
chemicals. Sediment and nutrient loadings have increased turbidity and light attenuation, thereby
killing submerged aquatic vegetation. Only 10 percent of the seagrass beds that existed several
decades ago still exist today. In Florida, siltation and nutrient loads have reduced mangrove
forests by approximately 24 percent and caused severe damage to coral reef systems (U.S. EPA,
1997). Alteration of the natural flow can have significant effects on water quality, health, and
distribution of living resources. In the upper Laguna Madre River of the Corpus Christi Bay,
changes in freshwater flow in 1996 have increased salinities from 10-20 ppt25 to 55 ppt (U.S.
EPA, 1997). The change in salinity has decreased the total productivity of the oyster population
and reduced the economic value of the estuary.
While the dredging of harbors and shipping channels can cause temporary increases in
turbidity, dredging is necessary for port accessibility and navigational safety. Recent years have
seen a change in emphasis on dredged material management. Ports lose revenue when vessels
change their destination to ports with shipping channels deep enough to accommodate them. It is
now recognized that dredged material can also be a resource for enhancing or building wetland
habitats, or for other uses such as beach renourishment. Beneficial use of dredged material
usually costs more than traditional open water disposal methods. However, with the passage of
more consistent cost-sharing formulas between federal and local project sponsors (e.g., the Water
Resources Development Act of 1996), it is expected that the amounts of dredged material used to
build habitats will continue to increase.
On a more global scale, climate change as manifested by rises in sea level and changes in
storm patterns and storm surges has led to environmental impacts that include:
• increased erosion
• increased salinity of estuaries and freshwater aquifers
• altered tidal ranges in rivers and bays
25 ppt equals parts per thousand
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• increased coastal flooding
• changed sediment and nutrient transport patterns
• changed patterns of chemical and microbiological contamination in coastal areas
Secondary impacts from climate change that may occur include inundation of waste disposal
sites and landfills from storm surges which result in the reintroduction of toxic materials and
increased siltation into the marine environment. Areas in the U.S. Gulf Coast are experiencing a
relative sea level rise of 10 mm/year. In Oahu, Hawaii, one quarter of the beaches have been lost
or significantly degraded over the past 50 years due a multiple of marine environmental
pressures, but heightened storm surges could greatly increase this rate.
Adverse Biological Effects26
The over-exploitation of living resources, the physical destruction of habitats, pollution,
changes in climate, and the introduction of non-indigenous species, all combine to threaten the
biodiversity, integrity, and productivity of marine and coastal ecosystems. Over-exploitation of
species reduces their ability to maintain population levels.27 Overfishing can create an imbalance
in ecosystems by depleting food resources for predators while allowing populations on which
depleted species would have otherwise fed to grow. This can be the beginning of an ecologically
unsustainable trend.
The introduction of exotic or non-indigenous species into an area, whether intentionally
or accidentally, often results in unexpected ecological, economic, and social impacts to the
marine and estuarine environment. These occurrences often pose threats to local species that are
relied upon for food, medicine, recreation, and raw materials (Norse, 1993). Through predation
and competition, introduced species have contributed to the eradication of some native
populations and drastically reduced others, fundamentally altering food webs. In San Francisco
Bay, California, Amur River clams have become so abundant that they can filter a significant
volume of the Bay in less than a day, removing the bacteria, phytoplankton, and zooplankton that
are necessary to support the local food web. Zebra mussels are responsible for millions of dollars
in water supply maintenance costs in the Great Lakes. In the Delaware Estuary, Haplosporidium
nelsoni, a parasitic protozoan, has caused catastrophic die-offs of American Oyster. It is thought
that this organism was transferred from Asia or the U.S. West Coast via ballast water (Ford,
1996). The Asian clam, Corbicula fluminea, dominates the bivalve community in the area
between Trenton, New Jersey and the Chesapeake and Delaware Canal. In some areas, this exotic
clam makes up 94 percent of the total benthic invertebrate biomass (Maiden, 1993).
26 For more information, see the Year of the Ocean Living Resources Discussion Paper.
27 For example, total finfish landings have declined from 2.9 million pounds in 1980 to less than 340,000 pounds in 1989,
mainly as a result of "growth overfishing", a reduction in the size of fish caught and stock depletion. Of the species found in the
Indian River Lagoon basin in Florida, 75 are listed as rare, threatened, endangered, or species of special concern by state or
federal agencies. In Corpus Christi, Texas, the numbers of shrimp landed in the bay fishery have increased more than 300
percent since 1972. In 1996, 1,871 bay shrimp boat license holders plus 1,806 bait shrimp license holders trawled in these bays
harvesting an already depleted stock.
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Habitat may be directly affected by development and water control efforts, but
degradation due to toxic chemicals, excessive nutrients, sediments, and oil can be just as
devastating. Habitat alterations from these causes range from physical smothering to changes in
population structure associated with exposure to chemicals in the water and sediments. Pollutants
such as pesticides and herbicides threaten living resources by contaminating the food chain and
eliminating food sources. Contaminants in runoff and toxic releases can alter aquatic habitat,
harm animal health, reduce reproductive potential, cause disease, and contribute to behavioral
abnormalities that may affect organism survival and suitability for human consumption.28
There is evidence that suggests certain pollutants or changes in marine water quality (e.g.,
increased nutrients) may initiate, maintain, and extend the duration of toxic algal blooms and
further impact human health and marine organisms. These blooms are thought to be initiated
from offshore patches of organisms that are transported to coastal waters where high nutrient
levels sustain the bloom conditions. For example, in 1996, 149 manatees died in Tampa Bay,
Florida, after exposure to a toxic red tide that remained behind the barrier islands well into the
spring migrating season. In another case, high phosphorus levels are thought to be one of the
conditions required to trigger Pfiesteria blooms such as occurred in North Carolina and
Maryland, and resulted in associated fish kills and human health concerns (U.S. EPA, 1997).
RESPONSES TO CHANGES IN MARINE ENVIRONMENTAL QUALITY
Three decades ago, water quality was at an all time low, with rivers catching on fire,
harbor areas of cities being deserted, great numbers of shellfish beds closing on an annual basis,
and people getting sick from swimming. In the 1970s, Congress passed several laws to address
environmental problems, of which the most significant for the protection of marine waters were
the Clean Water Act, the Marine Protection Research and Sanctuaries Act, and the Coastal Zone
Management Act. However, laws alone do not suffice to cleanup, prevent, improve, or protect
water quality—people must become actively involved. Among the many means to protect marine
and coastal waters are: .
• the traditional regulatory approach which includes the permitting of specific
discharges;
• risk prioritization and pollution prevention; and
• the watershed approach which looks at the sources of pollutants as well as the system
to which they are discharged.
Whether voluntary or as a result of regulations, actions taken to improve water quality should be
based upon sound science, consider the needs of all users of marine environments, and take into
account technological and economic constraints.
28 In Sarasota Bay, Florida, the alteration and degradation of juvenile fish habitats, seagrass beds, and wetlands are the most
likely causes of the 50 percent decline in commercial landings of sea trout over the past 30 years. Over the past 50 years, bird
populations in the Tampa Bay area have dramatically decreased due to water quality impacts on their natural habitats (U. S.
EPA, 1997).
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While some shellfish beds remain closed today, and some beaches continue to be closed
for days at a time, overall water quality in the United States has vastly improved. While much
progress has been made, the environmental problems facing ocean and coastal waters present
formidable challenges to the scientific and technical communities, who seek to understand
natural processes and delineate causes and effects, as well as to policy makers, regulators, and
stakeholders, who prioritize actions and allocate limited funds.
.29
Legislative and Regulatory Framework
In 1972, the Federal Water Pollution Control Act was passed. Subsequently reauthorized
and renamed the Clean Water Act (CWA), this Act has set the basic structure for regulating
discharges of pollutants into waters of the United States. The goal of the CWA is the "restoration
and maintenance of the chemical, physical, and biological integrity of the Nation's waters" (33
U.S.C. §1251(a)). Various sections of the CWA provide for monitoring programs, ecosystem
management, non-point source pollution control, best management practices of pollutants,
wetlands protection, and water quality controls. Under the CWA, it is illegal to discharge
pollutants into U.S. waters without a permit. The U.S. Environmental Protection Agency (EPA)
is responsible for establishing water quality standards for specific pollutants and developing
discharges guidelines for specific industries.
The CWA has been successful in reducing pollutant loadings from point sources, but a
bigger challenge remains in reducing pollutant loadings from non-point sources. Under the
CWA, states are directed to develop management plans for non-point sources of pollution,
including the identification of best management practices and programs to implement such
practices on a watershed basis to the maximum extent practicable. The Coastal Zone Act
Reauthorization Amendments of 1990 (CZARA) and the CWA also established the National
Estuary Program (NEP), which is a consensus-based approach designed to identifying key
problems in a particular estuary, develop a plan to address those problems, and implement the
actions in the plan. There are 28 NEPs nationwide, 17 of which are now implementing approved
plans.
There are many users of the coastal areas of the United States. The Coastal Zone
Management Act was enacted to provide for the management of the nation's coastlines by
balancing economic development with environmental preservation to "preserve, protect, develop,
and where possible, to restore or enhance the resources of the Nation's coastal zone" (16 U.S.C.
§1452). This Act also provides for a state-administered regulatory program for non-point sources
in coastal areas. The River and Harbor Act of 1899 states that all modifications to navigable
waters require a permit. The issuance of these permits are subject to public review and the
National Environmental Policy Act.
29 This section on Legislation/Regulation is only a sample of the most important legislation and regulations related to coastal
and marine waters.
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The Marine Protection, Research, and Sanctuaries Act establishes national marine
sanctuaries for areas that have special significance based on their "conservation, recreational,
ecological, historic, research, educational or aesthetic qualities" and controls dumping of wastes
into ocean waters. The objectives of the national marine sanctuaries program are as follows:
(1) establish sanctuaries in areas of special national significance (currently there are 12
national marine sanctuaries)
(2) develop and implement coordinated protection and management plans for sanctuaries;
(3) facilitate public and private uses insofar as they are compatible with resource
protection
(4) support scientific research and public education in the sanctuaries
As noted previously, dumping of sewage sludge and industrial wastes ceased in the United
States as a result of the Ocean Dumping Ban Act of 1998. Disposal of dredged material into
ocean waters is controlled by regulations under the Marine Protection, Research, and Sanctuaries
Act.
As a result of the Exxon Valdez oil spill in 1989, Congress passed the Oil Pollution Act
of 1990. This legislation established more stringent requirements for preparedness and
prevention of spills which were implemented by regulations promulgated by the U.S. Coast
Guard. Industry and government were mandated to take measures to reduce the risk of a
catastrophic release of oil into the marine environment. As a result of this law, transporters of oil
and production facilities were required to develop and implement response plans, participate in
preparedness drills, and maintain safe shipping and handling practices.
The International Convention for the Prevention of Pollution from Ships, commonly
known as the MARPOL Treaty, also governs the release of oil, hazardous substances, and
garbage into the marine environment. Annex I of MARPOL deals with the prevention of
pollution by oil and places requirements on new oil tankers; Annex II governs noxious liquids
carried in bulk; Annex III governs packaged harmful substances; Annex IV deals with the control
of sewage and other "grey water"; and Annex V deals with garbage (which includes plastics,
metal, glass, galley wastes and other materials.)
The conservation offish and wildlife is addressed through a number of statutes such as
the Fish and Wildlife Coordination Act, which requires the U.S. Fish and Wildlife Service and
the National Marine Fisheries Service to review any action that may affect any body of water and
to make recommendations for the conservation offish and wildlife. This includes (1) determining
standards for water quality, (2) studying methods for abating and preventing pollution and
recovering useful products, and (3) collecting and distributing data on the results of
investigations. The Sustainable Fisheries Act of 1996 mandates the protection of essential fish
habitat, including protection from impacts other than fishing. Living marine resource
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management within the 200 nautical mile Exclusive Economic Zone is the responsibility of the
federal government and regional Fishery Management Councils. Nearshore fisheries within
approximately 3 nautical miles from U.S. shores are managed by coastal states and interstate
marine fisheries commissions. This joint and overlapping jurisdiction requires that these councils
work together to protect fisheries resources. The Endangered Species Act directs federal agencies
to ensure that actions they authorize or conduct are not likely to jeopardize the continued
existence of endangered or threatened species, or result in the destruction or modification of their
critical habitat. The Marine Mammal Protection Act provides a framework to develop specific
protection programs for marine mammals.30
In a 1997 report, the National Research Council (NRC, 1997) concluded that
"Developing a coherent framework to guide the nation's activities in the ocean and coastal
regions is especially important in this time of growing national interest in the ocean, which
includes heightened awareness of the need to protect it, along with recognition of new
opportunities to utilize marine resources." The National Research Council recommended that the
general elements of the framework include: (1) creation of a National Marine Council which
would improve coordination and facilitate issue resolution among federal agencies, (2) creation
of regional marine councils to coordinate and facilitate issue resolution at the local level, (3)
enhancement of individual federal ocean/coastal programs, and (4) adoption of management
tools by the regional councils and agencies, such as zoning and the creation of refuges, and user
charges.
Technical Basis for Action and Research Programs
Many of the ocean's functions and processes remain a mystery. For example, studies
indicate that the relative contribution of pollutant loading from atmospheric deposition can be
significant. Yet to date, knowledge of atmospheric and surface water processes is not sufficient
to determine, with confidence, the overall magnitude and impact of atmospheric deposition on
marine waters. Knowledge gaps such as this have been recognized by researchers, planners, and
governments. U.S. government funding of coastal research was $67331 million between 1991 and
1993 (NSTC, 1995). In 1997, the Department of Defense, the Navy, and the Army spent nearly
$90 million in basic ocean research and more than $50 million in applied ocean research.32 State
and local governments, universities, private nonprofit institutions, and industrial organizations
also spend additional large, but unqualified, sums annually for activities that support coastal
science.
The Clean Water Act, the Comprehensive Environmental Response, Compensation and
Liability Act, and the Oil Pollution Act of 1990 created an upsurge in research and development
efforts. These efforts have focused on prevention, clean up, and spill mitigation. Recent emphasis
has centered around the human health aspects of marine environmental quality and on
30 See the Living Resources Year of the Ocean Discussion Paper.
31 DOD contributions to coastal science are not included in this figure.
32 These funding levels do not coyer marine environmental quality at the basic research level; those funding levels are included
in Chemistry by DDR&E.
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incremental improvements in technology, resource reduction, equipment, pollution prevention,
and response strategies. Such improvements have resulted in new regulations and the transfer of
"state-of-the-art" technologies to other industries and sectors. Agencies have incorporated risk
analysis and cost benefit analysis into their programs to ensure they are "reality based." To offset
decreases in funding, agencies are exploring more opportunities to increase cooperation and
share resources while conducting research and developing management strategies in marine
environmental quality. The challenge for the future will be to continue this trend and to find new
ways for government, industry, academia and nonprofit organizations to cooperate.
Government agencies and private industry in partnership have developed new
technologies to prevent and reduce the impacts of pollution. For example, there have been
significant improvements in ensuring that ports and waterways are safe for navigation, and
evolving technologies allow the collection and dissemination of near-real time tide and current
data to aid ship captains and port authorities. Traditional methods to contain, recover, and
remove oil from the marine environment have been refined and new ones developed to reduce
the environmental impacts of oil spills. Technologies in the oil and gas industry have contributed
to vast reductions in the volume of oil and hydrocarbons released into the marine environment
from these activities. Traditionally, research has focused on understanding the transport, fate, and
effects of various types of oil once a release has occurred. The prevention of spills is now a
priority, and risk prioritization studies assist government and industry in the identification of
potential sources and situations in which accidental releases might occur. This research may have
a high return as many spills have similar causes. Once identified, procedures can be modified,
technologies improved, and situations avoided to prevent, reduce, or to contain spills.
To advance coastal environmental science and to manage coastal resources more
efficiently, an integrated understanding of fundamental physical, chemical, and biological
processes based on site-specific comparative studies of coastal ecosystems is needed. These
studies need to account for the impacts of activities in associated watersheds and airsheds.
Increased communication between researchers and policy makers, greater coordination among
the many organizations responsible for governance and management, and the application of
knowledge derived from one study to other systems, are necessary to address marine
environmental quality issues, determine the effectiveness of such measures, and assess the value
of healthy marine waters.
Assessment of the Success of Environmental Protection Programs and Early Warning
Systems: Research and Monitoring
In the past, research has been stimulated by catastrophes such as fish kills in North
Carolina and the Chesapeake Bay caused by Pfleisteriapiscicida or toxic algal blooms. Research
into the cause and prevention of such events has yielded technological advances and furthered
understanding of the ocean. For example, after the Exxon Valdez spill, government agencies,
industry, and the scientific community worked to develop methods to prevent oil spills and to
effectively clean up spills if they do occur. After the 1987 and 1988 beach closings in New York
and New Jersey, governments, industry and environmental organizations worked together to
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implement better management measures to reduce the volume of plastics and other wastes
washing ashore and posing risks to human health. This reactive approach has serious
implications in terms of monetary and environmental costs33. Standardized and regular
monitoring of waterbodies, the use of water quality indicators, and implementation of best
management practices can assist hi the prevention of major environmental crises.
Because the ocean is "downstream" of all homes, communities, rivers, and watersheds,
the health of the ocean is inextricably linked to the health of all the watersheds in the country.
Identifying and reducing sources of pollution in "upstream" watersheds will help to maintain and
improve the health of the ocean. In October of 1996, the Index of Watershed Indicators was
released (U.S. EPA, 1996b). This Index is designed to give the American people ready access to
information about water pollution in their communities, and is a compilation of information that
presents the first national picture of watershed health in the United States.
The Index is comprised of fifteen indicators or "data layers" that focus on either the
condition of aquatic resources (e.g., fish and wildlife consumption advisories, source water
quality for drinking water systems), or the vulnerability of the resources to certain activities (e.g.,
urban runoff potential, hydrologic modification, or wetlands loss). The Index will continue to be
modified, incorporating new information such as atmospheric deposition of pollutants and
eutrophication conditions within coastal waters.
A fundamental improvement in the way the United States monitors its environment is
required if it is to meet the challenges of the next several decades. Current monitoring programs
do not provide integrated data across multiple natural resources at the various temporal and
spatial scales needed to develop policies based on scientific understanding of ecosystem
processes. Many monitoring programs identify violations of permits or provide status reports.
These networks and programs can be better integrated to provide information needed for
effective ecosystem management across a range of spatial scales (CENR, 1996). For example,
the EPA is developing new testing methods, monitoring protocols, and water quality standards
for pathogens in swimming areas to bring some uniformity to water quality warnings nationwide.
Models for storm events are being developed which will enable local communities to predict
when pathogen levels are likely to exceed water quality standards due to storm sewer overflows,
thus enabling local officials to close beaches in order to prevent potential illness. Proactive
monitoring efforts can identify potential problem areas, allowing steps to be taken prior to the
collapse of an ecosystem or an event such as a fishkill.
Management Approaches and the Long Term Challenges
Significant progress has been made since the early 1970s when many of the
environmental laws protecting the ocean were passed (e.g., 1997 marked the 25th anniversary of
the passage of the Clean Water Act, which is responsible for among other things for preventing
33 Coastal communities in New Jersey, for example, spend hundreds of thousands of dollars a year to remove marine debris
from their beaches.
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millions of gallons of raw sewage from entering the ocean). While much progress has been made
in protecting the ocean, there is still much that is unknown about marine and coastal waters and
much that needs to be done to protect them and their resources. The challenges may be daunting,
but they are manageable. Stakeholders working together in partnerships is a key component to
furthering progress in protecting, restoring, and maintaining the health and productivity of ocean
resources. The major environmental problems that need continued emphasis through protection
and enhancement programs include:
• nutrient over-enrichment: eutrophication
• pathogen contamination
• toxic chemicals
• alteration of freshwater inflow
• loss and degradation of habitat
• declines in fish and wildlife populations
* introduction of invasive species
• accidental spills
The control of non-point sources is key to making further progress in protection of ocean
waters and habitat. Point source management measures have greatly improved water quality.
Industrial and municipal discharges of waste water are controlled under the National Pollutant
Discharge Elimination System and this effort has greatly reduced pollutants such as toxic
chemicals and untreated sewage entering marine and coastal waters. However, major challenges
remain in identifying causes and effects of various pollutant sources, addressing non-point
sources of pollution, reducing wetlands loss, and finding and implementing solutions to these
and the other coastal environmental problems listed above. Several examples of current actions
to address these problems are provided below.
Nutrient Over-enrichment
Increased incidences in 1997 offish kills and fish with lesions in tributaries to the
Chesapeake Bay highlighted the growing national concern over the impacts of outbreaks of toxic
Pflesteriapiscicida and other harmful algal blooms. Marine biotoxins and harmful algae
represent a significant and expanding threat to human health, marine mammals, and fisheries
resources throughout the United States. In addition to causing threats to public health and
wildlife, the death and decay of algal blooms can lead to oxygen depletion in the water, resulting
in widespread mortalities of fish, shellfish, and invertebrates. When oxygen depletion reaches a
sufficiently high level, a "dead zone", or area where marine life cannot survive, may occur (as in
the 7,000 square mile Gulf of Mexico dead zone).
There is strong evidence connecting harmful algal blooms with nutrient pollution—
excessive nitrogen and phosphorus—in the water. In general, three significant sources of nutrient
pollution have been identified: discharges from septic systems or sewage treatment plants,
agricultural runoff from fertilizer or animal wastes, and air deposition of nitrogen, primarily from
electric utility power plants and vehicle emissions. EPA, NO A A, and other federal agencies are
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working together with states to better understand and control harmful algal blooms in general and
Pftesteria in particular. This includes investigating what steps can be taken to reduce nutrient
pollution in an effort to help prevent these outbreaks and their effects.
Dredged Material Management
The disposal of dredged material can be a controversial issue but one that must be
addressed in order to keep the nation's ports and harbors open. An action plan developed by an
interagency federal working group is now being implemented for improving the management of
dredged materials to ensure timely and effective dredging while meeting environmental goals
(U.S. DOT, 1994). Eighteen specific recommendations were identified for improving dredged
material management, one of which was to improve federal agency coordination. Consequently,
a National Dredging Team of federal agencies was created and Regional Dredging Teams are
being established to assist in coordination and issue resolution. In addition, Local Planning
Groups are being established which will include all interested stakeholders. These groups will be
charged with developing long term dredged material management plans. Finally, a national
dredging policy has been established which recognizes the need for timely and effective dredging
to assure the viability of the nation's ports and that the aquatic environment is a critical asset
which must be protected.
Marine Debris Monitoring Program
An interagency workgroup has developed a statistically-based national marine debris
monitoring protocol to quantify amounts of debris and identify debris sources. Implementation of
this protocol began in 1996, under the National Marine Debris Monitoring Program.34 The use of
a statistical protocol will assist in enabling the assessment and implementation of practices to
prevent marine debris from entering marine waters. This in turn will protect marine life from
harm due to marine debris and reduce costs borne by coastal communities to remove marine
debris from beaches. To date, this monitoring program has been established on the Atlantic and
Gulf Coasts, and similar programs have been adopted in other areas of the world such as Ireland,
countries in the Caribbean, and Canada.
Beaches Environmental Assessment, Closure and Health (BEACH) Program
Swimming at the nation's coastal areas continues to be one of Americans' top vacation
choices, yet many beaches are not-adequately monitored for disease causing microorganisms. As
a result, vacationers may be putting themselves at risk of illness, which can ruin more than just
their day at the beach. Through the new BEACH Program, initiated in May 1997, EPA in
partnership with state, tribal, and local governments will be working to keep beachgoers better
informed of the water quality conditions where they are swimming. The adoption of updated
water quality standards for bacteria, faster testing methods, enhanced monitoring and notification
34 Implemented by the Center for Marine Conservation under a grant from the U.S. EPA.
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programs, and new scientific research into disease causing microorganisms under the BEACH
Program, will help all beachgoers enjoy a happier, healthier time at the ocean.
Uniform National Discharge Standards
EPA has established a successful partnership with the Department of Defense to develop
Uniform National Discharge Standards (UNDS) for liquid discharges from armed forces vessels.
Currently, vessel discharges are regulated throughout the country under varying state water
quality standards. These regulations will enable the Armed Forces to design vessels to one
protective uniform standard, instead of attempting to conform to a diverse array of state
standards.
The aim of the UNDS regulations is three-fold. First, uniform, environmentally protective
standards will enhance the operational flexibility of Armed Forces vessels. Second, the Navy has
an extensive research and development program aimed at constructing environmentally sound
ships for the 21st century; the UNDS development process will stimulate innovative pollution
prevention and control technologies that will help the Navy achieve this goal. Third, most of the
innovative pollution prevention technologies developed for UNDS eventually will be available
for transfer to the private sector.
Accidental Spills
The Oil Pollution Act has led to increased post-spill monitoring and improved restoration
of affected habitats by facilitating recovery of damages by state and federal natural resource
trustees from responsible parties. Money recovered by trustee agencies goes directly to restoring
the resource or acquiring the equivalent resource on behalf of the public. Improvements in
understanding how and when to use physical, chemical, and biological treatment of oil have
helped to minimize the environmental damage caused by large oil spills. Improved response time
to spills and technological advances have increased the opportunities for response agencies to
limit the injury to marine resources. However, despite significantly reducing the risk, large-scale
releases of oil continue to occur in the marine environment. There is an ongoing need to support
research and development, and the training required to respond to oil spills. In addition, there is a
recognized need to share technical capabilities with the international community through
government-to-government requests or through the International Maritime Organization.
Research Programs
While progress is being made in identifying solutions to the complex problems
confronting coastal waters, further progress requires fundamental research in a number of areas
to address threats such as widespread over-enrichment and habitat degradation. Presently,
research programs concerned with coastal systems and related processes/effects/controls are not
guided by a comprehensive national framework. Such a framework could assess scientific
priorities related to the most serious problems and optimize cooperation and coordination among
federal agencies, states, local communities, and the academic community. Although significant
advances in the scientific understanding of coastal ecosystems has been generated from
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numerous studies of specific systems during the past four decades (e.g., estuarine or wetland
systems), the resulting knowledge of the fundamental properties and processes of this nation's
coastal ecosystems suffers from the fragmented regional nature of these studies. For example, the
impacts of air deposition on coastal and marine waters and the range of transport are just
beginning to be understood.
Watershed Protection and Community-Based Protection Programs
The problems facing the nation's coastal waters are scientifically complex, are caused by
a diverse array of factors, and involve resource intensive solutions. These coastal problems
cannot be addressed through traditional regulatory approaches, although this is still a component
of the solution. The new paradigm for the 1990s and into the next century is the need to look
holistically at the entire resource being protected and to examine all of the contributing factors to
the resource's degradation within the watershed. Linked with this comprehensive examination is
the critical need to involve the community in the identification of problems and the
implementation of solutions. One example of this approach is the National Estuary Program
which is designed to protect and restore estuaries of national significance through partnerships
between government agencies, industry, and the people who depend on those resources for their
livelihood and quality of life. The National Estuary Program was established because
conventional pollution control programs were not adequate for dealing with complex estuary
problems. Management conferences of the established NEPs do not have regulatory authority,
therefore, recommendations reached by consensus must be implemented by existing authorities
at the federal, state, and local levels or through voluntary action. Another example is the Florida
Keys National Marine Sanctuary Program, which developed a comprehensive water quality
protection plan through a comprehensive examination of the entire "watershed, " and through
communication with a broad array of stakeholders.
Clean Water Action Plan
Federal agencies are coordinating efforts to develop a comprehensive Clean Water Action
Plan that builds on the successes of the Clean Water Act over the past 25 years and addresses
three major goals: (1) enhanced protection from public health threats posed by water pollution;
(2) more effective control of polluted runoff; and (3) promotion of water quality protection on a
watershed basis (White House, 1997).
CONCLUSION
The ocean plays a critical role in sustaining the life of this planet. Every activity, whether
natural or anthropogenic, has far reaching impacts on the world at large. For example, excessive
emissions of greenhouse gases may contribute to an increase the sea level, and cause potential
flooding or an increase in storm frequency; this flooding can reduce wetland acreage and increase
sediment and nutrient flows into the Gulf of Mexico, causing adverse impacts on water quality
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and reducing habitat for commercial fisheries. This in turn drives up the cost offish at local
markets nationwide.
The environment and the economic health of marine and coastal waters are linked at the
individual, community, state, regional, national and international levels. The interdependence of
the economy and the environment are widely recognized. The United States has moved beyond
viewing health, safety, and pollution control as additional costs of doing business to an
understanding of broader stewardship, recognizing that economic and social prosperity would be
useless if the coastal and marine environments are compromised or destroyed in the process of
development (President's Council on Sustainable Development, 1996).
Much about the ocean, its processes, and the interrelationship between land and sea is
unknown. Many harvested marine resources depend upon a healthy marine environment to exist.
Continued research is needed so that sound management decisions can be made when conflicts
among users of ocean resources arise. Although much progress has been made over the past 30
years to enhance marine environmental quality and ocean resources, much work remains. The
challenge is to maintain and continue to improve marine water quality as more people move to
the coasts and the pressures of urbanization increase. Through education, partnerships,
technological advances, research, and personal responsibility, marine environmental quality
should continue to improve, sustaining resources for generations to come.
"It does not matter where on Earth you live, everyone is utterly dependent on the
existence of that lovely, living saltwater soup. There's plenty of water in the
universe without life, but nowhere is there life without water. The living ocean
drives planetary chemistry, governs climate and weather, and otherwise provides
the cornerstone of the life-support system for all creatures on our planet, from
deep-sea starfish to desert sagebrush. That's why the ocean matters. If the sea is
sick, we'll feel it. If it dies, we die. Our future and the state of the oceans are one."
Sea Change A Message of the Oceans
Sylvia Earle, 1995.
REFERENCES
Boyce et al. 1992. American Economic Review, December. 1992.
CDC. 1997. Centers for Disease Control. Report on seafood contamination from vessel sewage.
November 1997.
Chambers, J.R. 1991. "Habitat degradation and fishery declines in the U.S." In Coastal
Wetlands, S. H. Bolton and O.T. Magoon, eds. American Society of Civil Engineers, New York.
514pp.
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Coe, James, and Donald. B. Rogers. 1996. Marine Debris, Sources, Impacts, and Solutions.
Springer. 432p.
Constanza, R., R. d'Arge, R. deGroot, S. Farber, M. Grasso, B. Harmon, K. Limberg, S. Naeem,
R.V. O'Neill, J. Paruelo, R.G. Raskin, P. Sutton and M. van den Belt. 1997. "The value of the
world's ecosystem services and natural capital." Nature 387:253-260.
Constanza, R., et al. 1997. Science. May
Earle, Sylvia A. 1995. Sea Change A Message of the Oceans. G.P. Putman's Sons. 362p.
Hagler, B. 1993. Environmental Assessment by RCG, Inc.
Maiden, Alvin L. 1993. Final Report of Survey of Benthos: Delaware Estuary: from the area of
the C & D Canal through Philadelphia to Trenton. Environmental Consulting Services. 191p.
Marine Mammal Commission. 1995. 1995 Annual Report to Congress.
NSTC. 1995. Setting a New Course for U.S. Coastal Ocean Science. National Science and
Technology Council. 11 Ip.
NMFS. 1996. Our Living Oceans—The Economic Status of U.S. Fisheries. 1996. U.S.
Department of Commerce, NOAA National Marine Fisheries Service Tech. Memo. NMFS
F/SPO-22.
NOAA. 1987. The National Coastal Pollutant Discharge Inventory. Pollutant Discharge
Concentrations for Industrial Point Sources. National Oceanic and Atmospheric Administration.
NOAA. 1995. The National Shellfish Register of Classified Growing Waters. National Oceanic
and Atmospheric Administration.
NOAA. 1997. National Fish (and Shellfish) Consumption Advisory Database. 1997 edition. July
1997. National Oceanic and Atmospheric Administration.
NOAA. 1997 (on-line). "Population: Distribution, Density and Growth". Thomas J. Culliton.
NOAA's State of the Coast Project. National Oceanic and Atmospheric Administration.
Norse, Elliott. 1993. Global Marine Biological Diversity,-Island Press, 1993, Ed., Available from
the Center for Marine Conservation in Washington, DC.
NRDC. 1997. Testing the Waters. Natural Resources Defense Council. 1997. Website: http:\\
www.nrdc.org
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NRC. 1994. Priorities for Coastal Ecosystem Science. National Research Council. Washington,
DC: National Academy Press.
NRC. 1997. Striking a Balance Improving Stewardship of Marine Areas. National Research
Council. 177p. Washington, DC: National Academy Press.
Ocean Planet Exhibit. 1995. Website:
http://seawifs.gsfc.nasa.gov/OCEAN...L/peril_oil_pollution.html#sources
President's Council on Sustainable Development. 1996. Sustainable America: A New Consensus
for Prosperity, Opportunity, and a Healthy Environment for the Future. Washington, D.C.: U.S.
Government Printing Office.
"Saving our Bays, Sounds and the Great Lakes: the National Agenda."
Shipping Study. 1995. Shipping Study: The Role of Shipping & the Introduction of Multiple
Species to Coastal Waters of the U.S. other than the Great Lakes and an Analysis of Control
Options, April, 1995
Smith, Margurite and Sheryl Nance-Nach. September 1995. "The Best Places to Live in
America." Money 24:9.
TBNEP Scientist. 1997. Tampa Bay National Estuary Program. Contact Holly Greening
(813)893-2765.
Thibodeau, Francis R. and Bart D Ostro. 1981. "An Economic Analysis of Wetland Protection,"
Journal of Environmental Management. 12:19-30 (data converted from $1977).
Titus, James, et al. 1991. "Greenhouse Effects and Sea Level Rise: Potential Loss of Land and
the Cost of Holding Back the Sea." Coastal Management. 19:171-204.
U.S. EPA. 1984. U.S. Environmental Protection Agency. Report to Congress: Non-point Source
Pollution in the U.S. Environmental Protection Agency, Office of Water. EPA841-R-84-100
123p.
U.S. EPA. 1991. Ocean Dumping Report to Congress. Environmental Protection Agency,
EPA503-9-91-009. 58p.
U.S. EPA. 1994a. Report to Congress on Inventory of 403(c) Ocean Discharges. U.S.
Environmental Protection Agency.
U.S. EPA. 1994b. 1992 Permit Compliance System (PCS). Washington, DC: Environmental
Protection Agency, Office of Wastewater Enforcement and Compliance (OWEC).
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U.S. EPA. 1994c. U.S. Environmental Protection Agency. National Water Quality Inventory.
Environmental Protection Agency, Office of Wetlands, Oceans and Watersheds. EPA503-9-94-
006.
U.S. EPA. 1996. Liquid Assets: A Summertime Perspective on the Importance of Clean Water to
the Nation's Economy. Environmental Protection Agency, Office of Water. EPA800-R-96-002.
U.S. EPA. 1996b. Index of Watershed Indicators. The Index is available in a hard copy report,
and on the Internet at http://www.epa.gov/surf/iwi. Environmental Protection Agency, Office of
Wetlands, Oceans, and Watersheds. October 1996.
U.S. EPA. 1997. Key Management Issues discussion papers: A Nationwide Natural Resource
Issue as reported by the Nation's Estuary Programs. Environmental Protection Agency. August
1997.
U.S. EPA. 1997b. 1995 Toxic Release Inventory. Office of Pollution Prevention and Toxics.
EPA745-R-97-005. Environmental Protection Agency. April 1997.
U.S. DOT. 1994. The Dredging Process in the United States: An Action Plan for Improvement.
Department of Transportation. December 1994.
Valigura, R.A., W.T. Luke, R.S. Artz and B.B. Hicks. 1996. Atmospheric Nutrient Input to
Coastal Areas- Reducing the Uncertainties, NOAA Coastal Ocean Program Decision Analysis
Series No. 9, June 1996. National Oceanic and Atmospheric Administration.
Watzin, M.C. and J.G. Gosselink. 1992. The fragile fringe: coastal wetlands of the Continental
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White House. 1997. Clean Water Initiative. White House Press Release October 18, 1997.
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DOMESTIC LEGAL REGIME
Contents
• Act to Prevent Pollution from Ships (33 U.S.C. §§ 1901 et seq.)
• Clean Air Act (42 U.S.C. §§ 7401 et seq.)
• Clean Vessel Act of 1992 (enacting 33 U.S.C. § 1322 note)
• Coastal Barrier Resources Act of 1982 (16 U.S.C. §§ 3501 et seq.)
• Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et seq.)
• Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (42
U.S.C. §§9601 et sea.)
• Federal Water Pollution Control Act (33 U.S.C. §§ 1251 et seq.)
• Fish and Wildlife Coordination Act (16 U.S.C. §§ 661 et seq.)
• National Coastal Monitoring Act (33 U.S.C. §§ 2801 et seq.)
• National Contaminated Sediment Assessment and Management Act (33 U.S.C. § 1271)
• National Marine Sanctuaries Act (16 U.S.C. §§ 1431 et seq.)
• National Environmental Policy Act of 1969 (42 U.S.C. § § 4321 et seq.)
• Nonindigenous Aquatic Nuisance Prevention and Control Act (16 U.S.C. §§ 4701 et seq.)
• Ocean Dumping Act (33 U.S.C. §§ 1401 et seq.. inter alia)
• Oil Pollution Act of 1990 (33 U.S.C. §§ 2701 et seq.)
• Rivers and Harbors Act of 1899 (33 U.S.C. §§ 401 et seq.)
• Section 6217 of the Coastal Zone Act Reauthorization Amendments of!990(16USC §
1455b)
• Shore Protection Act of 1988 (33 U.S.C. §§ 2601 et seq.)
• Title IV of the Marine Protection, Research, and Sanctuaries Act of 1972 (16 U.S.C. §§
1447atol447f)
• Endangered Species Act of 1973 (16 U.S.C. §§ 1531 et seq.)
• Magnuson-Stevens Fishery Conservation and Management Act (16 U.S.C. § § 1801 et seq.)
• Marine Mammal Protection Act (U.S.C. §§ 1361 et seq.)
• Outer Continental Shelf Lands Act (43 U.S.C. §§ 1331 et seq.)
• Hazardous Materials Transportation acts (49 U.S.C. §§ 5101 et seq.. inter alia)
• Solid Waste Disposal Act (42 U.S.C. §§ 6901 et seq.)
• Toxic Substances Control Act (15 U.S.C. §§ 2601 et seq.)
• Water Resources Development acts (33 U.S.C. §§ 2280 et seq., inter alia)
The legal regime covering this topic is based on a collection of important federal statutory
authorities. The following is a brief description of some of those authorities relating to marine
environmental quality. The list is selective and is designed to illustrate some major marine
environmental quality acts. The list is not meant to be comprehensive.
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Act to Prevent Pollution from Ships, as amended, (APPS), 33 U.S.C. §§ 1901 et seg.
a. Oil and Noxious Liquid Substances.
The Act to Prevent Pollution from Ships as originally enacted implemented Protocols I and II, and
Annexes I and II, of the International Convention for the Prevention of Pollution from Ships, 1973,
as modified by the Protocol of 1978 (MARPOL). Annex I of MARPOL establishes requirements to
prevent the discharge of oil except in accordance with specific conditions. Annex II provisions
cover the discharge of noxious liquid substances. (Annex III, which addresses the prevention of
pollution by harmful substances carried by sea in packaged forms, or in freight containers, portable
tanks or road and rail wagons, is implemented by the hazardous material transportation acts, 49
U.S.C. §§ 5101 et seq., inter alia.}
APPS applies to all U.S. flag ships anywhere in the world and to all foreign flag vessels operating
in the navigable waters of the United States or while at a port or terminal under the jurisdiction of
the United States. The oil and noxious liquid substances provisions apply only to seagoing ships.
The regulations implementing Annex I and Annex II of MARPOL limit discharges of oil and
noxious substances, establish report requirements for discharges, and establish specific
requirements for monitoring equipment and record keeping aboard vessels. In particular, the
regulations require that vessels covered by APPS and MARPOL keep Oil Record Books in which
all discharges, disposal and transfers of oil are kept.
b. Garbage and Plastics.
APPS was amended by the Marine Plastic Pollution Research and Control Act of 1987, which
implemented the provisions of Annex V of MARPOL relating to garbage and plastics. Annex V of
MARPOL and the regulations implementing it apply to all vessels, whether seagoing or not,
regardless of flag on the navigable waters of the United States and in the exclusive economic zone
of the United States. It applies to U.S. flag vessels wherever they are located.
Under the regulations implementing APPS, the discharge of plastics, including synthetic ropes,
fishing nets, plastic bags and biodegradable plastics, into the water is prohibited. Discharge of
floating dunnage, lining and packing materials is prohibited in the navigable waters and in areas
offshore less than 25 nautical miles from the nearest land. Food waste or paper, rags, glass, metal,
bottles, crockery and similar refuse cannot be discharges in the navigable waters or in waters
offshore inside 12 nautical miles from the nearest land. Finally, food waste, paper, rags, glass, and
similar refuse cannot be discharged in the navigable waters or in waters offshore inside three
nautical miles from the nearest land. There are some exceptions for emergencies. Under APPS, the
definition of ship includes fixed or floating platforms. There are separate garbage discharge
provisions applicable to these units. For these platforms, and for any ship within 500 meters of
these platforms, disposal of all types of garbage is prohibited. Additionally, all manned, oceangoing
U.S. flag vessels of 12.2 meters or more in length engaged in commerce, and all manned fixed or
floating platforms subject to the jurisdiction of the United States, are required to keep records of
garbage discharges and disposals.
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Clean Air Act as amended, (CAA), 42 U.S.C. §§ 7401 et sea.
The CAA is divided into six principal subchapters. Subchapter I addresses air pollution from
stationary sources and requirements for states to develop plans to meet health-based standards.
(Also, subchapters IV-A, V and VI deal with specific stationary source programs.) Part A of
subchapter I contains the basic provisions to control air pollution from stationary sources. Based on
statutory criteria, the Environmental Protection Agency (EPA) is required to list criteria pollutants
and for each such pollutant establish primary and secondary national ambient air quality standards
(NAAQSs). Each state (or EPA, if the state declines) must submit to EPA a state implementation
plan with individual emission limitations and procedures to ensure timely attainment of the
NAAQSs for each air quality region within the state.
Part A also includes, among other things, key specialized stationary source programs. For example,
EPA must adopt emission standards for categories of hazardous air pollutants (HAPs) in
accordance with a specified schedule. (HAPs are listed in the statute.) Section 112(m) of the CAA
directs EPA, in cooperation with the National Oceanic and Atmospheric Administration, to assess
the extent of atmospheric deposition of HAPs (and, in the discretion of EPA, other air pollutants) to
the Great Lakes, Chesapeake Bay, Lake Champlain and coastal waters (defined, for purposes of the
subsection, as estuaries under the National Estuary Program and National Estuarine Research
Reserves). The assessment program is to, among other things, establish a monitoring network,
investigate sources and deposition rates, evaluate any adverse effects to public health or the
environment, and assess the contribution of such deposition to violations of water quality standards
established pursuant to the Clean Water Act. EPA is to submit biennial reports to Congress on the
matter and issue a determination as to whether the other provisions of section 112 are adequate to
prevent serious adverse effects to public health and serious or widespread environmental effects
associated with HAP deposition. If EPA determines that the authorities of section 112 are not
adequate, the agency is directed to promulgate such further emission standards or control measures
under section 112 as may be necessary and appropriate.
Part B of Subchapter I is repealed; Part C addresses the "prevention of significant deterioration"
program, designed to limit the deterioration of air quality in regions with air cleaner than the
minimum federal air quality standards. Part D addresses plan requirements for non-attainment
areas.
Subchapter II addresses emission standards for moving sources.
Subchapter III addresses administration and enforcement. Amendments to Subchapter III made in
1990 require EPA, following consultation with the Department of the Interior and the U.S. Coast
Guard, to establish regulatory requirements to control air pollution from Outer Continental Shelf
sources (except in the Gulf of Mexico, over which the Department of the Interior has jurisdiction).
Subchapter IV-A addresses acid deposition. This subchapter was added in 1990 to reduce emissions
of pollutants, primarily sulfur dioxide and nitrogen dioxide, leading to the formation of acid
precipitation.
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Subchapter V addresses permits, requiring each state to submit to EPA for approval a permit
program covering basically every pollution source subject to the CAA. If a state fails to submit and
implement an approved program, EPA is to step in.
Subchapter VI addresses stratospheric ozone depletion.
The CAA also establishes a great waters program, which looks specifically at the impacts of air
deposition of nutrients and toxics in coastal waters.
Clean Vessel Act of 1992. subtitle F, §§ 5601 to 5608, of Title V of Pub. L. 102-587, amending 16
U.S.C. §§ 777c and 777g and enacting 33 U.S.C. §1322 note
The purpose of the Clean Vessel Act is to provide funds to states for the construction, renovation,
operation and maintenance of pumpout stations and waste reception facilities. The Act requires the
Department of the Interior (DOI) to issue guidance on what constitutes adequate and reasonably
available pumpout facilities and waste reception facilities. In order to receive a grant, coastal states
are to conduct a survey to determine the number and location of such stations and facilities and the
number of recreational vessels in its coastal waters with toilets and develop and submit to the DOI
for approval a plan for any construction or renovation necessary to provide adequate and reasonably
available stations and facilities. Funding authorization for such grants expired in FY 1997.
Coastal Barrier Resources Act of 1982, as amended, (CBRA), 16 U.S.C. §§ 3501 et seq.
The purpose of CBRA is to promote more appropriate use and conservation of coastal barriers
along the Atlantic, Gulf, and Great Lakes coastlines. "Coastal barriers" are defined as bay barriers,
barrier islands, and other geological features composed of sediment that protect landward aquatic
habitats from direct wind and waves. They provide essential habitats for wildlife and marine life,
natural storm buffer zones, and areas of scientific, recreational, historic, and archeological
significance. CBRA seeks to minimize the loss of human life, wasteful federal expenditures on
shoreline development, and damage to wildlife, marine life, and other natural resources by
restricting future Federal financial assistance, establishing the coastal barrier resources system
(CBRS), and considering the means of achieving long-term conservation of barrier resources.
Coastal Zone Management Act of 1972. as amended, (CZMA), 16 U.S.C. §§ 1451 et seq.
The CZMA strives to preserve and protect coastal zone resources. Through the CZMA, states are
encouraged to develop coastal zone management programs (CZMPs) that allow economic growth
that is compatible with the protection of natural resources, the reduction of coastal hazards, the
improvement of water quality, and sensible coastal development. The CZMA provides financial
and technical incentives for coastal states to manage their coastal zones consistent with CZMA
standards and goals.
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State coastal zones include the coastal waters and adjacent shorelands that extend inland to the
extent necessary to control activities that have a direct, significant impact on coastal waters. For
federal approval, a CZMP must: 1) identify the coastal zone boundaries; 2) define the permissible
land and water uses within the coastal zone that have a direct and significant impact and identify the
state's legal authority to regulate these uses; 3) inventory and designate areas of particular concern;
4) provide a planning process for energy facilities; 5) establish a planning process to control and
decrease shoreline erosion; and 6) facilitate effective coordination and consultation between
regional, state, and local agencies. The National Oceanic and Atmospheric Administration grants
the requisite federal approvals for CZMPs and oversees subsequent implementation of the
programs.
A state with a federally approved CZMP is eligible for financial assistance and gains a legal
mechanism to control Federal permits and activities that affect the state's coastal zone. Federal
agency activities that affect any land or water use or natural resource of the coastal zone must be
consistent to the maximum extent practicable with the enforceable policies of the state CZMP.
Federally licensed or permitted activities that affect any land or water use or natural resource of the
coastal zone must be consistent with the enforceable policies of the CZMP. The Secretary,
however, can override a state's determination of inconsistency if the Secretary finds that the
federally licensed or permitted activity is consistent with the objectives of the CZMA or is
otherwise necessary in the interest of national security.
The CZMA establishes the National Estuarine Research Reserve System (NERR). States may seek
Federal approval and designation of certain areas as NERRs if the areas qualify as biogeographic
and typological representations of estuarine ecosystems and are suitable for long-term research and
conservation. Once an area is designated as a NERR, federal financial assistance is available for
acquisition of property and management, research, and education related to the NERR.
See also section 6217 of the Coastal Zone Act Reauthorization Amendments of 1990.
Comprehensive Environmental Response, Compensation, and Liability Act of 1980. as
amended, (CERCLA), 42 U.S.C. §§ 9601 etseg. .
Hazardous substances that are toxic to living organisms result from industrial processes and are
released into the environment either intentionally or by accident. CERCLA is designed to respond
to these releases and protect public health and environmental quality including natural resources.
CERCLA provides for the following two possible actions to protect the public and the environment
from the harmful effects of a hazardous substance spill. Any combination of these two may be used
at a particular spill.
1) Response—CERCLA authorizes the Environmental Protection Agency (EPA) to clean up the
spilled substance either at the expense of the responsible party or with funds from the Superfund.
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CERCLA § 104(a)(l). Example of steps include: dredging contaminated sediments, repairing
leaking containers, collecting rain water runoff and relocating displaced residents.
2) Damages for natural resource injuries—CERCLA authorizes the trustees for natural resources, to
seek damages from responsible parties to restore or replace natural resources injured by exposure to
hazardous substances. CERCLA
§§ 107(a)(4)(C) and 107(f).
Federal Water Pollution Control Act, as amended, also called the Clean Water Act, as amended
(CWA), 33 U.S.C. §§ 1251 et seg.
The CWA establishes the basic scheme for restoring and maintaining the chemical, physical, and
biological integrity of the nation's waters. The primary mechanism in the CWA regulating the
discharge of pollutants is the National Pollutant Discharge Elimination System (NPDES), which is
administered by the Environmental Protection Agency (EPA). Under the NPDES program, a permit
is required from EPA or an authorized state for the discharge of any pollutant from a point source
into the waters of the United States. This includes discharges associated with oil and gas
development on federal leases beyond state waters. An NPDES permit for certain stormwater
discharges also is required. Permit discharge limits are technology-based and, where technology-
based limits would not protect desired water quality for a particular water body in which the
discharge takes place, based on state water quality standards, which are developed by the states
using EPA guidance and are intended to protect the designated uses of the water body. In the case
of discharges to the territorial sea or beyond, permits are also subject to the ocean discharge criteria
developed under section 403 of the act. Permits for discharges into the territorial sea or internal
waters may be issued by states following approval of their permit program by EPA; in the absence
of an approved state permit program, and for discharges beyond the territorial sea, EPA is the
permit-issuing authority.
The CWA was amended in 1987 to include the current non-point source (NPS) program. Under this
program (section 319), states must develop management programs to address NPS runoff, including
the identification of best management practices and measures. In addition, section 319 authorizes
grants to assist the states hi implementing their approved management programs.
The CWA generally prohibits discharges of oil and hazardous substances into coastal or ocean
waters except where permitted under the Protocol of 1978 Relating to the International Convention
for the Prevention of Pollution from Ships. The U.S. Coast Guard (USCG) investigates and
responds to discharges of oil and hazardous substances into coastal or ocean waters in accordance
with the National Contingency Plan (NCP). The USCG, with the cooperation of EPA, generally
administers the NCP when oil or a hazardous substance is discharged into coastal or ocean waters.
Regional contingency plans and area contingency plans are developed to implement the NCP.
The CWA (section 312) requires vessels with installed toilet facilities and operating on the
navigable waters of the U.S. to contain operable marine sanitation devices certified as meeting
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standards and regulations promulgated under section 312. Section 312 also allows establishment of
zones where discharge of sewage from vessels is completely prohibited. Amendments made to
section 312 in 1996 will require, where appropriate, the use of marine pollution control devices for
operational, non-sewage, discharges from vessels of the Armed Forces.
Publicly owned sewage treatment facilities must, at a minimum, meet effluent reductions by
secondary treatment, except for certain facilities discharging to coastal waters for which EPA has
approved a waiver under section 301(h).
Section 320 of the CWA establishes the National Estuary Program, which uses a consensus-based
approach for protecting and restoring estuaries. There are currently 28 estuaries in the program.
The Army Corps of Engineers (COE) implements the section 404 permit program. Under section
404, a permit is required for the discharge of dredged or fill materials into the waters of the U.S.
that lie inside of the baseline for the territorial seas and fill materials into the territorial seas within
three miles of shore. Although COE has the permitting responsibility under the section 404
program except in certain waters of two states (Michigan and New Jersey), which have assumed the
authority, EPA is authorized to review and comment on the impact of proposed dredge and fill
activities and to prohibit discharges that would have an unacceptable impact on municipal water
supplies, shellfish beds and fishery areas, wildlife and recreational areas. EPA, in consultation with
COE, is charged with developing guidelines to be used in evaluating discharges subject to section
404. (See 40 C.F.R. Part 230.) The section 404 permit requirement is the cornerstone for the current
wetlands regulatory program. If COE or EPA determines that a certain property is a jurisdictional
wetlands, no one can discharge dredged or fill materials into it without a section 404 permit. COE
and EPA also have cooperative agreements with the Natural Resources Conservation Service and
rely on its determinations as to the presence of wetlands on agricultural lands.
Fish and Wildlife Coordination Act. 16 U.S.C. §§ 661 et seq.
The Fish and Wildlife Coordination Act requires that whenever a federal agency proposes to
impound, divert or otherwise control or modify a body of water for any purpose (including issuing
permits or licenses), the agency must consult with the U.S. Fish and Wildlife Service, the National
Marine Fisheries Service and the relevant state wildlife resource agency regarding prevention of
loss or injury to wildlife resources.
National Coastal Monitoring Act as amended, 33 U.S.C. §§ 2801 et seq.
The National Coastal Monitoring Act, also known as title V of the Marine Protection, Research,
and Sanctuaries Act of 1972, provides joint authority for the Environmental Protection Agency and
the National Oceanic and Atmospheric Administration to establish a comprehensive national
program for consistent monitoring of the nation's coastal ecosystems. The title provides that the
program is to include, but is not limited to: identification and analysis of the status of
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environmental quality in the nation's coastal ecosystems (including, but not limited to, assessment
of ambient water quality, benthic environmental quality, and health and quality of living resources);
identification of sources of environmental degradation affecting the nation's coastal ecosystems;
assessment of the impact of governmental programs and management strategies and measures
designed to abate or prevent the environmental degradation of the nation's coastal ecosystems;
assessment of the accumulation of floatables along coastal shorelines; analysis of short-term and
long-term trends in the environmental quality of the nation's coastal ecosystems; and the
development and implementation of intensive coastal water quality monitoring programs (after
designation of intensive coastal monitoring areas).
National Contaminated Sediment Assessment and Management Act 33 U.S.C. § 1271
Section 1271 of the National Contaminated Sediment Assessment and Management Act requires
the Environmental Protection Agency, in consultation with NOAA and the Department of the
Army, to conduct a comprehensive national survey of data regarding sediment quality and a
continuing program to assess such quality.
National Environmental Policy Act of 1969 (NEPA). 42 U.S.C. §§ 4321 et seq.
NEPA requires, among other things, that for every major federal action significantly affecting the
quality of the human environment, the agency prepare a detailed statement regarding:
(i) the environmental impact of the proposed action;
(ii) any adverse environmental effects that cannot be avoided should the proposal be
implemented;
(iii) alternatives to the proposed action;
(iv) the relationship between local short-term uses of man's environment and the
maintenance and enhancement of long-term productivity; and
(v) any irreversible and irretrievable commitments of resources that would be involved in
the proposed action should it be implemented.
This document is called an environmental impact statement (EIS). It is in essence a detailed
discussion of the environmental consequences of a given proposed agency action, and it must be
made available to the agency decision-maker on the matter, the public, and other agencies.
Under the regulations implementing NEPA, an environmental document called an environmental
assessment (EA) is used to determine whether a federal action rises to the level of a "major federal
action significantly affecting the quality of the human environment," thus triggering the
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requirement of preparation of an EIS. Based on the EA, if an action does not rise to that level, a
finding of no significant impact (FONSI) is made.
National Marine Sanctuaries Act, as amended, (also known as Title III of the Marine Protection,
Research, and Sanctuaries Act of 1972, as amended), 16 U.S.C. §§ 1431 et seq.
The National Marine Sanctuaries Act, as amended, authorizes the Department of Commerce to
designate as national marine sanctuaries areas of the marine environment of special national
significance due to their conservation, recreational, ecological, historical, research, educational or
aesthetic qualities. The Act provides authority for comprehensive and coordinated conservation and
management of these marine areas. It provides for civil penalties for violation of the act or
regulations or permits issued under it and for civil suits to recover damages if sanctuary resources
are injured or destroyed.
Nonindigenous Aquatic Nuisance Prevention and Control Act as amended, 16 U.S.C. §§ 4701
et seq.
The Nonindigenous Aquatic Nuisance Prevention and Control Act, as amended, directs the
Secretary of the department that houses the U.S. Coast Guard (USCG) (currently the Department of
Transportation) to issue regulations to prevent the introduction and spread of aquatic nuisance
species into the Great Lakes through ballast water. These regulations are to be issued in
consultation with the Aquatic Nuisance Task Force, composed, inter alia, of the Under Secretary of
Commerce for Oceans and Atmosphere, the Director of the U.S. Fish and Wildlife Service, the
Administrator of the Environmental Protection Agency, the Commandant of the USCG and the
Assistant Secretary of Army (Civil Works). Civil and criminal penalties are available for regulatory
violations.
The Act also requires the task force to implement a prevention, monitoring and control program for
aquatic nuisance species in U.S. waters. States can develop comprehensive aquatic nuisance species
management plans, which can be implemented with federal grants and financial assistance if the
plans are approved by the task force or the Assistant Secretary of the Army (Civil Works).
The act further requires the Departments of Defense and Transportation to implement ballast water
management programs for seagoing Department of Defense and USCG vessels to minimize risk of
introduction of non-indigenous species from releases of ballast water. The act also requires the
Departments of the Interior and Commerce to conduct a ballast water management demonstration
program to demonstrate preventive technologies and practices.
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Ocean Dumping Act as amended, (ODA) (Titles I and II of the Marine Protection, Research, and
Sanctuaries Act of 1972, as amended), 33 U.S.C. §§ 1401 et seq.
The ODA provides the basic authority for the Environmental Protection Agency (EPA) and the
Corps of Engineers (COE) to regulate ocean dumping (Title I) and for the Department of
Commerce (DOC), through the National Oceanic and Atmospheric Administration, to carry out
research on the effects on ocean systems of ocean dumping and other man-induced changes (Title
II).
Title I of the ODA: 1) prohibits any person, without a permit, from transporting from the U.S. any
material for the purpose of dumping it into ocean waters (defined to mean those waters of the open
seas lying seaward of the baseline from which the territorial sea is measured), and 2) in the case of a
vessel or aircraft registered hi the U.S. or flying the U.S. flag or in the case of a U.S. agency,
prohibits any person, without a permit, from transporting from any location any material for the
purpose of dumping it into ocean waters. Title I also prohibits any person, without a permit, from
dumping any material transported from a location outside the U.S. into the territorial sea, or the
contiguous zone extending 12 nautical miles seaward from the baseline of the territorial sea to the
extent that it may affect the territorial sea or the territory of the U.S. EPA issues permits regulating
the ocean dumping of all material except dredged material, which is permitted by COE. COE
permits are subject to EPA review and concurrence. The specific environmental criteria used to
evaluate permit applications are developed by EPA; in the case of dredged material, this is done in
coordination with COE.
In developing criteria for the evaluation of permit applications, the statute provides that the
following must be considered: 1) the need for the proposed dumping; 2) the effect of the dumping
on human health and welfare, fisheries resources, marine ecosystems, and shorelines; 3) the
persistence and permanence of the effects of the dumping; 4) the effect of dumping particular
volumes and concentrations; 5) appropriate locations and methods of disposal or recycling,
including land-based alternatives; and 6) the effect on alternate uses of the oceans.
The ocean dumping of sewage sludge and industrial waste is prohibited. In addition, radiological,
chemical or biological warfare agents, high-level radioactive waste, or medical waste may not be
dumped. States may generally adopt and enforce requirements for ocean dumping activities that
occur in their jurisdictional waters.
Title II of the ODA requires the DOC, in coordination with the department in which the U.S. Coast
Guard is operating and EPA, to conduct a comprehensive and continuing program of monitoring
and research on the effects of dumping of material into ocean or other coastal waters or into the
Great Lakes. The title further requires the DOC, hi close consultation with other appropriate
departments., to conduct a comprehensive and continuing program of research into the possible
long-range effects of pollution, overfishing and man-induced changes of ocean ecosystems. The
title specifies that the program must include continuing monitoring programs to assess the health of
the marine environment, including but not limited to the monitoring of bottom oxygen
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concentration contaminant levels in biota, sediments and the water column, diseases in fish and
shellfish, and changes in types and abundance of indicator species.
Oil Pollution Act of 1990 (OPA). 33 U.S.C. §§ 2701 et seq.. inter alia
OP A amends section 311 of the Federal Water Pollution Control Act (the Clean Water Act or
CWA), 33 U.S.C. 1321 et seg.., to clarify federal response authority, increase penalties for spills,
establish U.S. Coast Guard response organizations, require tank vessel and facility response plans,
and provide for contingency planning in designated areas. OP A, however, does not preempt states'
rights to impose additional liability or other requirements with respect to the discharge of oil within
a state or to any removal activities in connection with such a discharge.
OPA is a comprehensive statute designed to expand oil spill prevention, preparedness, and response
capabilities of the federal government and industry. OPA establishes anew liability regime for oil
pollution incidents in the aquatic environment and provides the resources necessary for the removal
of discharged oil. OPA consolidates several existing oil spill response funds into the Oil Spill
Liability Trust Fund (Trust Fund), resulting in a $1-billion fund to be used to respond to, and
provide compensation for damages caused by, discharges of oil. In addition, OPA provides new
requirements of response planning by both government and industry and establishes new
construction, manning, and licensing requirements for tank vessels. OPA also increases penalties
for regulatory noncompliance and broadens the response and enforcement authorities of the federal
government.
Title I of OPA contains liability provisions governing oil spills modeled after the Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA), 42 U.S.C. §§ 9601 et seq.,
and section 311 of the CWA. Specifically, section 1002(a) of OPA provides that the responsible
party for a vessel or facility from which oil is discharged, or which poses a substantial threat of a
discharge, is liable for:
certain specified damages resulting from the discharged oil; and
removal costs incurred in a manner consistent with the National Contingency Plan.
The scope of damages for which there may be liability under section 1002 of OPA includes:
natural resource damages, including the reasonable costs of assessing these damages;
loss of subsistence use of natural resources;
real or personal property damages;
net loss of tax and other revenues;
loss of profits or earning capacity; and
net cost of additional public services provided during or after removal actions.
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Rivers and Harbors Act of 1899, as amended, (RHA), 33 U.S.C. §§ 401 et seq.
The RHA prohibits the unauthorized obstruction of navigable waters of the United States. The
construction of any structure or the excavation or fill in the navigable waters of the United States is
prohibited without a permit from the Army Corps of Engineers. The Act also prohibits the
discharge of refuse and other substances into navigable waters, but has been largely superseded by
the Clean Water Act.
Section 6217 of the Coastal Zone Act Reauthorization Amendments of 1990,16 U.S.C. §
1455b
Section 6217 of Coastal Zone Act Reauthorization Amendments of 1990 required the 29 coastal
states with federally approved coastal zone management plans in 1990 to develop and submit
coastal non-point source (NFS) pollution control programs for approval by the National Oceanic
and Atmospheric Administration (NOAA) and the Environmental Protection Agency (EPA). The
submissions were to lay out a state program to restore and protect coastal waters by providing for
the implementation of management measures developed by EPA. The statute gave states 30 months
from the date of publication of the final EPA guidance to submit a program to NOAA and EPA for
approval. The statute required that penalties be levied if a state failed to submit an approvable
program within the allotted time. There has been no need to assess penalties as yet, as all the states
have submitted programs found to be conditionally approvable.
Shore Protection Act of 1988.33 U.S.C. §§ 2601 et sea.
Under the Shore Protection Act of 1988, municipal or commercial waste cannot be transported by a
vessel in coastal waters without a permit from the Department of Transportation. Municipal or
commercial waste includes solid waste as defined by the Resource Conservation and Recovery Act,
but excludes waste generated by the vessel during normal operations, construction debris, dredged
or fill material, and sewage sludge. The loading, securing and offloading of these wastes must be
conducted in a manner to minimize any waste deposited into coastal waters.
Title IV of the Marine Protection. Research, and Sanctuaries Act of 1972. as amended, 16
U.S.C. §§1447a to 1447f
The purpose of Title IV of the Marine Protection, Research, and Sanctuaries Act of 1972, as
amended, is to establish regional research programs, under effective Federal oversight, to: 1) set
priorities for regional marine and coastal research in support of efforts to safeguard the water
quality and ecosystem health of each region; and 2) carry out such research through grants and
improved coordination. The regions are: the Gulf of Maine, greater New York bight, mid-Atlantic,
South Atlantic, Gulf of Mexico, California, North Pacific, Alaska and insular Pacific.
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Specifically, a regional marine research board is to be established for each region, consisting of
eleven members — three appointed by the National Oceanic and Atmospheric Administration
(NOAA), two by the Environmental Protection Agency (EPA), and six by governors of states
located within the region. Each board is to develop and submit to NOAA and EPA for approval a
comprehensive marine research plan for the region, to be updated at least every four years. Each
board is also to: 1) provide a forum for coordinating research among research institutions and
agencies, 2) provide for review and comment on its research plan by affected users and interests, 3)
ensure that the highest quality of research projects will be conducted to carry out the plan; and 4)
prepare, for transmittal to Congress by NOAA and EPA, a periodic report on the marine
environmental research issues and activities within the region.
Each marine research plan is to include: 1) an overview of the environmental quality conditions in
the coastal and marine waters of the region and expected trends in these conditions; 2) a
comprehensive inventory and description of all marine research related to water quality and
ecosystem health expected to be conducted during the four-year term of the plan; 3) a statement and
explanation of the marine research needs and priorities applicable to the marine and coastal waters
of the region over the upcoming ten-year period with emphasis on the upcoming three-to-five-year
period; 4) an assessment of how the plan will incorporate existing marine, coastal and estuarine
research and management in the region; .and 5) a general description of marine research and
monitoring objectives and timetables for achievement through the funding of projects under this
title so as to meet the priorities specified in the plan in accordance with 3) above.
Each board may annually submit a grant application to NOAA to fund projects aimed at achieving
the research priorities set forth in the relevant research plan. The title provides that the boards shall
cease to exist on October 1, 1999, unless extended by Congress. Authorization of appropriations for
the title expired at the end of fiscal year 1996.
Other Statutes Relating to Marine Environmental Quality:
• Endangered Species Act of 1973, as amended, 16 U.S.C. §§ 1531 et seq.: See Ocean Living
Resources Year of the Ocean Discussion Paper.
• Magnuson-Stevens Fishery Conservation and Management Act, as amended, 16 U.S.C. §§
1801 et seq.: See Ocean Living Resources Year of the Ocean Discussion Paper.
• Marine Mammal Protection Act, as amended, 16 U.S.C. §§ 1361 et seg.: See Ocean Living
Resources Year of the Ocean Discussion Paper.
• Outer Continental Shelf Lands Act, as amended, 43 U.S.C. §§ 1331 et seq.: See Ocean
Energy and Mineral Resources Year of the Ocean Discussion Paper.
• Hazardous Materials Transportation acts, as amended, 49 U.S.C. §§ 5101 et se_£., inter alia,
which, inter alia, implement Annex III of MARPOL (prevention of pollution by harmful
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substances carried by sea in packaged forms, or in freight containers, portable tanks or road
and rail wagons).
• Solid Waste Disposal Act, as amended, also known as the Resources Conservation and
Recovery Act, 42 U.S.C. §§ 6901 et seq., which governs treatment, storage and disposal of
solid and hazardous waste. The act also has as a goal the reduction of generation of hazardous
waste.
• Toxic Substances Control Act, as amended, 15 U.S.C. §§ 2601 et seq., which is the first
comprehensive legislation governing toxic substances, including providing the Federal
government authority to prevent unreasonable risk of injury to health or the environment,
particularly imminent hazards.
• Water Resources Development acts, 33 U.S.C. §§ 2280 et seq., inter alia, which are the Corps
of Engineers authorization acts. Among other things, mitigation of damages to fish and
wildlife resources resulting from water resources projects is addressed.
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LIST OF ACRONYMS
CWA Clean Water Act
DOT Department of Transportation
EPA Environmental Protection Agency
MMC Marine Mammal Commission
NEP National Estuary Program
NMFS National Marine Fisheries Service
NOAA National Oceanic and Atmospheric Administration
NRC National Research Council
UNDS Uniform National Discharge Standards
U.S.C. United States Code
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COASTAL TOURISM AND RECREATION
Contents
1. INTRODUCTION F-2
2. COASTAL TOURISM AND RECREATION AND
THE U.S. ECONOMY F-3
3. POLICY FRAMEWORKS FOR COASTAL RECREATION AND
TOURISM: AN ASSESSMENT F-8
4. FINDINGS F-19
5. REFERENCES F-21
6. DOMESTIC LEGAL REGIME F-25
7. LIST OF ACRONYMS F-33
This Year of the Ocean document was prepared as a background discussion paper and does not
necessarily reflect the policies of the U.S. Government or the U.S. Government agencies that
participated in its preparation.
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INTRODUCTION
Coastal tourism and recreation are important parts of the largest and most rapidly
growing activity in the world— international tourism. Tourism and recreation-related
development is one of the major factors shaping development patterns in the coastal zones of the
United States. Foreign tourism to the United States, much of it coastal-motivated, provides
significant economic benefits that relate directly to the U.S. position in an increasingly
competitive global economy (Houston, 1995). Hence, any analysis of U.S. interests in coasts and
oceans must take account of this very significant grouping of interrelated activities. Government
at all levels must assume appropriate proactive roles to shape and guide coastal tourism
development. This paper reviews the importance of coastal tourism and recreation to the United
States and its citizens and identifies gaps where action is needed.
In this presentation, the term "coastal tourism and recreation" embraces the full range of
tourism, leisure, and recreationally oriented activities that take place in the coastal zone and the
offshore coastal waters. These include coastal tourism development (hotels, resorts, restaurants,
food industry, vacation homes, second homes, etc.), and the infrastructure supporting coastal
development (retail businesses, marinas, fishing tackle stores, dive shops, fishing piers,
recreational boating harbors, beaches, recreational fishing facilities, and the like). Also included
is ecotourism and recreational activities such as recreational boating, cruises, swimming,
recreational fishing, snorkeling and diving. Coastal tourism and recreation in this presentation
likewise includes the public and private programs affecting all the aforementioned activities.
Of all the activities that take place in coastal zones and the near-shore coastal ocean, none
is increasing in both volume and diversity more than coastal tourism and recreation. Both the
dynamic nature of this sector and its magnitude demand that it be actively taken into account in
government plans, policies, and programs related to the coasts and ocean. Indeed, virtually all
coastal and ocean issue areas affect coastal tourism and recreation either directly or indirectly.
Clean water, healthy coastal habitats, and a safe, secure, and enjoyable environment are clearly
fundamental to successful coastal tourism. Similarly, bountiful living marine resources (fish,
shellfish, wetlands, coral reefs, etc.) are of critical importance to most recreational experiences.
Security from risks associated with natural coastal hazards such as storms, hurricanes, tsunamis,
and the like is a requisite for coastal tourism to be sustainable over the long term.
The United States is currently a major beneficiary of international tourism, which is the
most rapidly expanding economic sector in the world today. In 1995, travel and tourism are
estimated to have provided $746 billion to the U.S. gross domestic product (GDP), about 10% of
U.S. output, making travel and tourism the second largest contributor to GDP just behind
combined wholesale and retail trade (Houston, 1995). Travel and tourism is America's largest
employer, employing 14.4 million annually (in contrast, for example, all U.S. manufacturing
industries from IBM to General Motors to Intel employ only 18 million people (Houston, 1995).
Although precise figures are difficult to obtain, estimates based on foreign tourism data
from coastal states like Florida and California suggest that as many as one-half of foreign tourists
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are drawn to the U.S. because of the attractive coastal shorelines and beaches found in this
country. In spite of the attractiveness of inland national parks like Yellowstone and the Grand
Canyon, 85 percent of all U.S. tourist revenues are earned by coastal states and 90 percent of all
tourist spending occurs in these states (Houston, 1996).
However, attractive coastal amenities exist in many foreign locations as well. Indeed,
tourists from Northern Europe can travel to Mediterranean or Caribbean beaches at least as easily
as they can to U.S. coastal resorts. Japanese tour groups have choices that include Australia's
Gold Coast or Fiji's very attractive beaches in addition to those found in Hawaii. Coastal tourism
is becoming a highly competitive business as nations actively seek to draw increased numbers of
visitors (and increased foreign earnings) to their shores. Moreover, given today's rapid pace of
communications, the existence of poor water quality or degraded or eroding beaches is quickly
communicated among networks of travel agents and others in the tourism marketing business.
The nation's coasts and coastal waters are of great value to the American people both for
their personal enjoyment and for the economic benefits these areas generate for coastal
communities, coastal states, and for the nation as a whole—benefits that can be sustainable
indefinitely with proper foresight and enlightened public policies. But, these benefits cannot be
taken for granted. Coastal habitats and the resources they support must be protected and, where
necessary, restored. The quality of coastal waters must be maintained at a sufficiently high level
to provide a healthy and aesthetically pleasing environment for water-based recreation. Similarly,
swimming beaches must be maintained at an attractive and functional level even in the presence
of accelerating sea-level rise and associated erosion, and possible increases in the frequency of
coastal storms. The maintenance of safe conditions for recreational boating and underwater
recreation (e.g., adequately marked waterways, timely weather information, rescue services,
hyperbaric chambers, etc.) is also of great importance.
Organization of the Paper
Following a review of the importance of coastal tourism and recreation to the U.S.
economy, including the contribution of foreign coastal tourism, a description of the existing
policy framework affecting coastal tourism and recreation is provided. This covers such topics
as:
• governmental promotional efforts regarding tourism;
• coastal planning and management (especially for siting of tourism facilities and
provision for public access);
• efforts at attaining clean water and healthy coastal ecosystems;
• beach restoration programs;
• management of coastal security (including natural hazards and marine safety); and
• special management challenges posed by ecotourism activities.
A discussion of the adequacy of the existing management framework in each of these
areas is provided. Existing tools, programs, and arrangements for achieving sustainable coastal
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tourism are addressed, with emphasis on relevant developments on sustainable tourism at the
international level. The final section of this paper presents options for consideration regarding the
areas covered, and opportunities for cooperative action with coastal states and communities, the
private sector, and nongovernmental organizations.
COASTAL TOURISM AND RECREATION AND THE U.S. ECONOMY
Growth in International Travel and Tourism
Travel and tourism is the world's largest industry. As reported by the World Tourism
Organization, travel and tourism involved more than 528 million people internationally and
generated $322 billion in receipts in 1994. In 1995, travel and tourism generated an estimated
$3.4 trillion in gross output—creating employment for 211.7 million people, producing 10.9
percent of world gross domestic product, investing $693.9 billion in new facilities and
equipment, and contributing more than $637 billion to global tax revenues (quoted in an undated
publication by the World Trade and Tourism Council, pp. 33-34).
The mammoth global tourism industry is a "massive consumer of energy and resources"
(Rearden, 1993, p. 166), and is expected to continue to grow significantly in the future. In 1995,
the World Tourism Organization forecasted international arrivals worldwide to reach 661 million
by the year 2000, up from 528 million in 1994, with arrivals predicted to reach 937 million by
2010 (Savignac, 1995). By 2005, it is estimated that the industry will have expanded globally,
generating employment for 305 million people, producing 11.4 percent of world gross domestic
product, investing $1,613 billion in new facilities and equipment, and contributing more than
$1,369 billion in tax revenue (WTTC et al., p. 34). This growth in world tourism is related to
three main factors: increased personal incomes and leisure time, improvements in transportation
systems, and greater public awareness of other areas of the world due to improved
communications (UNEP, 1992, p. 3).
Foreign tourism has been a very important factor for the U.S. economy. In 1994, 45.5
million international visitors came to the United States, according to the Department of
Commerce, and spent $60 billion dollars (Wildavsky, 1995). The U.S. travel and tourism
industry, with 6 million jobs, represents the second-largest employer in the United States after
health care (Wildavsky, 1995). In 1986, the United States was the world's leading tourism
destination (Miller, 1993). However, since that time, the U.S. leadership position in world
tourism has been eroding; in 1996, France became the world's leading tourism destination. In
1995, the Commerce Department projected a 2.5 million dip in the number of international
visitors to the United States and a dip in tourism revenues of 2.7 percent (Wildavsky, 1995).
Continuing economic difficulties in Europe and the strengthening of the U.S. dollar could
account for some of this decline.
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Balance of Payments Contributions of International Travel and Tourism
In 1994, the Wall Street Journal estimated that the United States receives over 45 percent
of the developed world's travel and tourism revenues and 60 percent of its profits (Houston,
1996). While the United States runs a substantial merchandise trade deficit, it has a trade surplus
in the service sector, with travel and tourism accounting for the largest and most rapidly growing
part of this surplus. According to Business Week, "foreign visitors spend about $80 billion a year
in the United States, producing a $26 billion U.S. trade surplus in travel and tourism" (quoted in
Houston, 1996). Likewise, this publication reports 1.4 million U.S. jobs are supported by foreign
tourism—ten times the number of jobs in the U.S. steel industry.
Foreign tourism to the United States in 1995 was expected to generate a trade surplus of
$26 billion compared to a surplus of $17 billion in 1992 and a deficit of $7 billion in 1986. U.S.
employment due to international tourism has been projected to grow by as much as 18 percent
annually during the 1995-2000 period, doubling the number of tourism-related jobs every four
years. The Department of Commerce has estimated that foreign tourist spending in the United
States will rise to $132 billion dollars in the year 2000 (Houston, 1996).
Tax Revenue Contributions of International Travel and Tourism
It has been estimated that travel and tourism produces tax revenues for all levels of
government of about $58 billion annually (Houston, 1996). Of this total, foreign tourism is
responsible for tax revenues of about $7.5 billion, about $4 billion of which goes to the federal
government. Houston has observed that federal expenditures for beach re-nourishment have
averaged only $34 million a year between 1950 and 1993 (in 1993 dollars), noting that the
federal government receives tax revenues from foreign tourism that are 180 times its expenditure
on the nation's beaches.
Promotion of International Tourism to the United States
The United States lags far behind other nations on spending on tourism promotion.
Ronald Allen, chairman of Delta Air Lines, Inc., notes ".. .The Republic of Ireland, with a ^
population of less than 4 million people, spends $45 million in public funds annually to promote
tourism. This country, with 260 million people, spends less than $17 million in federal money"
Wildavsky, 1995, p. 2280). Spain, with its attractive beaches and climate, spends 10 times more
than the United States in advertising to attract international tourists. The United States ranks 31st
in the world in international tourist market advertising (Houston, 1996, p. 3).
Indeed, there has been a debate at the national level in the United States on whether a
greater national presence concerning tourism promotion is needed, with industry advocates
arguing for a greater role to eliminate "creeping neglect [of the industry] by public policy
makers" (Wildavsky, 1995, p. 2280). Opposition to this has been expressed by economists and
others who argue that private companies, not taxpayers, should bear the costs of promotional
activities that benefit the U.S. tourism industry (Wildavsky, 1995).
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Coastal and Marine Tourism in the United States
The precise magnitude of foreign and domestic tourism in U.S. coastal and marine areas
is not clear, since no separate statistics are kept for foreign or domestic tourists to these areas.
Figures on foreign tourism receipts are generally based on surveys of departing travelers,
generating data which are "imperfect and cannot be compared over time with precision"
(Wildavsky, 1995, p. 2279). Data on tourism in coastal areas cannot easily be disaggregated from
national-level statistics, but impressionistic evidence as well as a number of recent works on the
subject suggest continued growth of tourism in coastal and marine areas in the United States and
worldwide (see, for example, Miller, 1993; Miller and Auyong, 1991). Detailed information on
the economic impact of domestic tourism has been difficult to find, but growth in all forms of
recreation in coastal areas in which both foreign and domestic tourists partake is readily apparent.
Such activities include beach going, recreational boating, cruises, marine mammal watching,
recreational fishing, underwater recreation, bird watching, nature appreciation, and the like.
In terms of U.S. tourism, studies have shown that beaches are the leading tourist
destination while national parks and historic sites are the second most popular destination
(Houston, 1996). Consistent with these findings, approximately 180 million people visit the coast
for recreational purposes, with 85 percent of tourist related revenues generated by coastal states.
In addition to growing numbers of visitors, the permanent population of U.S. coastal regions is
also increasing at a faster rate than the population as a whole. The population of coastal counties
has increased by approximately 25 percent since 1970 (Cunningham and Walker, 1996; Houston,
1996).
In California, for example, Wilson and Wheeler (1997) provide the following estimates
for the annual contribution of various ocean industries to the California economy. Their study
shows that tourism (predominantly coastal) is the largest contributor at $9.9 billion, with the next
largest contributor being ports at $6.0 billion. Offshore oil accounted for $860 million, and
fisheries and mariculrure combined contributed $550 million. Similarly, between June 1995 and
May 1996, 2.5 million visitors to Monroe County, Florida (in the Florida Keys) spent about $1.2
billion. Recreation and tourism (all coastal) accounted for over 60 percent of output/sales, 45
percent of income, and over 46 percent of all employment (English et al., 1996).
Recently the Environmental Protection Agency (EPA) undertook a national study on the
benefits of water quality improvement in terms of numbers of people involved and the economic
value of the activities in which they participate (EPA, 1996). This study provides some valuable
quantitative information on the importance of coastal tourism and recreation:
• Saltwater fishing generates expenditures of over $5 billion annually, a total economic
output of $15 billion, total earnings (wages) of over $4 billion, and over 200,000 jobs.
• Over 77 million Americans participate in recreational boating (NMMA, 1996). The
number of recreational boats in the United States almost doubled from 1970 to 1990
(16.2 million), and is expected to increase by a further four million by the year 2000
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(EPA, 1996). In 1996, Americans spent approximately $17.7 billion on boats and
directly related items (NMMA, 1996).
• Over 80 million Americans participate in outdoor (non-pool) swimming, with visitors
to beaches and lakes increasing from 18 million in 1981 to 23 million in 1989. In
seven states, beachgoers spent $74 billion with the most popular recreational
activities being swimming, sunbathing, and walking in coastal areas (EPA, 1996).
• Birdwatching is estimated by the U.S. Fish and Wildlife Service to generate spending
of about $18 billion per year by over 24 million "birders" and other wildlife watchers,
a generous proportion of which occurs in coastal regions (EPA, 1996).
A number of the estuary programs that make up EPA's National Estuary Program have
undertaken studies of the economic activity generated by the coastal and estuaries resources in
their region. Some findings related to coastal tourism and recreation are given below (EPA,
1997):
Corpus Christ!, Texas. Nature tourism in Corpus Christi is the fastest growing component of a
tourism sector that generates $23 billion annually. Recreational fishing provides aggregate net
benefits to the area of $83 million, including $37 million per year in state and local taxes, with a
regional economic impact of $546 million. Non-fishing coastal recreational activity adds another
$23 million in state and local taxes, and $340 million in regional economic impact. r
Long Island Sound, New York. The economic impact of water quality-dependent uses in Long
Island Sound, including boating, commercial and sport fishing, and swimming, is estimated at
more than $5 billion annually. Commercial and recreational fishing contributed more than $1.2
billion to the total, while beachgoing has a direct benefit of more than $800 million annually.
Indian River Lagoon, Florida. The Indian River Lagoon region is a popular resort and vacation
destination which received over six million visitors in 1995 and provided economic benefits of
approximately $730 million.
Santa Monica Bay, California. Tourism is the Los Angeles region's second largest industry
with 392,000 full and part-time jobs contributing $3.6 billion annually to the region's payroll.
With nearly four million tourists annually, and over 45 million beach visits per year, Santa
Monica Bay contributes significantly to the regional economy.
San Francisco Bay, California. The economy of the 12 counties bordering this estuary exceeds
$175 billion and supports more than four million jobs. Many of these jobs are dependent on the
estuary's natural resources or are water-related. Revenues from maritime activities exceed $5.4
billion each year, and marinas annually generate some $167 million. Tourism, which generates
over $4 billion annually, is likewise strongly tied to the aesthetic values of the estuary.
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POLICY FRAMEWORKS FOR COASTAL RECREATION AND
TOURISM: AN ASSESSMENT
Understanding Tourism
A perusal of the literature on tourism suggests that it is easy to make generalizations: on
the positive side, to extol its huge economic development potential; on the negative side, to decry
impacts on the environment, overuse of resources and energy, ignorance of local culture, and
absence of local benefits. For analytical purposes, it is best, however, to consider tourism in
neutral terms as an agent of development and change which may have both positive and negative
effects, as the following quote suggests:
"As Butler (1990) points out, tourism, like other industries, is an agent of development
and change and must be recognized as such. It is consumptive like any other industry and
the level of consumption is determined by the scale and style of tourism development. At
low levels and with careful design, tourism may be able to operate at a sustainable level.
However, controlling the level and style of development over the long term presents
challenges which, to this point, have not been successfully met. Because of its potentially
high impact, tourism should be considered in the same manner as any other industry and
should be subjected to the same environmental and social impact assessment processes
during the planning stages" (Woodley, 1993, p. 137).
Butler suggests the following working definition of sustainable development in the
context of tourism: "tourism which is developed and maintained in an area (community,
environment) in such a manner and at such a scale that it remains viable over an indefinite period
and does not degrade or alter the environment (human and physical) in which it exists to such a
degree that it prohibits the successful development and well being of other activities and
processes" (Butler, 1993, p. 29).
Tourism has often been ignored by public sector agencies. Where it has been considered
as a specific development feature, it has often been viewed as a "soft" option, which can be
pursued relatively easily and which does not require much in terms of specific planning or
resources (Butler, 1993). While this view has changed somewhat in recent years as the
magnitude and importance of tourism has begun to be appreciated, ignorance about tourism and
many of the processes associated with it is still widespread.
The lack of attention by public agencies to tourism is especially problematic in the case
of marine and coastal tourism. In most countries, there usually is no coordination between
programs that promote and market tourism and those that manage coastal and marine areas.
Integrated coastal management often tends to be done within environmental or planning
agencies. On the other hand, agencies dealing with the promotion of tourism are not involved
with the evaluation of its effects or with advance planning and management of the adverse
impacts of tourism through avoidance, mitigation, and compensation strategies (Cicin-Sain,
1993). Hence, one of the greatest challenges facing coastal managers in the United States and
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elsewhere is how to integrate tourism development within the ambit of integrated coastal
management, and thus increase the likelihood of long-term sustainability (Cicin-Sain and
Knecht, 1998).
The Role of the Federal Government in Coastal Tourism Management
As an economic activity, tourism is difficult to influence and manage directly. Like most
coastal development in market economies, tourism-related development is driven largely by the
private sector and its assessment of economic opportunities. Miller and Auyong (1991) point out
that tourism involves mainly three sets of actors: tourists, locals (those who reside in the region
of tourism destinations but are unconnected to the tourism industry), and two categories of
brokers (those in the private sector who are engaged in the business of tourism, and those in the
public sector who in one way or another monitor, manage, or govern tourism). Tourism tends to
be globally driven by market forces influenced by such factors as advertising (by public or
private agents at the tourist destination), the perceptions of the traveling public about security,
amenity values, etc., and, in the case of international tourists, by currency factors.
Notwithstanding these difficulties, there is much that the federal government, working
with the states and localities, does to ensure that coastal tourism is conducted in a sustainable
manner, thereby ensuring long term economic and environmental benefits for coastal
communities and the nation. Sustainable development of coastal tourism is dependent on:
1. good coastal management practices (particularly regarding proper siting of tourism
infrastructure and the provision of public access);
2. clean water and air, and healthy coastal ecosystems;
3. maintaining a safe and secure recreational environment though the management of
coastal hazards (such as erosion, storms, floods), and the provision of adequate
levels of safety for boaters, swimmers, and other water users;
4. beach restoration efforts that maintain the recreational and amenity values of beaches;
and,
5. sound policies for -wildlife and habitat protection.
While there are separate federal programs dealing with each of these areas, some more
successfully than others, in recent years there has been a growing realization among a number of
federal agencies that these factors are interconnected and that all are needed to achieve healthy
ecosystems and sustainable economies in coastal communities. To cite just one example, the
Sustain Healthy Coasts 5-year Implementation Plan, developed by NOAA's Office of Ocean and
Coastal Resource Management (March 1997), defines the following objective: "Foster well-
planned and revitalized coastal communities that are compatible with the natural environment,
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minimize the risk from natural hazards, and provide access to coastal resources for the public's
use and enjoyment."
In the sections that follow, existing efforts by federal agencies the categories outlined
above are reviewed and assessed. The small but growing sector of ecotourism, and the need to
manage this activity carefully to avoid adverse impacts on protected species and sensitive
habitats, is also discussed.
Coastal Management and Planning
The United States has the oldest national coastal management and planning program in
the world, initiated under the Coastal Zone Management Act of 1972. The program, administered
by NOAA's Office of Ocean and Coastal Resource Management, now includes coastal
management programs in 31 U.S. states and territories, covering 97.2 percent of the U.S.
shoreline (Uravitch, 1997). The program uses incentives (in the form of grants to the states and
the "federal consistency" provision) to assist states in the preparation and implementation of
coastal management plans. These state efforts have been multifaceted and have addressed,
through a variety of means (regulatory, planning,'public awareness raising), all uses of coastal
areas.
Three management practices under the Coastal Zone Management (CZM) program are
especially important for ensuring sustainable tourism development: (1) provisions for the
management of coastal development; (2) provisions to improve public access to the shoreline;
and (3) provisions to protect (and, where necessary, to restore) coastal environments.
Management of Coastal Development
All CZM programs have elements which, in effect, help manage coastal development.
Two of these are especially relevant to tourism development: (1) encouragement of water-
dependent uses in the coastal zone and (2) the appropriate siting of new facilities in the coastal
zone.
Encouragement of-water-dependent uses
State CZM programs actively encourage and facilitate the use of land adjacent to the
shoreline for those purposes which require such a location. This policy helps ensure that
proposals for tourism and marine recreation projects receive appropriate consideration in the
government review process. It also helps ensure that meritorious coastal tourism developments
are not crowded out of the coastal zone by uses that do not require a shoreside location.
Appropriate siting of facilities
Construction of new facilities in the coastal zone must meet the setback requirements of
state CZM programs. While states differ in their requirements, the trend is to relate setback lines
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to annual erosion rates and, thus, to require the greatest setbacks from the high tidemark in those
areas having the largest erosion rates. Facilities siting policies also help ensure that new tourism
construction is not located in hazardous areas from the standpoint of coastal storm damage and
flooding.
Improvement of Public Access to the Shoreline
A strong emphasis in the federal Coastal Zone Management Act relates to the importance
of ensuring adequate public access to the nation's shorelines for recreational pursuits. All 31
state programs are actively pursuing this goal. Recognizing the limitations of simply planning for
access, Congress added section 306A to the CZMA in 1980 to allow states to acquire land and
fund low cost construction projects to provide public access ways to the beach and coastal waters
(Cunningham and Walker, 1996).
Since 1980, for example, the California Coastal Program has acquired over 2,300 public
access ways along the coast while the San Francisco Bay Conservation and Development
Commission has increased public access around the perimeter of San Francisco Bay from 4 miles
in 1977 to more than 96 miles in 1990 (Cunningham and Walker, 1996). Under the CZM
program, states and localities use grant funding and regulatory tools to secure improved public
access for recreational purposes.
Protection of Coastal Habitats
The existence of healthy coastal habitats (wetlands, beaches and dunes, sea grass beds,
mangroves, coral reefs, estuaries) is important to coastal recreation and tourism. State CZM
programs represent one of the important management avenues in obtaining this protection.
Within specified coastal zone boundaries, states and/or their local governments regulate activities
which could adversely impact these habitats. Other federal programs, such as those under the
Clean Water Act's Section 404 (dredge and fill program) and Section 320 (National Estuary
Program), the Marine Protection Research and Sanctuaries Act (which controls ocean dumping),
the Coastal Barrier Resources Act, the National Seashore Program, the Endangered Species Act,
and the Marine Mammal Protection Act, also serve to protect coastal habitats. Furthermore, a
national system of estuarine research reserves aimed at providing a representative system of
natural field laboratories for management-related research and monitoring also exists as an
adjunct to the national CZM program.
Management of Clean Water and Healthy Ecosystems
Clean water and healthy coastal ecosystems are essential to the maintenance of coastal
tourism and recreation. Foreign tourists and the recreating domestic public stop going to areas
where the waters are polluted, beaches are closed, or fish are tainted. For example, it is reported
that the State of New Jersey lost $800 million in tourism revenues following reports that medical
wastes had washed up on some of its beaches (Bookman, 1997). According to EPA estimates,
coastal and marine waters support 28.3 million jobs, generate $54 billion in goods and services,
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contribute $30 billion to the U.S. economy through recreational fishing, and provide a
destination for 180 million Americans to recreate each year (EPA web page, November 1997).
In the past 25 years, there have been extensive efforts made by federal agencies,
especially EPA and NOAA, in association with the coastal states, to improve coastal water
quality. Under programs authorized by the Clean Water Act of 1972 (as amended) and
administered by EPA, significant improvements in water quality have been realized. Point
sources have been largely controlled under the National Pollution Discharge Elimination System
(NPDES). Significant challenges remain regarding the control of non-point sources of water
pollution (resulting from such sources as agricultural practices, urban and storm water run-off,
and air deposition), especially in coastal areas abutting agricultural lands. EPA's non-point
source program (under Section 319 of the Glean Water Act), and NOAA's program under
Section 6217 of the CZM Act, have been used in combination in a number of coastal states to
begin more effective measures to control non-point sources of pollution.
Protection of the marine environment is one of the critical services provided by the U.S.
Coast Guard. This includes prevention of environmentally threatening marine accidents and
responses armed at minimizing adverse effects should accidents occur., This also includes
protection of living marine resources and marine sanctuaries. The implementation of the Oil
Pollution Act of 1990 is resulting in safer ships entering U.S. ports, safer vessel operators, and
hence, cleaner coastal waters. NOAA's National Ocean Service provides safe navigation
services, such as nautical charts, and information on water levels and currents, that help prevent
marine accidents. It also performs hazardous material spill response activities. NOAA's role in
pollution monitoring (National Status and Trends Program) and damage assessment are also
important aspects of managing clean water and healthy ecosystems.
In addition, special planning and management efforts, largely directed at improving water
quality and habitats, have been made in many of the nation's estuaries under the aegis of EPA's
National Estuary Program (NEP). Under the NEP, 28 estuaries, designated as estuaries of
national significance, have been the beneficiaries of substantially increased research and
management attention. Management conferences convened in each estuarine area are used to
oversee the characterization of each estuary, and the preparation and implementation of
Comprehensive Conservation and Management Plans (CCMPs). These include resource and
water-quality related goals and the action plans necessary to meet these goals. An enduring
commitment from NEP stakeholders at all levels is vital to the successful implementation of the
CCMPs and the long-term health and sustainability of these estuarine resources. This
commitment must include the acquisition and leveraging of sufficient funds by state and local
governments, follow-through on commitments agreed to by the implementors, and the full use of
appropriate authorities. The continuing involvement of the federal government, notably the EPA,
in the oversight and support of the NEP is also likely to be critical to the long-term success of the
program.
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The direct contribution to coastal economies made by cleaning up coastal waters is often
not folly recognized. A recent report by the EPA indicates that in seven estuaries alone1, tourism
and beach going activities generate economic benefits of more than $16 billion to their respective
regions (EPA, 1997). Clearly, these benefits depend on the maintenance of clean coastal waters
and attractive ecosystems.
While substantial progress has been made in improving coastal water quality since 1972,
much remains to be done. Meanwhile, reauthorization of the Clean Water Act has been stalled
for several years, the national policy framework for dealing with non-point source pollution
remains somewhat unclear, and funding levels for water quality improvement programs are
inadequate. Furthermore, the nation needs to decide if the current largely voluntary approach to
non-point source pollution will be sufficient, especially for dealing with agricultural run-off
problems.
Management of Coastal Hazards
In siting coastal resorts and other facilities, there is understandably a predilection for
locating in beautiful but high-risk zones that are as close as physically possible to the edge of the
sea, or otherwise take advantage of scenic views and proximity to beaches and ocean recreation.
Of course, it is precisely these areas that are most vulnerable to both long-term and episodic
coastal hazards: such as erosion, storms, and floods.
While government cannot be expected to protect individuals from their own recklessness,
it does have a responsibility to provide the information necessary to permit informed decisions to
be made with regard to the kinds and degrees of risk associated with living in various parts of the
coastal zone. Furthermore, coastal areas that are clearly hazardous as building sites should be
reserved for other uses. Government also has the responsibility to provide adequate warnings of
impending storms or other hazardous conditions, and to develop plans for coping with such
emergencies. Several government programs exist to meet these needs as discussed below.
At the federal level, FEMA's National Flood Insurance Program (NFIP) and the Coastal
Zone Management Program exist, in part, to address these problems. The NFIP offers flood
insurance to coastal landowners in communities that have met government standards for building
in coastal areas (elevating structures above a designated flood level, designation of high hazard
areas where no building is allowed, etc.). FEMA is also responsible for supporting and
facilitating the work of state emergency preparedness offices in the preparation of coastal
evacuation plans and plans to deal with disasters such as hurricanes both during the event and
during the clean-up and reconstruction phases. NOAA's National Weather Service devotes
considerable resources to the job of providing timely "state-of-the-art" forecasts and predictions
of hurricanes and other coastal storms.
ICasco Bay (Maine), Long Island Sound (New York, Connecticut), Massachusetts Bay (Massachusetts), Albermarle-Pamlico
Sounds (North Carolina), Galveston Bay (Texas), San Francisco Bay (California), and Santa Monica Bay (California))
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Through the federal CZM program, coastal states build in their own regulatory
approaches such as construction setback lines, storm-resistant building codes, acquisition
programs for hazardous areas, and the like. Recognizing the connections that should exist
between the planning and management efforts under CZM, and cognizant of the lessons being
learned during storm events by the emergency management programs, NOAA and FEMA are
initiating a series of workshops to strengthen the coordination between these programs.
Advanced planning and follow-up are required to maintain a safe and secure environment
for visitors. Tourists take their safety for granted when they go to the beach or visit a coastal
resort or even rent a sailboat for the day.. Yet the coast is inherently a place with real risks, even
under good weather conditions. Swimmers can drown and boats can collide or go aground,
poisonous jellyfish can sting. And, of course, episodic large storms and hurricanes can have
devastating consequences in coastal areas heavily populated with visitors.
Increasing numbers of Americans find themselves on the nation's waterways in
connection with recreational boating, fishing, traveling to and from coral reefs for snorkeling and
diving, and so on. Maintaining an adequate level of safety and accident prevention requires
properly marked channels, rescue services, oversight of boating safety requirements (e.g., life
jackets and other emergency equipment), and monitoring and enforcement of boating operations,
including so-called "thrill craft." While some of these duties can be performed by local and state
authorities, the maintenance of safe and well-marked waterways and maritime safety in general
has traditionally been a federal government responsibility. In any event, the federal government
is in the best position to ensure than an adequately comprehensive safety program is in place in
coastal areas. The U.S. Coast Guard is the primary federal agency with responsibility for coastal
search and rescue, enforcement of maritime laws, and maintenance of a national waterway
marking system. The Coast Guard is also the coordinator of the national recreational boating
safety program aimed at ensuring the safety of boats and associated equipment, and their safe
operation by boaters. Through the production of accurate nautical charts and related products,
NOAA provides essential information for navigating the nation's coastal waters.
Beach Restoration Programs
The federal government, acting through the U.S. Army Corps of Engineers, has long
played an important role in the maintenance and restoration of the nation's beaches and shores.
Experience in shore protection efforts has shown that soft solutions involving beach re-
nourishment have produced better, more economical results than hard solutions such as seawalls
and groins in many circumstances.
Seawalls and revetments first developed as the field of coastal engineering emerged.,
While these measures are often successful at protecting the development and infrastructure
behind a beach, they do not address the real cause of beach erosion, which is a lack of sediment
in the system. As understanding of coastal systems has grown through research and data
collection programs, solutions to such problems has progressed. Today, beach re-nourishment
represents a sound engineering solution that is economically feasible and environmentally
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sensitive. Only in areas with very high erosion rates and substantial shoreside facilities to protect
are hard structural solutions considered.
The shift of population to coastal counties and the increased demand for coastal tourism
destinations has exacerbated many existing beach erosion problems. Development in areas with
high erosion rates (U.S. Army Corps of Engineers, 1971) and building on or in front of sand
dunes, rather than behind them, are major factors contributing to increased beach erosion
problems. Relative sea-level rise caused primarily by subsidence is another major factor in some
areas. The interruption of sand flowing along the coast by natural or stabilized inlets is also an
aggravating factor.
The Corps has conducted assessments of many of the nation's important beaches and has
assisted coastal communities in the funding of beach nourishment projects. The bulk of the costs
of these projects have been borne by the federal government with the local share generally being
about 30 to 35 percent of the total cost. Just as the federal government is reconsidering its
policies in this regard, coastal erosion and increasing relative sea-level rise in some parts of the
country (notably the middle Atlantic and Gulf coasts) are increasing the need for beach
replenishment projects.
As statistics cited earlier show, America's beaches are an important element in this
country's attractiveness as an international tourist destination. A case in point concerns Miami
Beach which virtually had no beach left by the mid 1970s as a result of erosion. Beach re-
nourishment (at the cost of $52 million) in the late 1970s rejuvenated Miami Beach and enabled
its beach to be reopened to the public. Beach attendance subsequently increased from 8 million in
1978 to 21 million in 1983. Annual governmental revenue obtained from foreign tourism in
Miami Beach alone is about 40 times the cost of the beach re-nourishment project that has lasted
over 15 years (Houston, 1995).
Given the role played by beach tourism in the nation's balance of payments and its
impact on government revenues and regional and local economies, it is crucial that these assets
be maintained at levels that promote and enhance their recreational use. If budgetary constraints
make it necessary to reduce federal assistance for beach restoration and maintenance, a gradual
and predictable approach should be adopted and states and coastal communities assisted in
developing viable alternative funding arrangements.
Coastal Tourism and the Need to Coordinate Federal Policies And Programs
While the issues discussed above are usually considered separately, all are of central
importance to sustainable coastal tourism. Any one, be it poorly planned development, poor
coastal water quality, unsafe or hazardous conditions, or eroding beaches, could seriously impact
the tourism potential of a coastal area. Furthermore, policies and programs in each of these areas
need to be developed and implemented in an integrated fashion, each taking account of the
others. Failure to do this can result in such undesirable outcomes as erosion control structures
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that impair the recreational experience, or poorly designed development that causes water
pollution or beach erosion.
Management of Ecotourism
Ecotourism or nature tourism is: "Tourism that involves traveling to relatively
undisturbed or uncontaminated natural areas with the specific object of studying, admiring, and
enjoying the scenery and its wild plants and animals, as well as any existing cultural areas."2
While still relatively small, ecotourism is one of the fastest growing segments of the tourism
industry and presents special management challenges.
Internationally, ecotourism is growing at a moderate rate with the financial impacts
greatest in rural areas near important ecotourism activities (Eagles, 1997). In 1988, international
ecotourists numbered 236 million worldwide, with an estimated economic impact of $233 billion
(U.S.) (Eagles, 1997). In 1994, the number of international ecotourists rose to 317 million with
direct economic impact of $250 billion (U.S.) (Ecotourism Society, 1997).
Although specific data on coastal ecotourism are difficult to obtain, market surveys in the
United States show good prospects for ecotourism growth. In 1992, a U.S. Travel Data Center
survey indicated that 7 percent of U.S. travelers had taken at least one trip that they considered
ecotourism and 30 percent claimed they would take one within the next three years (Eagles,
1997).
In the United States, some coastal states have begun promoting ecotourism and nature-
based tourism through the preparation of guides to ecotourism attractions and other publications.
For example, the Marine Advisory Service of the Delaware Sea Grant College Program produced
a guidebook to ecotourism sites in the state (Falk, Small, and Rector, 1997). In 1996, the State of
South Carolina, with the collaboration of the South Carolina Sea Grant Consortium, produced a
handbook entitled Guidelines and Recommendations for Nature-Based Tourism Planning and
Practice in South Carolina (Bacon and Kibler, 1996). Yet another example is the California
Coastal Conservancy, which devoted its Summer 1997 issue of California Coast & Ocean to
nature tourism.
Ecotourism in association with marine and estuarine protected areas, especially the
National Marine Sanctuary Program and National Estuarine Research Reserve Program, has a
great potential (Koss, 1995). However, for ecotourism activities to be sustainable, they must be
managed properly and with special care. Unless properly managed, the impacts of ecotourism
(for example, to remote pristine areas) may be worse than those of tourism to clearly defined and
confined resorts (Butler, 1993, p. 28).
In the United States, for example, concerns have been raised about the impacts of
ecotourism on marine mammals, which are protected under the Marine Mammal Protection Act.
2 Caballos-Lascurain, 1988, as quoted in Lindberg, 1993, p. 3
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Commercial cruises to observe and "feed wild dolphins" operating in such areas as Texas, South
Carolina, and Florida, were found to harm dolphins by making them reliant on accepting food
from humans and decreasing their ability to survive in the wild. Threats to the marine mammal
populations and to humans in these situations include: (1) substantially altering the natural
behavior of marine mammals, including foraging for food and migration, (2) the loss of wariness
by humans, which places the animals at increased risk of injury or death from interaction with
vessels, (3) animals receiving inappropriate or contaminated food, and (4) increased injuries to
humans as the habituated animals become predictably more aggressive when they lose their
wariness of humans and compete for handouts (NOAA/NMFS/OPR, 1994, 1995, and 1998).
Management of Coastal Recreation Activities
The last decade has seen a great increase in the nature and magnitude of coastal recreation
activities, which as has been shown, generate billions of dollars in economic activity.
Recreational uses of a consumptive nature include hunting, fishing, shellfishing, shell collection,
and the like, while non-consumptive uses include swimming, surfing, sun-bathing, boating,
wind-surfing, jet skiing, bird watching, snorkeling, diving, glass-bottom boating, and many
more. As coastal recreation activities have proliferated, the need for active management has
increased as well.
At least three sets of concerns related to the management of coastal recreation activities
must be dealt with, namely, environmental/resource concerns, amenity concerns, and safety
concerns. Environmental/resource constraints include the maintenance of good water quality, and
habitats and living resources which are free of health hazards, and which have good air quality,
healthy coral reefs, healthy shellfish areas, etc. Amenity concerns include adequate controls on
congestion, noise, landscape degradation, and the like. Safety concerns include adequate
lifeguard systems, first aid facilities, telephones, codes of conduct for beach users, and notice
systems for beach and water hazards (such as jellyfish, underwater obstructions, etc.) and for
weather-related risks (such as high waves, undertows, dangerous currents, etc.).
In most cases, the responsibility for meeting these concerns is divided between the beach
"owner" (often a local government or state government, but sometimes federal or private), resort
and/or recreation facility operators, and state environmental or health departments. In general,
nationwide standards for recreational beach operation do not exist, even with respect to beach
closings. This would appear to be an area where additional attention at the national level is
needed.
A promising start in this area is a new program recently launched by the EPA and
designated the Beaches Environmental Assessment, Closure, and Health (BEACH) Program.
This program is designed to encourage government agencies at all levels to strengthen beach
water quality standards and testing methods using predictive water pollution models, to better
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inform the public about beach water quality conditions, and to make information about the risks
associated with swimming in contaminated beach water available to the public.3
Emerging Tools and Techniques
Although coastal tourism constitutes a strong force (both positive and negative) in
shaping coastal communities and local, regional, and national economies, coastal tourism is
generally not seen as a specific sector requiring policy, planning, and management attention and
resources. This is due, in part, to the fact that data and information tend not be gathered and
aggregated under this heading. Hence, the magnitude and importance of leisure and
recreationally motivated development in the coastal zone tends to be understated, understudied,
and under-managed.
However, certain aspects of this situation may be changing. Since the Earth Summit in
Rio de Janeiro hi 1992, a number of new initiatives for sustainable tourism practices have
appeared. For example, in 1993, a new periodical entitled Journal of Sustainable Tourism
appeared, focusing on applying the principles of sustainable development to the tourism field. In
1997, on the occasion of the five-year review of the implementation of Earth Summit
agreements, three organizations: The World Travel and Tourism Council, the World Tourism
Organization, and the Earth Council; jointly published Agenda 21 for the Travel and Tourism
Industry: Towards Environmentally Sustainable Development (WTTC et al, no date). This report
presents a summary of Agenda 21 (one of the main outputs of the Earth Summit), and the role
that travel and tourism can play in achieving the goals of Agenda 21. It also outlines a program
of action. Planning for sustainable tourism development is one of the priority areas of the
program which calls for complementarity between tourism and coastal development by adopting
suitable policies such as the Global Blue Flag Program (WTTC et al.). The Blue Flag Program is
a European campaign started in the 1980s which encourages local authorities to provide clean
and safe beaches for local populations and international tourists. Blue Flag awards go to beaches
that achieve certain standards hi water quality, beach management and safety, and environmental
information and education.
A guide for tourism managers has also been developed by the World Tourism
Organization (WTO, 1996) on the formulation and use of indicators of sustainable tourism.
Indicators signal unacceptable levels of impacts or stress, and these can in turn lead to the
development of standards to govern tourism activities. Core indicators developed by the WTO
include use intensity (persons per meter of accessible beach), species counts (number of species,
change in composition), pollution levels (fecal coliform, heavy metal counts, etc.), and accident
rates (WTO, 1996).
New tools are also being developed in connection with coastal tourism and natural
disasters, such as hurricanes. The University of Florida, for example, in cooperation with the
Florida Hotel and Motel Association, has prepared The Hurricane Preparedness Handbook for
3The EPA web site HYPERLINK is http://www.epa.gov/ost/beaches/overview.html.
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Hotels and Motels. In a slightly different direction, Clemson University (Department of Parks,
Recreation, and Tourism Management) has prepared a handbook to guide communities and their
tourism industries through crises of various types including those associated with natural hazards
such as hurricanes (Sonmez et al.). As outlined in its introduction, this guidebook "is intended to
serve as a guideline to facilitate tourism recovery by protecting or rebuilding a local area's image
of safety and attractiveness; reassuring potential visitors of the safety of the area; reestablishing
the area's functionality and attractiveness; and aiding the local travel and tourism industry
members in their economic recovery efforts" (Sonmez et al., p. v).
FINDINGS
As detailed above, coastal tourism and recreation involve major economic activity in U.S.
coastal and ocean areas, and must be planned and managed with special care to insure that the
environmental quality on which coastal tourism and recreation depend is maintained and
enhanced. Major findings and areas of future work are summarized below:
1. Economic importance of coastal tourism and recreation. Coastal tourism and recreation
provide a huge positive economic benefit in the United States, both in terms of jobs and earnings
and in terms of balance of payments and governmental revenues. As discussed, over 90 percent
of foreign tourism spending is concentrated in coastal states where beaches are the leading
tourism destination (Houston, 1996). For example, Miami Beach reported more tourist visits (21
million) than were made to any National Park Service property (Houston, 1995). The federal
government, moreover, receives about 6 times as much tax revenues annually from foreign
tourism spending at Miami Beach than it spends to restore beaches in the entire nation (Houston,
1996). Yet, these values often go unrecognized, and are not the subject of concerted attention by
federal, state, and local policymakers.
2. There is little information on marine and coastal tourism. There is no systematic collection
of data and information on the magnitude, nature, and economic and social impacts of tourism
and recreation in the nation's coastal zone. This is, in part, responsible for a general under-
appreciation of this set of activities and for the failure to devote adequate planning and
management attention to the relevant issues that are raised for coastal tourism and recreation. To
properly guide coastal tourism in a sustainable development manner, better data focused on
coastal and marine areas will be needed. The types of information needed include:
• Systematic collection and interpretation of coastal tourism data on a coastal county
basis;
• Collection and interpretation of data on coastal and marine recreation activities;
• Expansion of existing databases, such as, for example, the Sea Grant Coastal
Recreation and Tourism web service (organized by Oregon State University, in
collaboration with many other Sea Grant programs);
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• Conduct of studies on the dynamics of tourism in coastal and marine areas. For
example, what constitutes an optimal type and scale of coastal tourism? Who gets
what, when, and where from expanded tourism? What is the distribution of benefits
from tourism? (Richter, 1983).
3. U.S. promotional efforts to attract foreign tourists to U.S. coastal areas lag significantly
behind those of other nations. Foreign tourists use U.S. coastal areas very frequently and
contribute significantly to jobs, earnings, and tax revenues in coastal communities. Foreign
competition in marketing other world coastal destinations, however, is increasing. In contrast to
many other governments, the U.S. government spends very little in tourism promotion.
4. Federal policies and programs essential for the maintenance of healthy coastal tourism
and recreation (coastal planning and management, clean water, beach nourishment,
management of coastal hazards and of coastal safety) are interrelated and should be
treated as a whole. The economic viability and sustainability of coastal tourism and recreation
are directly affected by at least four sets of federal policies and programs:
• Coastal planning and management (CZM) programs, especially in relation to the
appropriate siting of tourism development and in ensuring public access, are of
central importance in sustainable coastal tourism.
• Clean water and healthy ecosystem programs are vital to sustainable coastal tourism.
• Programs to ensure a safe coastal environment, especially with reference to natural
hazards such as hurricanes and storms and to the maintenance of safe marine
recreational and boating conditions, are essential for sustainable coastal tourism.
• Programs to maintain recreational beaches, by means of beach re-nourishment to
combat erosion and relative sea-level rise, are also of central concern to sustainable
coastal tourism.
• Programs to protect wildlife and coastal habitats are also essential to sustainable
coastal tourism.
While a variety of federal efforts are focused on different programs of importance to
coastal tourism, these have not been successfully coordinated. To remedy this situation,
consideration could be given to the creation of an interagency initiative devoted to coastal
tourism among the major federal agencies with programs in this area (e.g., NOAA (NOS
[OCRM, NMS, NERRS], NMFS, OAR), the Department of Interior (Coastal Barrier Program,
Fish and Wildlife Service, National Park Service), EPA, FEMA, Army Corps of Engineers,
Coast Guard, etc.). Related options could entail the mobilization of a public-private partnership
to work in conjunction with the federal inter-agency group (involving such entities as state
coastal programs, state tourist offices, aquaria, and waterfront redevelopers), and the
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development of a public awareness and outreach program focused on the determinants of
successful coastal tourism.
5. Little guidance (in the form of standards, codes of conduct, manuals, etc.) is currently
available to states and communities for guiding appropriate tourism development in
coastal areas. While individual coastal, communities and coastal states have taken initiative in
preparing guides and codes of conduct related to coastal tourism and recreation, many others
have not yet done so. The federal government can play a useful role here in providing guidance
to states and communities in their attempts to manage coastal tourism and recreation
appropriately. Useful activities include the development of standards, guides, and manuals for
managing coastal tourism, in cooperation with relevant non-governmental organizations, the
private sector, and international entities working on these issues. Also, management standards for
recreational beaches, for example, those developed for the European Blue Flag program, could
play a valuable role in improving conditions at some U.S. beaches.
REFERENCES
Bacon, R. and Kibler, T. 1996. "Nature-Based Tourism Development in South Carolina." South
Carolina Sea Grant Extension Program, South Carolina.
Bramwell, B. 1991. "Shades of Green Tourism." Leisure Management, Spring: 41-42.
Bookman, Charles, 1997. Personal communication, November 20, 1997.
Butler, R.W. 1993. "Tourism: An Evolutionary Perspective." Tourism and Sustainable
Development: Monitoring, Planning, Managing. J. Nelson, R. Butler, and G. Wall, Eds.
University of Waterloo: Heritage Resources Centre Joint Publication Number 1.
Caballos-Lascurain, Hector. 1988. "The Future of Ecotourism" Annals of Tourism Research 18-
26-40.
Cicin-Sain, B. 1993. "Sustainable Development, Integrated Coastal Management and Tourism:
Challenges to Mediterranean Countries," MEDCOAST '93 Proceedings, Antalya, Turkey.
Cicin-Sain, B. and Robert W. Knecht. 1991. "The Role of Government in Tourism
Development." Proceedings, International Conference on Marine and Coastal Tourism.
Honolulu, Hawaii.
Cicin-Sain, B. and Robert W. Knecht. 1998. Integrated Coastal and Ocean Management:
Concepts and Experiences. Washington, D.C.: Island Press.
Cunningham, C and Walker, K. 1996. "Enhancing Public Access to the Coast through the
CZMA." The Journal of Marine Education, Volume 14, Number 1. pp 8-11.
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Eagles, P.F.G., 1997. Understanding the Market for Sustainable Tourism. Internet source:
http://www.ecotoxirisni.org/textfiles/eagles.txt
Ecotourism Society. 1997. Ecotourism Statistical Fact Sheets. Internet source:
http://www.ecotourism.org/textfiles/stats.txt
English, Donald B.K., Warren Kriesel, Vernon R. Leeworthy, and Peter C. Wiley, 1996.
Economic Contribution of Recreating Visitors to the Florida Keys/Key West. Report.
Prepared in collaboration among NOAA (Strategic Environmental Assessments Division, Office
of Ocean Resources Conservation and Assessment, National Ocean Service; also Office of Ocean
and Coastal Resource Management/Sanctuaries and Reserves Division/Florida Keys National
Marine Sanctuary), USDA-Forest Service (Outdoor Recreation and Wilderness Assessment
Group, Southern Forest Research Station), Department of Agricultural and Applied Economics,
University of Georgia); the Nature Conservancy Florida Keys Initiative, the Monroe County
Tourist Development Council, Bicentennial Volunteers, Inc.
Environmental Protection Agency (EPA) 1996. Benefits of Water Quality Improvement.
Environmental Protection Agency (EPA) 1997. Natural Resource Valuation: A Report by the
Nation's Estuary Program^
Falk, James M., Cindy Small and Rob Rector. 1997. Delaware Eco-Discoveries: The 1997 Guide
to Nature-Based Travel in Delaware. Published by Atlantic Publications, Inc. in cooperation
with the Delaware Sea Grant College Program and the Southern Delaware Convention and
Tourism Commission, Lewes, DE.
Farrell, B. H. and D. Runyan. 1991. "Ecology and Tourism." Links, 1: 3.
Houston, James R., "The Economic Value of Beaches," CERCular, Coastal Engineering
Research Center, Vol. CERC-95-4, December 1995.
Houston, James R., "International Tourism and US Beaches," Shore and Beach (1996).
Koss, Jennifer, 1995. "Ecotourism and Marine Protected Areas," Master's thesis, Marine Policy
Program, Graduate College of Marine Studies, University of Delaware.
Lindberg, Kreg. 1993. Policies for Maximizing Nature Tourism's Ecological and Economic
Benefits. Washington, D.C. World Resources Institute.
Miller, M. 1993. "The Rise of Coastal and Marine Tourism." Special Issue on Ecotourism in
Marine and Coastal Areas," Ocean and Coastal Management, 21 (1-3): 183-199.
Miller, M. and J. Auyong, 1991. "Coastal Zone Tourism: A Potent Force Affecting Environment
and Society." Marine Policy, 15 (2): 75-99.
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National Marine Manufacturers Association. 1996. Boating 7PP6_(prepared by the Marketing
Services Department of the National Marine Manufacturers Association, 200 East Randolph
Drive, Suite 5100, Chicago, Illinois 60601).
National Oceanic and Atmospheric Administration, National Marine Fisheries Service, Office of
Protected Resources, Report to Congress on Results of Feeding Wild Dolphins: 1988-1994, July
1994. 23 p. with appendix.
National Oceanic and Atmospheric Administration, National Marine Fisheries Service, Office of
Protected Resources, 1995. "Flipper's Myth Proves Harmful". MMPA Bulletin (6):3.
National Oceanic and Atmospheric Administration, National Marine Fisheries Service, Office of
Protected Resources, 1998. "NMFS Continues Campaign to Halt Feeding and Harassment of
Wild Dolphins'. MMPA Bulletin (10):1.
Rearden, Philip. 1993. "Cultural Aspects of Tourism and Sustainable Development: Tourism and
the Hilltribes of Northern Thailand." Tourism and Sustainable Development: Monitoring,
Planning, Managing. J. Nelson, R. Butler, and G. Wall, Eds. University of Waterloo: Heritage
Resources Centre Joint Publication Number 1.
Richter, Linda K., "Tourism Politics and Political Science: A Case of Not So Benign Neglect,"
Annals of Tourism Research, Vol. 10 (1983), pp. 313-335.
Savignac, Antonio Enriquez. 1995. "Foreword." World Tourism Directory '95/'96, Part I.-
Europe. Third Edition. New Providence: K.G. Saur and Reed Travel Group.
Scace, Robert C. 1993. "An Ecotourism Perspective." Tourism and Sustainable Development:
Monitoring, Planning, Managing. J. Nelson, R. Butler, and G. Wall, Eds. University of
Waterloo: Heritage Resources Centre Joint Publication Number 1.
Sonmez, S.F, Backman, S.J and Allen, L.A. No Date. Managing Tourism Crises: a Guidebook.
Department of Parks, Recreation and Tourism Management. Clemson University, Clemson,
South Carolina.
United Nations Environment Programme, World Tourism Organization, and Foundation for
Environmental Education in Europe. 1996. Awards for Improving the Coastal Environment: The
Example of the Blue Flag. United Nations Environment Programme, Paris, France; World
Tourism Organization, Madrid, Spain; and Foundation for Environmental Education in Europe,
Kobenhaum, Denmark. 50 pp.
Uravitch, Joseph, Office of Coastal Programs, NOAA/OCRM, 1997. Personal communication,
November 5, 1997, Silver Spring, Maryland.
Wildavsky, B. 1995. "Travel Advisory." National Journal, September 6, 1995.
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Wilson, Pete and Douglas P. Wheeler. 1997. California Ocean Resources: An Agenda for the
Future. Sacramento, California, The Resources Agency of California, Ocean Resources
Management Program.
Woodley, A. 1993. "Tourism and Sustainable Development: The Community Perspective." J.
Nelson, R. Butler, and G. Wall, Eds. University of Waterloo: Heritage Resources Centre Joint
Publication Number 1.
World Tourism Organization. 1996. "What Tourism Managers Need to Know: A Practical Guide
to the Development and Use of Indicators of Sustainable Tourism." World Tourism
Organization, Madrid, Spain. 73 pp.
World Travel and Tourism Council (WTTC), World Tourism Organization, and Earth Council.
No date. Agenda 21 for the Travel and Tourism Industry: Towards Environmentally Sustainable
Development. World Travel and Tourism Council, London, United Kingdom; World Tourism
Organization, Madrid, Spain; and Earth Council, San Jose, Costa Rica. 78 pp. (presented at the
June 1997 United Nations General Assembly, "The Earth Summit plus Five," New York City)
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DOMESTIC LEGAL REGIME
Contents
• Abandoned Shipwreck Act (43 U.S.C. §§ 2101 et seg.)
• Antiquities Act of 1906 (16 U.S.C. §§ 431 et seq.)
• Archaeological Resources Protection Act of 1979 (16 U.S.C. §§ 470aa et seq.)
• Coastal Barrier Resources Act (16 U.S.C. §§ 3501 et seq.)
• Coastal Zone Management Act (16 U.S.C. §§ 1451 et seq.)
• Federal Water Pollution Control Act, as amended, also called the Clean Water Act as
amended (CWA), 33 U.S.C. §§ 1251 et seg.
• National Flood Insurance Reform Act
• National Marine Sanctuaries Act (16 U.S.C. §§1431 et seq.)
• National Park Service Organic Act (16 U.S.C. §§ 1)
• National Wildlife Refuge System (16 U.S.C. § 668dd)
• National Historic Preservation Act (16 U.S.C. §§ 470 (et seq.)
• National Wilderness Preservation S3'stem (16 U.S.C. § 1131)
• Oil Pollution Act of 1990 (33 U.S.C. §§ 2701 et seq.. inter alia)
The legal regime covering this topic is based on a collection of important federal statutory
authorities. The following is a brief description of some of those authorities relating to recreation
and tourism. The list is selective and is designed to illustrate some major recreation and tourism
acts. The list is not meant to be comprehensive.
Abandoned Shipwreck Act (ASA). 43 U.S.C. §§ 2101 gt
Under the ASA, the United States asserts title to shipwrecks that are embedded in the submerged
lands of a state. The federal government transfers title to the state whose submerged lands
contain the shipwreck, except when the wreck is located on public or Indian land, or is a U.S.
warship that has not been affirmatively abandoned. The public is given notice of the location of
any shipwreck when title is asserted under the ASA.
Pursuant to the ASA, states manage a broad range of living and nonliving resources in their
waters and submerged lands. Shipwrecks protected under the ASA offer recreational and
educational opportunities for divers, tourists, users of biological sanctuaries, and historical
researchers. States are encouraged to provide public access to the shipwrecks through the
adoption of guidelines for the creation of underwater parks.
The Secretary of the Interior, through the National Park Service, publishes guidelines to
maximize the enhancement of shipwrecks as cultural resources; foster a partnership among sport
divers, salvors, and other interests to manage shipwreck resources; facilitate access and
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utilization of the shipwrecks; and recognize the interests of groups engaged in shipwreck
discovery and salvage.
Antiquities Act of 1906, 16 U.S.C. §§ 431 et seg,
The Antiquities Act has two main components: (1) a criminal enforcement component, which
provides for the prosecution of persons who appropriate, excavate, injure, or destroy any historic
or prehistoric ruin or monument, or any object of antiquity on lands owned or controlled by the
United States; and (2) a component that authorizes, through the issuance of a permit, the
examination of rums, the excavation of archeological sites, and the gathering of objects of
antiquity on lands owned or controlled by the United States. The Antiquities Act has been
applied in the marine environment. Where the United States has ownership or control of the
submerged lands in or on which submerged cultural resources are located, the Antiquities Act
permitting provision can be used to regulate salvage. It appears, however, that its reach may be
limited to regulating salvage only in marine protected areas in which the United States has the
authority to protect submerged cultural resources.
Archaeological Resources Protection Act of 1979 (ARTAX 16 U.S.C. §§ 470aa et se^
The Archaeological Resources Protection Act, is another historic preservation statute that has
been applied to the marine environment. ARPA was specifically designed to prevent looting and
destruction of archeological resources. Like the Antiquities Act, ARPA has both an enforcement
and a permitting component. The enforcement provision provides for the imposition of both
criminal and civil penalties against violators of the Act. ARPA's permitting component allows
for the recovery of certain artifacts consistent with the standards and requirements of the Federal
Archeology Program. While ARPA is applicable to the marine environment, its reach in this
context is limited. Pursuant to the express language of the Act itself, ARPA can only be applied
to such areas as national parks (with federally-owned submerged lands) and wildlife refuges.
Additionally, ARPA specifically states that it does not apply to activities occurring on the outer
continental shelf.
Coastal Barrier Resources Act (CBRAX 16 U.S.C. §§ 3501 et
The purpose of the CBRA is to promote more appropriate use and conservation of coastal
barriers along the Atlantic, Gulf, and Great Lakes coastlines. Coastal barriers are defined as bay
barriers, barrier islands, and other geological features composed of sediment that protect
landward aquatic habitats from direct wind and waves. They provide essential habitats for
wildlife and marine life, natural storm buffer zones, and areas of scientific, recreational, historic,
and archeological significance. The CBRA seeks to minimize the loss of human life, wasteful
federal expenditures on shoreline development, and damage to wildlife, marine life, and other
natural resources by restricting future federal financial assistance, establishing a coastal barrier
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resources system, and considering the means of achieving long-term conservation of barrier
resources.
Coastal Zone Management Act (CZMAX 16 U.S.C. §§ 1451 etseq.
The CZMA encourages states to develop coastal zone management programs that allow for
growth and development that is compatible with the protection of natural resources. The CZMA
provides financial and technical incentives for states to manage their coastal zones consistent
with CZMA standards and goals.
The CZMA mentions in several places concepts related to recreation and tourism. For example,
the congressional findings cite recreational and esthetic resources as being of value to the present
and future well-being of the nation. The findings note that increasing and competing demands
upon lands and waters of the coastal zone, including requirements for recreation, have resulted in
the loss of important cultural, historic, and esthetic values in the coastal zone, which are essential
to the well-being of all citizens. Further, the findings state, new and expanding demands for
recreation activities in coastal and ocean waters are placing stress on these areas and are creating
the need for resolution of serious conflicts among important and competing uses and values in
these waters.
Management programs under the CZMA are required to include, among other things, certain
elements related to recreational concerns, including planning processes for the protection of, and
access to, public beaches and other public coastal areas of environmental, recreational, historical,
esthetic, ecological, or cultural value, as well as procedures whereby specific areas may be
designated for the purpose of preserving or restoring them for their conservation, recreational,
ecological, historical or esthetic values.
The CZMA also allows the Secretary to make grants to coastal states to meet objectives
including preservation or restoration of areas notable for their conservation, recreational,
ecological, or esthetic values, and the provision of public access to beaches and other public
coastal areas.
The CZMA also includes the National Estuarine Research Reserve System (NERRS), which
consists of a network of representative estuarine ecosystems suitable for long-term research. In
order to be designated as part of the NERRS, a reserve must serve to enhance public awareness
and understanding of estuarine areas and provide suitable opportunities for public education and
interpretation.
Federal Water Pollution Control Act, as amended, also called the Clean Water Act, as
amended (CWA), 33 U.S.C. §§ 1251 et
The CWA establishes the basic scheme for restoring and maintaining the chemical, physical, and
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biological integrity of the nation's waters. The primary mechanism in the CWA regulating the
discharge of pollutants is the National Pollutant Discharge Elimination System (NPDES), which
is administered by the Environmental Protection Agency (EPA). Under the NPDES program, a
permit is required from EPA or an authorized state for the discharge of any pollutant from a point
source into the waters of the United States. This includes discharges associated with oil and gas
development on federal leases beyond state waters. An NPDES permit for certain stormwater
discharges also is required. Permit discharge limits are technology-based and, where technology-
based limits would not protect desired water quality for a particular water body in which the
discharge takes place, based on state water quality standards, which are developed by the states
using EPA guidance and are intended to protect the designated uses of the water body. In the
case of discharges to the territorial sea or beyond, permits are also subject to the ocean discharge
criteria developed under section 403 of the act. Permits for discharges into the territorial sea or
internal waters may be issued by states following approval of their permit program by EPA; in
the absence of an approved state permit program, and for discharges beyond the territorial sea,
EPA is the permit-issuing authority.
The CWA was amended in 1987 to include the current non-point source (NPS) program. Under
this program (section 319), states must develop management programs to address NPS runoff,
including the identification of best management practices and measures. In addition, section 319
authorizes grants to assist the states in implementing their approved management programs.
The CWA generally prohibits discharges of oil and hazardous substances into coastal or ocean
waters except where permitted under the Protocol of 1978 Relating to the International
Convention for the Prevention of Pollution from Ships. The U.S. Coast Guard (USCG)
investigates and responds to discharges of oil and hazardous substances into coastal or ocean
waters in accordance with the National Contingency Plan (NCP). The USCG, with the
cooperation of EPA, generally administers the NCP when oil or a hazardous substance is
discharged into coastal or ocean waters. Regional contingency plans and area contingency plans
are developed to implement the NCP.
The CWA (section 312) requires vessels with installed toilet facilities and operating on the
navigable waters of the U.S. to contain operable marine sanitation devices certified as meeting
standards and regulations promulgated under section 312. Section 312 also allows establishment
of zones where discharge of sewage from vessels is completely prohibited. Amendments made
to section 312 in 1996 will require, where appropriate, the use of marine pollution control
devices for operational, non-sewage, discharges from vessels of the Armed Forces.
Publicly owned sewage treatment facilities must, at a minimum, meet effluent reductions by
secondary treatment, except for certain facilities discharging to coastal waters for which EPA has
approved a waiver under section 301(h).
Section 320 of the CWA establishes the National Estuary Program, which uses a consensus-
based approach for protecting and restoring estuaries. There are currently 28 estuaries hi the
program.
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The Army Corps of Engineers (COE) implements the section 404 permit program. Under
section 404, a permit is required for the discharge of dredged or fill materials into the waters of
the U.S. that lie inside of the baseline for the territorial seas and fill materials into the territorial
seas within three miles of shore. Although COE has the permitting responsibility under the
section 404 program except in certain waters of two states (Michigan and New Jersey), which
have assumed the authority, EPA is authorized to review and comment on the impact of proposed
dredge and fill activities and to prohibit discharges that would have an unacceptable impact on
municipal water supplies, shellfish beds and fishery areas, wildlife and recreational areas. EPA,
in consultation with COE, is charged with developing guidelines to be used in evaluating
discharges subject to section 404. (See 40 C.F.R. Part 230.) The section 404 permit requirement
is the cornerstone for the current wetlands regulatory program. If COE or EPA determines that a
certain property is a jurisdictional wetlands, no one can discharge dredged or fill materials into it
without a section 404 permit. COE and EPA also have cooperative agreements with the Natural
Resources Conservation Service and rely on its determinations as to the presence of wetlands on
agricultural lands.
National Flood Insurance Reform Act of 1994 fNFIRA)
The NFIRA established the Flood Mitigation Assistance (FMA) program. The purpose of FMA
is to plan and carry out activities designed to reduce the risk of flood damage to structures
covered under contracts for flood insurance under this title. Section 1366 of the NFIRA assigns
the FEMA Director the authority and responsibility for carrying out the program. 42 U.S.C. §
4104c. Section 1367 establishes the National Flood Mitigation Funds to fund FMA grants. 42
U.S.C. § 4104d.
The Flood Mitigation Assistance program, unlike the Stafford Act programs, are pre-disaster
programs. There are three types of FMA grants. Planning grants assist states and communities
in developing flood mitigation plans. Under section 1366 of the NFIRA, a FEMA- approved
Flood Mitigaton Plan (FMP) is required in order for a state or community to receive a FMA
project grant. Project grants fund eligible flood mitigation projects. FEMA encourages states to
prioritize the mitigation activities outlined in their FMPs and fund projects that will greatly
reduce or eliminate the risk of flood damage to buildings, manufactured homes, and other NFIP-
insurable structures. Mitigation of repetitively or substantially damaged structures is a high
priority. Technical assistance grants assist states in providing technical assistance to applicants
in applying for the program or in implementing approved projects.
National Marine Sanctuaries Act fNMSA). 16 U.S.C. §§1431 et seq.
The NMS A provides the Secretary of Commerce with the authority to designate and manage
nationally significant marine areas as national marine sanctuaries. The NMS A lists recreational
and esthetic qualities as among the things that might give an area special national significance.
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The NMS A's stated purposes and policies include comprehensive and coordinated conservation
and management; enhancing public awareness, understanding, appreciation and wise use of the
marine environment; and facilitating, to the extent compatible with the primary objective of
resource protection, all public and private uses of resources not prohibited pursuant to other
authorities.
Among the factors the Secretary must consider in determining whether an area merits
designation as a national marine sanctuary are present and potential uses of the area that depend
on maintenance of the area's resources, including commercial and recreational fishing, other
commercial and recreational activities, and research and education; the public benefits to be
derived from sanctuary status, with emphasis on the benefits of long-term protection of
nationally significant resources, vital habitats, and resources which generate tourism.
National Park Service Organic Act 16 U.S.C. §§ 1, 2-4
This act creates the National Park Service (the Service) in the Department of the Interior. The
Service is charged with promoting and regulating the use of federal areas known as national
parks, monuments, and reservations. Such areas are established by Congress through specific
legislation.
National Wildlife Refuge System, 16 U.S.C. § 668dd
This section of law consolidates the authorities relating to the various categories of areas
administered by the Secretary of the Interior for the conservation offish and wildlife by
designating all such areas part of the National Wildlife Refuge System (the System). The law
prohibits knowingly disturbing, injuring, cutting, burning, removing, destroying, or possessing
any real or personal property of the United States, including natural growth, in any area of the
system, or taking or possessing any fish, bird, mammal, or other wild animals within any such
area without a permit. The Secretary may permit areas within the System to be used for hunting,
fishing, and public recreation when the Secretary determines such uses are compatible with the
major purposes for which such areas were established.
Another section of law, 16 U.S.C. § 460k, recognizes the mounting public demands for
recreational opportunities on areas administered by the Secretary of the Interior for fish and
wildlife purposes, including areas within the System. This section provides that the Secretary
may administer such areas as public recreation areas when the Secretary determines that public
recreation is an appropriate incidental or secondary use. Such public recreation may be permitted
only to the extent that it is not inconsistent with the primary objectives for which the particular
area was established.
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National Historic Preservation Act fNHPAX 16U.S.C. §§ 470. et seq.
The NHPA is the largest piece of federal historic preservation legislation. It has two major
components that affect the responsibilities of federal agencies managing submerged lands. First,
under section 106 of the NHPA, federal agencies are to consider the effects of their undertakings
(including the issuance of permits, the expenditure of federal funding and federal projects) on
historic resources that are either eligible for listing or are listed on the National Register of
Historic Places. Section 110 of the NHPA imposes another obligation on federal agencies that
own or control historic resources. Under this section, federal agencies must consider historic
preservation of historic resources as part of their management responsibilities.
National Wilderness Preservation System, 16 U.S.C. § 1131
This program establishes a system of federally owned "wilderness areas," which are administered
for the use and enjoyment of the American people in such a manner as will leave the areas
unimpaired for future use and enjoyment as wilderness. Such areas are managed by the
Department of the Interior and by the agency that had jurisdiction over the area before its
inclusion in the National Wilderness Preservation System.
Oil Pollution Act of 1990 (OPA). 33 U.S.C. §§ 2701 et seq.. inter alia
OP A amends section 311 of the Federal Water Pollution Control Act (the Clean Water Act or
CWA), 33 U.S.C. 1321 et seq., to clarify federal response authority, increase penalties for spills,
establish U.S. Coast Guard response organizations, require tank vessel and facility response
plans, and provide for contingency planning in designated areas. OPA, however, does not
preempt states' rights to impose additional liability or other requirements with respect to the
discharge of oil within a state or to any removal activities in connection with such a discharge.
OPA is a comprehensive statute designed to expand oil spill prevention, preparedness, and
response capabilities of the federal government and industry. OPA establishes a new liability
regime for oil pollution incidents in the aquatic environment and provides the resources
necessary for the removal of discharged oil. OPA consolidates several existing oil spill response
funds into the Oil Spill Liability Trust Fund (Trust Fund), resulting in a $1-billion fund to be
used to respond to, and provide compensation for damages caused by, discharges of oil. In
addition, OPA provides new requirements of response planning by both government and industry
and establishes new construction, manning, and licensing requirements for tank vessels. OPA
also increases penalties for regulatory noncompliance and broadens the response and
enforcement authorities of the federal government.
Title I of OPA contains liability provisions governing oil spills modeled after the Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA), 42 U.S.C. §§ 9601 et
seq., and section 311 of the CWA. Specifically, section 1002(a) of OPA provides that the
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responsible party for a vessel or facility from which oil is discharged, or which poses a
substantial threat of a discharge, is liable for:
certain specified damages resulting from the discharged oil; and
removal costs incurred in a manner consistent with the National Contingency Plan.
The scope of damages for which there may be liability under section 1002 of OP A includes:
natural resource damages, including the reasonable costs of assessing these damages;
loss of subsistence use of natural resources;
real or personal property damages;
net loss of tax and other revenues;
loss of profits or earning capacity; and
net cost of additional public services provided during or after removal actions.
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LIST OF ACRONYMS
CCMP Comprehensive Conservation and Management Plan
CZM Coastal Zone Management
EPA Environmental Protection Agency
FEMA Federal Emergency Management Agency
NEP National Estuary Program
NERRS National Estuarine Research Reserve System
NFIP National Flood Insurance Program
NMFS National Marine Fisheries Service
NMS National Marine Sanctuary
NOAA National Oceanic and Atmospheric Administration
NOS National Ocean Service
OAR (Office of) Oceanic and Atmospheric Research
OCRM (Office of) Ocean and Coastal Resource Management
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IMPACTS OF GLOBAL CLIMATE CHANGE—
WITH EMPHASIS ON U.S. COASTAL AREAS
Contents
1. EXECUTIVE SUMMARY G-2
2. INTRODUCTION G-6
3. SEASONAL TO INTERANNUAL CLIMATE IMPACTS G-8
4. DECADAL TO CENTENIAL CLIMATE IMPACTS G-17
5. GLOBAL CLIMATE CHANGE IMPACTS
ON U.S. COASTAL AREAS G-24
6. REFERENCES G-43
7. DOMESTIC LEGAL REGIME G-47
8. LIST OF ACRONYMS G-52
This Year of the Ocean document was prepared as a background discussion paper and does not
necessarily reflect the policies of the U.S. Government or the U.S. Government agencies that
participated in its preparation.
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EXECUTIVE SUMMARY
The Earth's weather and climate are the result of the redistribution of heat. The major
source of heat to the surface of the Earth is the sun, principally through incoming visible
radiation most of which is absorbed by the Earth's surface. This radiation is redistributed by the
ocean and the atmosphere with the excess radiated back into space as longer wavelength, infrared
radiation. Clouds and other gases, primarily water vapor and carbon dioxide, absorb the infrared
radiation emitted by the Earth's surface and remit their own heat at much lower temperatures.
This "traps" the Earth's radiation and makes the Earth much warmer than it would be otherwise.
Most of the incoming solar radiation is received in tropical regions while very little is
received in polar regions especially during winter months. Over time, energy absorbed near the
equator spreads to the colder regions of the globe, carried by winds in the atmosphere and by
currents in the ocean. Compared to the atmosphere, the ocean is much denser and has a much
greater ability to store heat. The ocean also moves much more slowly than the atmosphere. Thus,
the ocean and the atmosphere interact on different time scales. The ocean moderates seasonal and
longer variations by storing and transporting, via ocean currents, large amounts of heat around
the globe, eventually resulting in changing weather patterns.
The ocean also plays an important role in climate change. Long-term impacts of climate
change in coastal areas, such as sea level rise or storm surges, could result in the increased
erosion of shores and associated habitat, increased salinity of estuaries and freshwater aquifers,
altered tidal ranges in rivers and bays, changes in sediment and nutrient transport, and increased
coastal flooding. Such changes have considerable implications for U.S. coastal areas where the
majority of the country's population and significant economic activity is concentrated.
The purpose of this document is to consider how the ocean influences weather and
climate and how climatic changes could impact valuable coastal areas. It also addresses the
barriers to progress and the opportunities presented by the 1998 Year of the Ocean to better
understand and predict weather and climate variability and to address the coastal impacts of
global climate change. This topic spans such a broad array of considerations that it will be split
into three parts: seasonal to interannual climate impacts, decadal to centennial climate impacts,
and coastal global climate change impacts. Options for consideration to further advance efforts in
each topical area are included.
Seasonal to Interannual Climate Impacts
The global atmosphere and world ocean are an interactive system. The most important
air-sea interaction signal comes from the El Nino/Southern Oscillation (ENSO) which originates
in the tropical Pacific. In a warm episode (El Nino), the pool of warm water that is normally
found in the western Pacific expands eastward, carrying with it portions of the precipitation
normally found in the far western Pacific. This shift in the distribution of tropical convection
leads to shifts in jet stream tracks, resulting in climatic anomalies around the world. The ENSO
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cycle is rooted in the instability of the coupled atmosphere-ocean system and occurs over an
irregular, quasi-periodic cycle which varies between three and seven years.
Seasonal to interannual forecasts of the climate variability from ENSO can now predict
climate changes for up to a year. The improved skill and lead time of these forecasts can result in
savings of hundreds of millions of dollars a year both in the U.S. economy and abroad. Advanced
knowledge of ENSO allows farmers to make decisions to maximize agricultural yields. ENSO
forecasts will also improve fisheries management because ENSO episodes strongly influence
marine catches from Chile to Alaska. In addition, the benefits of improved predictions to the
water resources and energy sectors of the economy are potentially as large as those for
agriculture and fishing.
To produce useful seasonal to interannual climate forecasts, it is necessary to both
implement an operational climate forecasting system and to continue to invest in process and
modeling research that leads to improved predictability. In addition, enhanced global observation
and data processing systems will continue to be required to support the research and to initialize
and validate model predictions.
The National Oceanic and Atmospheric Administration (NOAA) currently provides
operational seasonal forecasts based on a combination of dynamical model and statistical
predictions for up to one year in advance for the United States. Although NOAA actively
coordinates its efforts with other federal agencies, the global nature of the climate signal requires
involvement with universities and international agencies. These partnerships are necessary so
that societies from around the world can benefit from the enhanced predictability and learn to use
the information for broad-based environmental and economic gain.
Decadal to Centennial Climate Impacts
The ocean has a huge capacity to transport and store heat and carbon dioxide (CO2), and
exchange huge quantities of water and CO2 with the atmosphere at the sea surface. Ocean
transports play a large role in the present climate and its variability. Coupled ocean-atmospheric
models used to predict global temperature changes have shown that the ocean has the potential to
delay the impact of greenhouse gas emissions and thus affect changes in atmospheric conditions.
Models complemented by observations provide the means to distinguish between natural
variability on decadal to centennial time-scales and anthropogenic (human influenced) climate
change. For example, a recent modeling study, which-looked at a long term record of observed
and simulated atmospheric temperature, suggests that the recent increases could be related to CO2
changes.
Observations describe variations in the climate system while models provide the
mechanism to understand why such variations occur, and to predict future evolution of the
climate system. To improve our understanding of the climate system, an integrated research
program has been established to improve models to better represent climate processes and to
collect long-term instrumental and proxy observations in the ocean. The benefits to society of
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this approach are: (1) improved detection of climate change signals in the ocean; (2) improved
models of natural and anthropogenic climate variability; (3) quantification of the predictability of
long-time scale climate variability; and (4) reduced uncertainties in CO2 warming scenarios.
Global Climate Change Impacts on U.S. Coastal Areas
The United States' coastline stretches for approximately 158,000 kilometers (93,600
miles), bounding some of the most valuable and heavily used areas in the nation that could be
affecte'd by climate change. Within these coastal areas lie natural and human resources of
tremendous value. These include about 38,900 square kilometers (15,000 square miles) of coastal
wetlands, which provide crucial wildlife habitat and filter toxins from rivers, and 6,500 square
kilometers (2,500 square miles) of developed barrier islands, which support recreational
communities. U.S. coastal areas also support a variety of important economic activities,
including fisheries and aquaculture, tourism, recreation, industry, and transportation.
U.S. coastal areas are experiencing greatly increased pressures as a result of rapid
population growth and accompanying development. Nutrient and bacteria pollution from urban
and agricultural runoff, changes in hydrology and salinity to naturally balanced systems, shore
erosion, and over-development all currently stress our coasts. The effects of climate change
would only add to these stresses.
While global climate has fluctuated throughout time, a global warming scenario could
speed this process possibly causing accelerated sea-level rise (ASLR), alterations of rainfall
patterns and storm frequency or intensity, and increased siltation. The Intergovernmental Panel
on Climate Change (IPCC) has forecasted a rise in global sea level of 5 mm/yr, within the range
of uncertainty of 2-9 mm/yr; or 20, 49, or 86 cm by 2100. Climate change and a rise in sea level
or changes hi storms or storm surges could result in the increased erosion of shores and
associated habitat, increased salinity of estuaries and freshwater aquifers, altered tidal ranges in
rivers and bays, changes hi sediment and nutrient transport, a change in the pattern of chemical
and microbiological contamination in coastal areas, and increased coastal flooding.
Some coastal ecosystems are particularly at risk, including saltwater marshes, coastal
wetlands, coral reefs, coral atolls, and river deltas. Other critical coastal resources, such as
mangroves and sea-grass beds, submerged systems including submerged aquatic vegetation and
mudflats, are at risk from climate change impacts, and exacerbated by anthropogenic factors.
Changes hi these ecosystems could have major negative effects on tourism, freshwater supplies,
fisheries, and biodiversity that could make coastal impacts an important economic concern.
Coastal structures, including homes would also be more vulnerable to increased sea-levels.
FEMA has estimated that the number of homes in the coastal floodplain would more than double
under the highest of sea-level rise scenarios. This growth will be the result of the increase in the
area of the coastal floodplain due to sea-level rise, as well as the growth of coastal population,
which will increase the number of homes built in the coastal floodplain.
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Management strategies in coastal areas can be divided into three categories:
accommodate, protect, and retreat. The successful implementation of these planned management
strategies will depend to a large measure on the extent of their integration into the
implementation of other national and sectoral management plans, including integrated coastal
management plans. However, because of scientific uncertainties, the long-term nature of the
problem and large investments required, state and local governments have hesitated to effectively
address the issues relating to climate change. Consequently, management responses to climate
change impacts have been gradual since the early 1980s, but pioneering efforts have been
important for U.S. policy makers. A major educational challenge is to convince the public of the
urgency for taking measures now, through integrated coastal management, to deal with long-term
coastal climate change impacts.
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INTRODUCTION
Developing an understanding of both weather and climate means developing an
understanding of the Earth's heat budget, i.e., how the energy from incoming solar radiation is
redistributed around the globe. The major source of heat to the surface of the earth is the Sun,
principally through incoming visible radiation. Heat is generated in the Earth's interior, for
example through the decay of radioisotopes; however, this contribution to the heat balance of the
surface of the Earth, where most life exists, is small compared to the solar flux. Clouds, ice caps
and snow make the Earth a relatively bright planet such that about 30 percent of the incoming
solar radiation received at the top of the atmosphere is reflected back into space. A very small
fraction is absorbed directly by gases and aerosols as it passes through the atmosphere. Most of it
is absorbed by the Earth's surface. This radiation is redistributed by the ocean and the
atmosphere and the excess is radiated back into the atmosphere and space as longer wavelength,
infrared radiation.
If our atmosphere consisted of just nitrogen and oxygen, the global average surface
temperature of the planet would be about 33°C (60°F ) colder than it is now and the Earth would
be a frozen wasteland. This is not the case because of the presence of clouds and small quantities
of other gases, primarily water vapor and carbon dioxide, that absorb much of the infrared
radiation emitted by the Earth's surface and reemit their own heat, as radiation, at much lower
temperatures. This "traps" the Earth's radiation and is the mechanism for planetary warming, .
"the greenhouse effect" (Figure 1).
Aside from the gases in the atmosphere, clouds also play a major role in climate. By
reflecting solar radiation away from Earth, some clouds act to cool the planet while other types
of clouds warm the Earth by trapping heat near the surface. For years, it was not known whether
clouds warmed or cooled the planet. Recent satellite measurements have proven that clouds exert
an overall powerful cooling effect on the Earth. In some areas, however, such as the tropics,
heavy clouds may markedly warm the regional climate.
Clouds and greenhouse gases fit into a global radiation budget, a budget that must
balance itself. Most of the incoming solar radiation is received in tropical regions while very
little is received in polar regions especially during winter months. Over time, energy absorbed
near the equator spreads to the colder regions of the globe, carried by winds in the atmosphere
and by currents in the ocean. The small amount of energy retained in the atmosphere is
redistributed, basically, by winds. The time it takes for the atmosphere to mix around the globe is
approximately one month. In its simplest form, an understanding of weather is an attempt to
understand winds. Compared to the atmosphere, the ocean is much denser and has a much greater
ability to store heat. The ocean also moves much more slowly than the atmosphere and
distributes heat at a much slower rate. Because the ocean covers nearly two-thirds of the surface
of the earth, the combined effect of the ocean's heat capacity and its coverage of the Earth's
surface means that much of the heat received from the sun that is retained within the biosphere is
stored in the ocean.
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Net incoming solar
-*, •" radiation
240 WITT2
Net outgoing infrared
radiation
°
240Wm-2
Incortiing
*sotar radiation
r Some solar radiation"® *"
reflected by the earth's
surface and the atmosphere
Figure 1. A simplified diagram illustrating the global long-term radiative balance of the
atmosphere.
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The ocean and the atmosphere interact on different time scales. As the time scales change
from weather time scales (minutes to weeks) to the longer time scales of climate, the interaction
between the ocean and the atmosphere changes as more of the ocean becomes involved. Thus, on
weather time scales generally only sea surface temperatures (SST) are involved. At time scales of
seasons to years, the upper layers of the ocean (a few hundred meters) have an influence, while at
time scales of decades and longer the entire ocean plays a role. The transport of heat by surface
ocean currents, for example, modifies mid-latitude temperatures across ocean basins so that land
areas on the eastern boundaries of ocean basins are generally warmer than areas at the same
latitude on the western boundary.
The purpose of this document is to consider how the ocean influences weather and
climate and to address the barriers to progress and the opportunities presented by the 1998 Year
of the Ocean to better understand and predict weather and climate variability. This topic includes
seasonal to interannual forecasts, as well as prediction of long term climate change such as
temperature and sea level. Because this paper spans such a broad array of considerations, it will
be split into three parts: seasonal to interannual climate impacts, decadal to centennial climate
impacts, and coastal global climate change impacts. The ocean's influence on weather has its
largest economic and social impact on coastal areas and will be considered in the coastal section.
SEASONAL TO INTERANNUAL CLIMATE IMPACTS
Introductory Considerations
The ocean's influence on climate can be split into normal seasonal cycle influences and
departures from normal. Commerce, agriculture, and industry have all evolved to operate best
with normal seasonal changes. However, changes from the seasonal normal, for example floods
and droughts, can lead to economic disruptions and human suffering. Thus, predictions of
climate differences from the expected or normal pattern on seasonal and longer time scales can
be of great importance to society.
The best understood, strongest, and somewhat consistent interannual air-sea climate
signal comes from the El Nino/Southern Oscillation (ENSO) which originates in the tropical
Pacific. Under normal conditions, the prevailing trade winds blow from east to west and thus
contribute to higher ocean temperatures in the west. Associated with these temperatures are a
higher sea level and deeper thermocline in the west than the east. (The thermocline is the
boundary between warmer surface waters and the colder water below.) In addition, convective
rainfall is located in the far western Pacific Ocean over the warmer sea surface temperatures (see
the upper panel of Figure 2). In a warm episode (El Nino), the trade winds weaken and warmer
water expands eastward, carrying with it portions of the precipitation. This change includes a
reduction of the sea level and thermocline depth in the west and an increase in the east (see the
lower panel of Figure 2). There are also cold episodes which are generally the inverses of the
warm episode shown in the figure. The term ENSO will be used to refer to both a warm and a
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cold episode; El Nino will be used to specify a warm episode, and La Nina will be used to
specify a cold episode.
The shift in the distribution of winds, surface temperatures, and tropical convection leads
to changes in the atmospheric circulation with the possibility of regional droughts, floods, and
temperature changes in areas well beyond the tropical Pacific. The typical dependence for El
Nino is shown in Figure 3 for Northern Hemisphere winter and summer. In northern middle
latitudes, the strongest relationship occurs in the Northern Hemisphere winter when the
atmospheric circulation is strongest. The figure shows that El Nino tends to cause warmer than
normal winter temperatures in the U.S. Pacific northwest and higher than normal winter
precipitation along the U.S. Gulf Coast. La Nina generally impacts the same areas as El Nino but
with opposite effects. The ENSO cycle is rooted in the instability of the coupled atmosphere-
ocean system. The instability produces repetition of an irregular, quasi-periodic cycle which
varies between three and seven years.
The ENSO research effort includes studies on the evolution of sea surface temperatures
(SST) as part of the oceanic response to atmospheric forcing and meteorological studies on
regional and large-scale air-sea interactions. Thus, monitoring and prediction of sea surface
temperatures is an important part of monitoring and predicting ENSO. SST anomalies for 1950
to present are shown for a region with strong ENSO variability (10°N-10°S, 150°W-90°W) in
Figure 4. The anomalous SSTs shown here are computed as the difference between measured
monthly SSTs and the normal expected monthly SSTs for the period 1950-79. The figure shows
positive and negative SST anomalies. Although the distinction between normal, El Nino, and La
Nina is not rigorously defined, SSTs which persist for at least six months above roughly 0.75°C
can be considered to indicate El Nino, while those that persist below -0.75°C can be considered
to indicate La Nina. The figure also shows an overall warming of the tropical ocean by 0.5°C in
the decades of the 1980s and 90s with stronger El Nino episodes occurring in the latter part of the
record. The strongest complete El Nino occurred in 1982-83. However, if current predictions are
validated, the present El Nino episode may become even larger and persist into 1998, which has
been designated the Year of the Ocean.
ENSO (El Nino and La Nina) episodes cause changes in the normal global atmospheric
circulation. The changes lead to changes in precipitation and temperature which strongly depend
on season and location as shown in Figure 3. Areas that are strongly impacted during Northern
Hemisphere fall and winter are the south of Africa, Australia, South America, and the U.S. The
occurrence of El Nino or La Nina does not guarantee a specific precipitation or temperature
response, but only increases the likelihood that a deviation from normal will occur.
Although crop yields depend on many factors, rainfall during part of the growth cycle is
often critical. Despite the uncertainties, links between both El Nino and La Nina and crop yields
have been established in a number of regions. As an example, winter crop yields in Texas,
Oklahoma, Kansas, and Colorado show that the presence of El Nino, with its likelihood of
increased rainfall, can increase yields by 15 percent, while La Nina, with its likelihood of
decreased rainfall, can decrease yields by 15 percent.
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Normal Conditions
Equator
120°E
80°W
Equator
El Nino Conditions
120°E
Increased
Convection
80°W
Figure 2. Normal (top) and El Nino (bottom) conditions. El Nino conditions include a reduction
in the trade winds, an increase in SSTs, and an eastward shift of the precipitation.
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WARM EPISODE RELATIONSHIPS DECEMBER - FEBRUARY
W±CT «t WAKM WB'I
50S-
60SJ
Cli»ate
Prediction
Center, NOW)
60E
120E
180
120W
60W
j^jjjj&-
WARM EPISODE RELATIONSHIPS JUNE -AUGUST
120W
60W
Figure 3. Expected changes in temperature and precipitation during a warm ENSO (El Nino)
during December through February (top) and June through August (bottom).
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NINO 3 SST Anomaly
(5°S-5°N, 150°W-90°W)
1950 1952 1954 1956 1958 1960 1962 1964 1966 1968 1970 1972 1974
19 4 1976 1978 1980 1982 1984 1986 1988 1990 1992 1994 1996 1998
Figure 4. Monthly sea surface temperature (SST) anomalies (departure from climatological
normal) in °C. The climatological normal period was 1950-70.
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During normal years, winds along the equator and along the coast of Peru and the west
coast of North America, push surface waters offshore bringing cold, nutrient rich waters from
below to the surface— a process known as upwelling. These cold, nutrient rich waters stimulate
plant growth resulting in well-established plankton populations and the species which feed on
them that include fish, birds, and marine mammals. During El Nino periods, the winds change,
upwelling decreases, and the normal plankton population decreases. The animals which feed on
the plankton either move elsewhere or die. For example, the 1972-73 El Nino coupled with
overfishing caused a collapse of the anchovy fishery off Peru. In addition, in the Pacific
northwest, El Nino leads to changes in the salmon fisheries. This is linked to more northward
migration of mackerel which prey on juvenile salmon.
ENSO episodes can now be predicted to a level of skill and with enough lead time that
hundreds of millions of dollars a year can be saved both in the U.S. economy and abroad. A
recent interdisciplinary study estimated the value of improved ENSO forecasts to U.S.
agriculture to be between $240 and $325 million per year. A draft study estimates the benefits of
a perfect forecast in crop storage to be $240 million annually for corn alone. Advanced
knowledge of ENSO will allow farmers to make decisions to maximize agriculture yields. ENSO
forecasts have the potential to improve fisheries management because ENSO episodes strongly
influence marine catches from Chile to Alaska. In addition, ENSO-induced changes in
precipitation can lead to increases in the threat of mosquito-borne diseases such as malaria. The
U.S. Centers for Disease Control and Prevention and the World Health Organization are building
programs to utilize climate forecasts for enhanced health surveillance and early-warning
systems.
Benefits to the water resources and energy sectors are potentially large. The availability
of fresh water for irrigation and household use is fundamental to economic well being and varies
dramatically during ENSO episodes. ENSO episodes have been linked to regional droughts and
an increase in the number of forest fires due to decreased precipitation. Decisions on the
purchase and distribution of fuels could be made more cost effective, or estimates of fuel demand
based on anticipated climate trends could contribute to more efficient decisions regarding options
for purchasing different energy supplies.
To produce useful seasonal to interannual climate forecasts, it is necessary to implement
an operational climate forecasting system. It is also necessary to continue to invest in process and
modeling research that leads to improved predictability of temperature and precipitation. In
addition, enhanced global observing and data processing systems will continue to be required to
support the research and to initialize and validate model predictions.
Status of the Relevant Science and Technical Base
Because of limited observational capabilities before the 1980s, it was not even possible to
know if an El Nino episode was underway until several months after the episode began. Progress
in climate prediction in the 1980s and early 1990s has been stimulated by the development of
models used for ENSO prediction, by empirical and theoretical studies to better understand the
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global impact of ENSO studies, and by the establishment of an ocean observing system
(primarily in the Pacific) for initializing and verifying models for ENSO prediction.
The in situ observing system in the Pacific Ocean improved dramatically during the
1985-94 Tropical Ocean Global Atmosphere (TOGA) period (see Figure 5). The most important
component of this system is the National Oceanic and Atmospheric Administration (NOAA)
Pacific Marine Environmental Laboratory (PMEL) Tropical Atmosphere Ocean (TAO) moored
buoy array which provides basin-wide real-time measurements of surface and subsurface ocean
temperature and surface atmospheric winds. These data are augmented by other in situ
observations of these same quantities plus additional variables such as upper level atmospheric
winds, sea level, and sea level pressure. In addition, remotely sensed observations systems from
geostationary and polar environmental satellites give true global coverage of many atmospheric
and oceanic variables. The present observing system is a fully multinational effort which is
supported by more than two dozen countries.
Models used in ENSO prediction range from purely statistical models to fully coupled
dynamic ocean-atmosphere models. Most of the experience in dynamical forecasting is based on
an intermediate class of models which simulate only climate differences from normal in order to
avoid problems with model climate drift. Some of the simpler models do not make full utilization
of all the available data. The more complex coupled general circulation models make better use
of the available data and are producing superior ENSO forecasts.
Many developing countries are strongly affected by ENSO episodes because their
economies are dependent upon agricultural sectors as a major source of food supply,
employment, and foreign exports. In these countries, droughts predicted up to several months in
advance, coupled with the response of local farmers, have already contributed to maintenance of
food supplies. For example in the Brazilian state of Ceara, agricultural officials used the
predictions of the 1991-92 EL Nino to change the timing and types of crops planted. That year
Ceara had harvests at near normal levels compared to the massive crop failures experienced
during the 1986-87 El Nino.
For procedures such as these to work, it is desirable to have full and open access to data
and analysis products among all participating nations, organizations, and institutions. In some
cases, national security interests restrict the exchange of information. Moreover, a weakness of
ENSO investigations is the limited cooperation among interdisciplinary groups. For example,
coupled ocean-atmosphere models include analyses of ocean temperature, salinity, and currents.
These data fields would be useful to biologists who wish to understand impacts of ENSO on the
distribution of marine species.
The Tropical Ocean Global Atmosphere Program concentrated on ENSO with great
success. However, other interannual signals in other tropical oceans and at high latitudes were
ignored. For example, changes hi the tropical Pacific account for only part of the variability
observed over North America in temperature and precipitation. There are also emerging efforts to
understand the variability and predictability of the American and the Asian-Australian monsoon
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TOGA in Situ Ocean Observing System
Pacific Basin
Figure 5. The improvement in the in situ observing system in the Pacific from 1985-1994:
January 1985 (top), July 1990 (middle), December 1994 (bottom). The "pluses" show moored
buoys, the "arrows" drifting buoys, the "lines" ships, and the "dots" tide stations.
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systems, the predictive air-sea interactive signal in the Atlantic known as the North Atlantic
Oscillation, and decadal and longer climate variability.
Techniques and Arrangements for Managing Seasonal to Interannual Climate Impacts
NOAA, through the Climate Prediction Center of the National Centers for Environmental
Prediction, currently provides operational seasonal forecasts based on a combination of
dynamical model and statistical predictions for the U.S. for up to one year. NOAA actively
coordinates its efforts with other federal agencies, principally NSF, NASA, and DOE. In addition
to the federal agencies, the global nature of the climate signal requires involvement with
universities and international agencies. These partnerships remain essential to develop the
practical benefits of ENSO forecasts, and to move toward the understanding and prediction of
other forms of climate variability.
Research programs are being developed to extend the predictability of ENSO and the
accompanying oceanic and meteorological effects. These programs include the Global Ocean
Atmosphere Land System Program which extends the original research effort begun by the
Tropical Ocean Global Atmosphere Program, and the Global Energy and Water Cycle
Experiment Program which improves the parameterization of water and energy fluxes in coupled
air-ocean-land models.
A multinational Seasonal-to-Interannual Climate Prediction Program (SCPP) was
designed to provide reliable forecasts and analyses of climate variations on seasonal to
interannual time scales, and to develop the infrastructure by which this information can be used.
The goal of SCPP is to take the next step toward reliable forecasts and analyses of climate
variations on seasonal and interannual time scales, and to develop the infrastructure by which
this can be used for social and economic benefit by all countries of the world. The program
would initially focus on forecasting ENSO and the related climate impacts (atmospheric
circulation, precipitation, and surface temperature), and will expand based on the results of
continuing research.
A key component of the SCPP plan is the development of an end-to-end forecasting
system to develop, improve, and transfer climate modeling technology from research centers to
other centers which routinely produce and disseminate climate forecasts to affected local
communities and local decision makers. This includes the establishment of an International
Research Institute for Climate Prediction. This institute has the responsibility for generating and
distributing experimental forecasts multinationally. The forecast information will be tailored to
the specific area and take into account climate conditions, forecast needs, and interests'as
indicated by local decision makers and managers.
Issues Pertaining to Education and Human Resources
A major focus of climate research is the development of an informed and responsible
citizenry who are knowledgeable about climate variability. This includes assessing the impacts of
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climate variability on human activity and economic potential, and improving public education so
climate forecasts are understood and used.
Societies from around the world could benefit by participating in a shared multinational
mechanism to maintain and enhance predictability, and learn how to incorporate the information
into decision making for broad based environmental and economic gain. Note that on a basic
level, activities such as agriculture, fishing, water management, and fuel distribution must take
into account the climatological mean annual cycle —crops are planted in anticipation of the
optimal growing season, fishing vessels in Peru and Oregon are readied for the seasons when
wind-driven upwelling provides nutrients for the food chain; reservoir levels are lowered in
anticipation of spring flooding; fuel oil is distributed in anticipation of wintertime heating needs.
Options for Consideration
The best understood and strongest interannual air-sea climate signal comes from ENSO
which originates in the tropical Pacific and leads to changes in the atmospheric circulation well
beyond the tropical Pacific. ENSO episodes can now be predicted to a level of skill and with
enough lead time that hundreds of millions of dollars a year can be saved both in the U.S.
economy and abroad.
NOAA currently provides operational seasonal forecasts based on a combination of
dynamical model and statistical predictions for the U.S. An International Research Institute has
been established to provide forecasts to other nations. For these efforts to succeed, it is necessary
to continue to invest in process and modeling research and to enhance the global observing and
data processing systems. It is also necessary to continue to study other interannual signals in the
tropics and in higher latitudes. In addition, institutionalized systems, such as the International
Research Institute, must continue to be supported so that national and international forecasts, as
well as other climate services, can be continued and expanded as predictability of ENSO and
other interannual signals improves. The development of new forecasting products that can be
used for economic, disaster preparedness, and other planning purposes would also be very
beneficial to the nation.
DECADAL TO CENTENNIAL CLIMATE IMPACTS
Introductory Considerations
Both the atmosphere and the ocean act together as a giant heat engine with the ocean also
playing the role of a flywheel in the system. It takes approximately 4 years for the surface
currents of the world's ocean bodies to circulate around the globe. As they do so, they give up
their heat to their surroundings and cool. These relatively warm currents also tend to have a
slightly higher salt content than the waters they circulate through. This is due to increased
evaporation at low latitudes resulting in a small increase in the concentration of salt. In certain
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parts of the globe, these waters can cool sufficiently such that the colder temperatures combined
with this higher salt content make them denser than the surrounding fresh waters. When this
happens, this cold, dense water sinks and enters into the circulation of the deep ocean. The deep
currents of the ocean eventually surface, primarily in the North Pacific, where they enter into the
surface circulation again. It takes on the order of 700-1,000 years to complete a single circuit of
the global ocean (see Figure 6, the "Conveyor Belt").
The ocean is not only an immense reservoir of heat and water but also of carbon dioxide
(COa). On geological time scales, marine biological processes act through the uptake of dissolved
CO2 (photosynthesis) and its conversion to inorganic carbonate (which is precipitated as
carbonate rock (limestone)) as the major control on CO2 distributions in the Earth's
biogeochemical system. On time scales of years, marine biological systems, as with faster
growing terrestrial systems, equilibrate fairly rapidly with carbon dioxide in the atmosphere. On
longer time scales, transfer of CO2 to woody vegetation, soils, and transfer to the deep ocean
removes CO2 from the atmospheric system. The oceanic sink of CO2 is considerably larger than
the terrestrial sink. While 10-20 percent of the CO2 emitted to the atmosphere by man's activities
has been sequestered by terrestrial processes, some 40 percent of the total CO2 emitted by man
has been removed from the atmosphere relatively permanently by oceanic processes.
Increased confidence in understanding climate variability, and potential impacts by man
on climate can only be obtained through improved representation of ocean climate processes in
models, and systematic collection of long-term instrumental observations of climate system
variables in the ocean. Key uncertainties limit our ability to detect and project future climate
change. In particular, the IPCC 1995 report lists the following as priority topics:
• "Representation of climate processes in models, especially feedbacks associated with
clouds, oceans, sea ice and vegetation, in order to improve projections of rates and
regional patterns of climate change."
• "Systematic collection of long-term instrumental and proxy observations of climate
system variables (e.g., solar output, atmospheric energy balance components,
hydrological cycles, ocean characteristics, and ecosystem changes) for the purpose of
model testing, assessment of temporal and regional variability, and for detection and
attribution studies."
These priorities recognize that predicting climate change resulting from emissions of
greenhouse species and formulating future decisions on the possible regulation of these
emissions require more accurate models, models which have been adequately tested against a
well-designed network of observations. Observations also serve other purposes. Of paramount
importance, only observations can detect climate change. In addition, observations can provide
increased understanding of climatically important ocean processes. Finally, chemical and
physical oceanographic observations provide data needed to separate anthropogenic from natural
variability.
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Ocean Therrnohaline Circulation
Equator
180°
Figure 6. The two-layer thermohaline conveyor belt summary taken schematically from
Broecker (1991), plotted on a different base map.
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Status of the Relevant Science and Technical Base
The ocean interior has a huge capacity to transport and sequester heat, fresh water, and
CO2 exchanged with the atmosphere at the sea surface. Ocean transports of these play a large role
in the present climate and its variability. Coupled ocean-atmospheric models used to predict
global temperature changes have shown that the ocean sequestration has the potential to delay the
impact of greenhouse gas emissions and thus affect changes in atmospheric conditions. These
latter changes occur both directly by the oceanic uptake of 30-60 percent of the anthropogenic
CO2 currently produced, thereby attenuating the atmospheric CO2 increase, and indirectly by
buffering the atmospheric temperature increase due to the ocean's large thermal mass.
The present state of models and sparse observations are factors that lead to uncertainties
in estimates of oceanic transport, uptake and sequestration. For example, the current coupled
General Circulation Models (GCMs) used to simulate climate change fail to produce long-term
trends in Pacific sea-surface temperature. Observationally, three estimates of the transport of heat
from south to north at 24°N in the Atlantic show a steady rise from 1957 through 1992.
Available data can not resolve if these changes represent a natural or an anthropogenic induced
trend and/or whether they are biased by an unresolved annual signal. Furthermore, the
uncertainty in ocean dissolve inorganic carbon uptake is 40 percent of the total (2.0 billion
metric tons of carbon per year). These uncertainties must be reduced if confidence in CO2
warming scenarios is to increase.
Models complemented by observations provide the means to distinguish between natural
variability on decadal to centennial time-scales and anthropogenic climate change. For example,
a recent modeling study looked at a long term record of observed and simulated atmospheric
temperature and found the rates of recent increases in temperature in both data sets to be similar.
These rates are unprecedented in terms of the longer model record suggesting that the recent
increases could be related to CO2 effects.
An effective approach to improve the representation of climatically important ocean
processes in models is to test hypotheses on the dynamics of naturally occurring, coupled air-sea
interactions that are found in models and observations. Several candidate hypotheses exist. For
example, a model forced only by seasonally varying solar radiation at the top of the atmosphere
includes coupling on decadal time scales between two atmospheric patterns—a connection
between the Pacific and North America known as the PNA pattern and a North Atlantic pattern
known as the North Atlantic Oscillation (NAO)— and the upper layers of the northern
hemisphere middle latitude ocean. The NAO is a seesaw pattern in sea-level pressure with nodes
over the Bermuda High and Icelandic Low. Both atmospheric features have been shown to have
significant impact on U.S. and European climate on many time scales. On decadal time scales
this could mean multiple years of weather regimes, like drought in the Southwestern United
States or floods in the South Atlantic states. Observational studies of coupled air-sea interactions
using recently collected data find similarities between the measurements and the coupled model
results on decadal time scales in both the North Atlantic and Pacific basins. However, the
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comparison studies are still at an early stage and validation of this coupled mode requires
additional effort.
Results from another numerical model suggest that on multidecadal time scales, the NAO
is coupled to the thermohaline circulation of the Atlantic. (Thermohaline circulation refers to
circulation driven by density differences in the water with density being determined by
temperature and salt content.) Recent observations also show that the decadal signal in upper
layer temperature and NAO index are both superimposed on longer term trends. In addition,
analysis of historical atmospheric data indicates that a strong decadal signal in NAO variability is
limited to the past 30 to 40 years.
Recent model results from the Geophysical Fluid Dynamics Laboratory (GFDL) suggest
the existence of a mode of climate variability on a multidecadal time series involving interactions
between the Arctic and North Atlantic. This mode is characterized by variations in the export of
fresh water and sea ice from the Arctic. It has substantial impacts on the atmospheric circulation
and climate over parts of Europe, as well as on the intensity of the thermohaline circulation and
associated meridional heat transport in the North Atlantic. Analyses of observations and various
model runs with and without CO2 increases provide data for: (1) increased understanding of the
dynamics of the coupled ocean atmosphere system; (2) identification of climatically important
oceanic features to monitor; (3) model validation; (4) predictability studies; and (5) separation of
natural and anthropogenic climate change. For example, observations can be used to benchmark
decadal and multidecadal variability from model simulations. If the models provide realistic
results of recent variability, this will offer confidence to conduct long simulations and assess the
role of CO2 on the air-sea system.
Recent observations in the Atlantic argue for hypothesis driven climate studies in this
basin. After decadal increases in the NAO index, a significant decrease in this pattern has just
occurred (with expected changes in European weather). Concurrent with the increase in the NAO
index, extrema in several properties of the thermohaline circulation in the Atlantic have been
observed (e.g., convection in the Labrador Sea and lack of convection in the Greenland Sea,
increased subsurface temperatures in the subtropical Atlantic, and recently ventilated waters
observed in the deep currents along the western boundary of the North Atlantic Ocean).
Several data-sets have been collected and several observing networks are in place that
provide a critical foundation for detection of climate change. The NOAA/DOE/NSF supported
World Ocean Circulation Experiment hydrographic program and global carbon survey have
provided an accurate benchmark for the ocean inventory of CO2 and other properties.
Comparisons of these data with historical records are revealing large-scale variability in ocean
properties over decadal time scales. Synthesis of these data will greatly improve estimates of
interior ocean fluxes. Analysis of the CO2 survey data will yield robust estimates of the oceanic
uptake of CO2 to date thereby offering critical constraints on partitioning of anthropogenic CO2
between the atmosphere, ocean, and terrestrial biosphere. Continued direct measurements are
needed next to: (1) track the rate of change of oceanic CO2 and estimate CO2 fluxes (e.g., GCM's
suggest that ocean sequestration of CO2 decreases in response to climate warming); (2) track
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changes in the storage and fluxes of heat and freshwater; and (3) provide data for model
validation studies.
Upper layer temperature data are collected, in part, by a global Volunteer Observing Ship
network. This network provides over 100 years of surface data including SST and about 30 years
of subsurface temperature data. Analysis of these data provided the characteristics of many of the
decadal signals described above. There are, however, large areas, particularly in the central and
eastern northern oceans and all of the southern oceans, where little or no data are available. Data
sparsity in the northern hemisphere precludes validation of several of the theories described
above. In the southern hemisphere, variability in water properties as large as those associated
with the PNA pattern and NAO have been observed. Possible aliasing and other problems
resulting from the sparse sampling in the region has made establishing dynamical mechanisms
and air-sea feedback difficult. Trade-offs between in situ and remote sampling of upper layer
characteristics in data poor regions must be evaluated to develop cost-effective network designs.
Combinations of modeling and empirical network design efforts are an integral part of
developing detection/attribution capabilities.
NOAA/O AR/ERL (Environmental Research Laboratories) are active in long term climate
research ranging from data collection to data synthesis, and from model development to model
validation. For example, the Atlantic Oceanographic and Meteorological Laboratory and the
Pacific Marine Environmental Laboratory) are engaged in completing the global carbon survey
directed at obtaining an accurate benchmark inventory of CO^, anthropogenic CO2 and other
properties. In addition, the Atlantic Oceanographic and Meteorological Laboratory, the Climate
Diagnostics Center, and the Pacific Marine Environmental Laboratory are involved in the
Atlantic Climate Change Experiment, the last field phase of the World Ocean Circulation
Experiment. This NSF/NOAA program is concerned with increased understanding of the role of
the Atlantic Ocean in global atmospheric climate. ERL scientists are also involved in the
synthesis of these data, bringing the diverse World Ocean Circulation Experiment and other data-
sets into a comprehensive picture of the present state of the ocean. Attention is directed at air-sea
and meridional ocean fluxes of carbon, heat, and freshwater, and the amount of anthropogenic
CO sequestered in the ocean.
GFDL scientists are constantly improving coupled GCMs to study natural decadal to
centennial climate variability and the effects of different CO2 scenarios. Recent activities have
included: (1) The development of coupled models with higher computational resolution, leading
to substantial improvements in the simulation of interannual to decadal climate variability; (2)
fundamental improvements in the representation of sub-grid scale processes in ocean models;
and (3) the simulation of the climate response to estimates of the time-varying radiative forcing
of the Earth over the last 200 years. GFDL model results and results from other modeling centers
are being compared to observations by all four ERL groups. The model-data comparisons are not
only leading to GCM improvements but also to increased understanding of both the coupled air-
sea system and the predictability of this system.
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Issues Pertaining to Education and Human Resources
The Earth's climate system is extremely intricate. Clouds, ocean currents, solar radiation
and other elements interact in a complex way to determine our climate. Mathematical models
allow us to study parts of the climate system and how those parts interact. Even though these
models include many aspects of the climate system (air, oceans, land, biology) partitioned into
many small grid boxes, and may require weeks of powerful computer time to run, they are
relatively simple when compared to the natural system. The models indicate that temperature
could rise considerably over some areas of the globe due to increased emissions of greenhouse
species. The issue is one of how accurate are these predictions.
Despite their complexity, current models do not adequately represent the roles of the
ocean and clouds in the climate system. These models do provide useful insights into the climate
system. When attempting to make conclusions regarding long-term climate variability, these
models require decades of precise observations to verify. Only now are we approaching
possessing a long enough record of precise data to make some preliminary assessments regarding
model predictions. Unfortunately, the long periods involved in the oceanic response and the large
inertia of the ocean mean that any actions taken to reverse impacts of man on long-term climate
will require decades to centuries before significant impacts could occur.
Summary
Observations describe variations in the climate system, whereas models provide a
mechanism for understanding why such variations occur and for predicting the future evolution
of the climate system. A three-pronged program of integrated research has been used to improve
representation of climate processes in models and to collect long-term instrumental and proxy
observations in the oceans: (1) retrieval and analysis of instrumental and paleoclimate data to
develop the long data-sets needed for detection studies and to test hypotheses and develop
sampling strategies; (2) collection of new data for continued detection efforts based on analyses
and weaknesses of the historical data; and (3) model studies using historical and new data to
validate and initialize simulations and perform attribution studies. The benefits to society of this
approach are: (1) improved detection of climate change signals in the ocean; (2) improved
models of natural and anthropogenic climate variability; (3) quantification of the predictability of
long-time scale climate variability; and (4) reduced uncertainties in CO warming scenarios.
Options for Consideration
In order to better understand the changes in the earth's climate and what types of impacts
would occur, the following suggestions are offered:
• Conduct the research necessary to develop improved models of the coupled ocean-
atmosphere system for long-term climate prediction purposes, including the use of
proxy and paleo-indicators, continuation and enhancements of long-term observing
programs, as well as conducting process research.
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• Development of programs to more effectively utilize the data and observations we
have available now through such mechanisms as improved data assimilation by
models and more effective merging of in situ and remote sensing technologies.
• Conduct the research necessary to understand the global carbon cycle on a high
temporal resolution (i.e., on the order of a decade) scale.
GLOBAL CLIMATE CHANGE IMPACTS ON U.S. COASTAL AREAS
Introductory Considerations
The United States has one of the longest and most diverse coastlines in the world—about
158,000 kilometers (95,439 miles) of tidal shoreline in coastal areas and the Great Lakes—and
with characteristics as different as the locations of Alaska, Florida, California, and American
Samoa. About 94,400 kilometers (59,000 miles) of this shoreline lie around the conterminous
United States, bounding some of the most valuable and heavily used coastal areas in the world
that could be affected by climate change. Within these coastal areas lie about 38,900 square
kilometers (15,000 square miles) of coastal wetlands and 6,500 square kilometers (2,500 square
miles) of developed barrier islands. The wetlands provide habitat for numerous species of birds,
are a nursery ground for many commercial fish and shellfish; play a vital role in extracting
nutrients and toxic chemicals from water; and provide a buffer against coastal storms. The
developed barrier islands are primarily recreational communities.
U.S. coastal areas support a variety of important economic activities, including fisheries
and aquaculture, tourism, recreation, industry, and transportation. Coastal fisheries, for example,
produce about $3 billion in revenue to fishermen and generate $38 billion in economic activity
nationally per annum. Seventeen million Americans who enjoy recreational fishing, generate an
estimated $18 billion in economic activity. Over 85 percent of travel and tourism revenues are
generated in coastal states. In Hawaii, seven million tourists generate $9.1 billion in revenue, and
in Florida, 21.6 million tourists spend $7.9 billion and generate over 360,000 jobs mainly due to
the attraction of Florida's coasts.
Current Stresses on Coastal Resources
U.S. coastal areas are experiencing greatly increased pressures as a result of rapid
population growth and accompanying development. Population growth in U.S. coastal areas is
higher than anywhere else in the country. At present, more than 50 percent of the population
lives within 130 kilometers (80 miles) of an ocean or Great Lake and population densities within
U.S. coastal areas are five times the national average.
The effects of climate change would add to stresses that already affect coastal areas. An
estimated 40 percent of estuarine and coastal waters is not "fishable or swimmable," primarily
because of nutrients and bacteria from urban and agricultural runoff and municipal wastewater
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Impacts of Global Climate Change
treatment discharges. About 40 percent of over 20 million acres of shellfish-growing waters in
estuaries are "harvest-restricted," i.e., commercial harvest is either prohibited or limited, due
primarily to bacterial contamination from urban and agricultural runoff and septic systems. In
addition, the effects of pollution, as well as changes in salinity and hydrology have contributed to
the loss of traditional shellfish acreage that can no longer support shellfish along U.S. coasts.
These changes would be exacerbated by climate change. During 1996, at U.S. ocean, bay, and
Great Lakes beaches, there were at least 2,596 individual closings and advisories, 16 extended
(6-12 weeks) closings and advisories, and 20 permanent (over 12 weeks) closings and advisories.
Including the days of extended closings, the total comes to over 3,685 closings and advisories
(NRDC, 1997). U.S. shorelines are undergoing erosion from sea-level rise, natural retreat of
headlands, coastal structures, and modifications to the natural flow of rivers.
Human activities from further inland can also have a deleterious impact on coastal
resources. Effluent discharges from sewage and industrial plants, as well as agricultural run-off,
have caused significant nutrient over-enrichment in many coastal waters. Sewage and siltation
can be significant causes of coral reef and other coastal system degradation in Hawaii and
Florida. Dams, irrigation projects, and other water control efforts have affected coastal
environments by diverting or altering the supply of water, sediment, or nutrients to a naturally
balanced ecosystem.
Intensive residential and commercial development of coastal areas, particularly dynamic,
storm-prone areas such as barrier islands, puts life and property at risk and creates substantial
financial liabilities. For example, there are currently an estimated 276,000 households located in
high-hazard areas threatened by storm surge, and an additional 2.4 million households located in
the flood plain adjacent to this high-risk zone. In addition, between 1970-89, almost half of all
new residential, commercial, and industrial construction occurred in coastal counties and was not
always built to standards to withstand major storms. Infrequent, yet high intensity storms that
impact coastal areas, in conjunction with poor construction, can result in billions of dollars of
damages, particularly where development occurs in low-lying areas. The cost of damage from
Hurricane Andrew (in Florida and Louisiana) was $25 billion, and the combined costs for
Hurricanes Hugo (South Carolina), Opal (Florida), and Fran (North Carolina) totaled $3 billion.
While a majority of damage from these storms was due to poor construction of infrastructure and
buildings, costs from coastal storms could be reduced or prevented by making better decisions
about the location and type of development in coastal areas.
Key Strategic Issues Concerning Coastal Areas and Climate Change
Throughout time, climate change has affected the coastal environment and will continue
to do so in the future. However, human activities and alterations have rendered coastal resources
more vulnerable to climate change-induced processes, such as accelerated sea-level rise,
alterations of rainfall patterns and storm frequency or intensity, and increased siltation. Climate
change and a rise in sea level or changes in storms or storm surges could result in the increased
erosion of shores and associated habitat, increased salinity of estuaries and freshwater aquifers,
altered tidal ranges in rivers and bays, changes in sediment and nutrient transport, a change in the
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pattern of chemical and microbiological contamination in coastal areas, and increased coastal
flooding.
Some coastal ecosystems are particularly at risk, including saltwater marshes, coastal
wetlands, coral reefs, coral atolls, and river deltas. Other critical coastal resources, such as
mangroves and sea-grass beds, submerged systems including submerged aquatic vegetation, and
mudflats, are at risk from climate change impacts, and exacerbated by anthropogenic factors.
Changes in these ecosystems could have major negative effects on tourism, freshwater supplies,
fisheries, and biodiversity that could make coastal impacts an important economic concern.
These impacts would add to modifications in the functioning of coastal oceans and inland waters
that already have resulted from pollution, physical modification, and material inputs due to
human activities. Secondary impacts associated with climate change, such as inundation of waste
disposal sites and landfills that in turn will reintroduce toxic materials and increased siltation into
the environment, also pose threats to the health of coastal populations and ecosystems.
Global sea levels have been rising since the conclusion of the last Ice Age approximately
15,000 years ago. During the last 100 years, sea-level rise has occurred at approximately 1-2.5
mm/yr. This figure represents eustatic sea level (the absolute elevation of the Earth's ocean) that
has been determined from tidal stations around the globe. However, there are large regional
variations due to: subsidence, isostatic (glacial) rebound, tectonic uplift, etc., that contribute to a
"relative" sea-level rise. For example, within the U.S., portions of the Gulf Coast are
experiencing a relative sea-level rise of 10 mm/year. Concurrently, the coast of Alaska is
experiencing a negative relative sea-level fall of up to 8 mm/year; i.e. sea level is receding.
Figure 7 illustrates the change in sea level along U.S. coasts as determined from historical tidal
data. If this historical rate of sea-level rise is projected to 2100, sea level would rise 10-27 cm
globally. A recent EPA study assessed the probability of sea level rise along various U.S. coastal
towns and estimated that there is a one percent change of a 120 cm rise and a 50 percent chance
of a 55 cm rise in sea level by the year 2100 along the New York coast.
Rising global temperatures could further raise sea level by expanding ocean water,
melting alpine and other small glaciers, and perhaps eventually causing the polar ice sheets of
Greenland and Antarctica to melt into the oceans. The most recent IPCC assessment (1995)
forecasts a rise in global sea level of 5 mm/year, within a range of uncertainty of 2-9 mm/year
with almost all of the contribution resulting from thermal expansion and melting small glaciers.
The IPCC predicts low, mid, and high estimates of 20, 49, and 86 cm. This current best forecast
represents a rate of sea-level rise that is still about two to five times the rate experienced over the
last 100 years. Furthermore, even if greenhouse-gas concentrations are stabilized, model
projections show that sea level will continue to rise beyond the year 2100 due to lags in response
to climate change. Figure 8 indicates the potential impact of a 50 cm sea-level rise, or
approximately the mid-range IPCC estimate, in South Florida.
The IPCC estimates are based on the effects of thermal expansion of the ocean. They do
not include the possible contribution that the melting of the Greenland and Antarctic ice sheets
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LONG TERM SEA LEVEL TRENDS FOR THE UNITED STATES
(Accepted Global Sea Level Rise is 2mm/yr-e)
Based on dstta front:
"Sea I.evc.1 Variations for the United States
1855-1986", Xational Ocean Service, KOAA, 1988
Figure 7. Long term sea level trends for the United States.
© Bio
O 3 to 5mm/yr
O 1 to 3nr>m/yr
O -1 to 1mm/yr
o -3 to -1mnr»/yr
© -8 to - 3mm/yr
® < -8mm/yr
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Present Day Sea Level
I'"
LEGEND
Developed Area
Undeveloped Area
Mixed Swamp
Fresh Marsh
Sea Level with 50 cm Rise
Salt Marsh
Mangrove
BeachJTidal Flat
Water
• f ?a .
wf., >',.
¥>"Jfl •&»
Figure 8. LANDSAT imagery and data from USGS topographical maps combine to illustrate
the potential impacts of a half meter rise in sea level on South Florida (see Park and Lee, 1993).
The maps demonstrate a substantial loss of mangroves and migration of wetlands inland.
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would have on sea-level rise. While still debated and somewhat speculative, such melting would
provide a much greater contribution to global sea-level rise.
Coastal land, including buildings, transportation infrastructure, and recreational and
agricultural areas, is vulnerable to inundation and increased erosion as a result of climate change.
All lowlands are threatened by a rise in sea level. Estuaries are also threatened by potential
hydrologic changes that could increase the range of saltwater intrusion as well as alter the
amount of freshwater reaching an estuary. If a one-meter rise in sea level occurs during the next
century, the worst-case IPCC scenario, thousands of square miles could be lost, particularly in
low-lying areas such as the Mississippi delta, where land is also subsiding at a rate of
approximately one meter per century. Table 1 indicates the estimated land loss for seven regions
of the United States. Storm damage is expected to also increase, particularly along the well-
developed and low-lying Atlantic and Gulf of Mexico coasts.
Assessing total economic impacts from sea-level rise on coastal areas and on a national
scale is still somewhat speculative. Nevertheless, a recent study has quantified the present value
of the economic costs (protection plus abandonment) to coastal structures with a 1-meter sea-
level rise as $6.4 billion between 1996 and the year 2100. However, this figure represents only
market-valued estimates which are derived from property-value appreciation, market adaptation,
and protection costs. Thus, it is a minimum cost estimate which does not include the lost service
value of non-market resources, such as tidal wetlands. Estimates of impact on such resources are
more difficult to quantify because they lie outside the traditional market and have not yet been
thoroughly measured. Natural systems, like a tidal wetland, can provide flood control, storm
protection, and waste recycling and ha.ve tremendous value when measured economically.
Coastal erosion is already a widespread problem in the United States. For example, in
Oahu, Hawaii, over the past 50 years a quarter of the beaches have been lost or significantly
degraded due to causes that are poorly understood. Heightened storm surge could increase the
rate of erosion. The highest-risk areas are those with very low relief and currently experiencing
rapid erosion rates, such as the southeastern United States and the Gulf Coast (see Figure 9).
Coastal areas would also be more vulnerable to hurricanes, as well as to increased or decreased
freshwater and sediment flux from river systems.
Rising sea-level will, in genera.!, increase storm surge flooding by the level of sea-level
rise, making every coastal storm appear more intense. However, some areas will experience
dramatic changes—going from no flooding to extensive flooding. Many coastal features, such as
levees, seawalls, and naturally occurring sand dunes and ridge lines effectively block storm
surges for most storms. Whenever one of these features is overtopped by storm surge from either
a hurricane or an extratropical storm, the areas inland will flood. Numerical modeling has shown
that large amounts of water can move over such barriers, flooding over the marshland or bay
behind the barrier, and sweeping over mainland areas.
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Impacts of Global Climate Change
I
M
•d
§
1-1
m
o
M
M
O
.J
3000 -i •
2000 - •-•
1000-
Northeast Mid-Atlantic S. Atlantic SV Florida Louisiana Other Gulf Vest
Table 1. Dry Land Loss by 2100 without shore protection (from Titus, et al., 1991).
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Severely
IS Moderately'eroding
Figure 9. Classification of annual shoreline change around the United States. (Modified from
Dolan, et al., 1985.)
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Many coastal structures were designed with the 100-year flood as their basis. This
flooding level determines the elevations to which the federal projects (such as U.S. Army's
Corps of Engineers levees that protect New Orleans) are built. It is also the level to which coastal
structures must be built to qualify for flood insurance through FEMA's Flood Insurance
Program. If sea level rises, the statistics used to design these structures change. A 50-year flood
may become as severe as (or even more severe than) a 100-year flood before sea-level rise.
Coastal insurance rates would be adjusted to reflect such increased risk. Furthermore, FEMA
estimates that with a sea-level rise of one meter, the number of households in the coastal
fioodplain would increase from 2.7 million to 6.6 million by 2100. This growth will be the result
of sea-level rise as well as the increase of coastal population. In some areas however, structures
will be upgraded as sea level rises so that flood risks will not increase.
Coastal wetlands are already eroding in most states (see Table 2), particularly Louisiana
and Maryland. For example, Louisiana's coastal area lost an estimated 3,950 square kilometers
of wetlands from 1930 to 1990. This loss of wetlands resulted, for the most part, from flood-
protection levees along the Mississippi and artificial bank stabilization efforts to confine the flow
of the river and prevent the flooding, sedimentation, and freshwater supplies that occurred
naturally. Many wetland losses elsewhere result from draining or filling. In addition, large areas
of brackish and freshwater wetlands have become progressively more saline as salt water has
increasingly invaded the deteriorating coastal zone. Because 40 percent of U.S. coastal wetlands
are found in Louisiana, this loss constitutes about 80 percent of the total national coastal wetland
loss. Louisiana coastal wetlands are exceptionally valuable in terms of coastal fisheries and
migratory waterfowl, protection of low-lying population centers from hurricanes and other
storms, and oil and gas production. Furthermore, the greatly accelerated rates of coastal wetland
loss appear to be the unintended result of massive human disturbances of these wetlands and
intervention (for purposes of flood protection, water supply, maritime commerce, energy
production, and wildlife management) in the processes that sustain coastal wetlands.
Wetlands require a delicate balance of sediment, fresh and salt water and are particularly
vulnerable to inundation and erosion as a result of sea-level rise. Coastal wetlands are also
vulnerable to changes in the source or decreased flux of fresh water and sediment, if upstream
areas become more arid. Wetlands naturally migrate as land subsides and sediment supply
changes, but migration has been limited in several areas by the encroachment of urban areas
which utilize sea walls and other protective structures. In addition, the possible rate of sea-level
rise predicted by some climate change models is more rapid than the natural rate of wetland
migration, thus wetland losses will likely increase.
Estuarine beaches are also at particular risk to sea-level rise. They are much more
vulnerable than ocean beaches because they tend to be narrower and policies against shoreline
armoring generally apply to oceans but not to bays. Also, they are more vulnerable than
vegetated wetlands because the wetland protection programs tend to focus on the total area of
wetlands protected and because beaches are narrow, they do not represent much acreage. The
loss of these beaches would effect species such as horseshoe crabs and the birds that feed on
them, as well as terrapins, least terns, and tiger beetles.
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Table 2. Regional and National Wetland Losses for the Trend and 1.0 Meter Sea Level Rise
Scenarios (percent loss of current area) (from Titus, et al., 1991).
Trend
1.0 Meter
Region
Current
Wetland Area (sq mi)
Standard(a) Total(a) Standard(a) None(a)
Mid-Atlantic 746
South-Atlantic 3814
South/Gulf
Coast of Florida 1869
Louisiana (c) 4835
FL Panhandle,
AL,MS, andTX 1218
West (d) 64
United States 13,145
Confidence Intervals:
95% Low
95% High
-5
-2
-8
52
22
-111
17
9
25
70
64
44
85
85
56
66
50
82
46
44
8(b)
85
77
-688
49
29
69
38
40
7(b)
85
75
-809
50
26
66
Note. A negative number indicates a. gain in wetlands.
a Total protection refers to all shores being diked or bulkheaded; standard protection refers
to only currently developed areas being protected.
b Results are not statistically significant; sampling error exceeds estimate of wetland lost.
c An evaluation of the management options currently contemplated for Louisiana (e.g.
restoring natural deltaic processes) was outside the scope of this study.
d This anomalous result is from small sample size. The impact on the nationwide results is
negligible.
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Climate change also has the potential to significantly affect coastal biological diversity. It
could cause changes in the population sizes and distributions of species, alter the species
composition and geographical extent of habitats and ecosystems, and increase the rate of species
extinction. Fragile systems such as coral reefs are highly susceptible to temperature increases.
Short-term increases in water temperatures on the order of only 1-2°C, combined with other
environmental stresses (such as pollution or siltation from human activities), can cause
"bleaching," leading to significant reef destruction. Reefs in many parts of the world, including
the United States, have undergone episodes of bleaching, particularly in the 1980s. Sustained
increases of 3-4°C above long-term average seasonal maximums can cause significant coral
mortality. Biologists suggest that full regeneration of these coral communities could require
several centuries.
Fisheries in estuaries and the coastal ocean are also vulnerable to changes in water
temperature and freshwater inflow. The loss of coastal wetlands has already been implicated in
the decline of shrimp harvests in Louisiana, and would also likely reduce yields of crab and
menhaden. Projections of general circulation models suggest that freshwater discharge from the
Mississippi River to the coastal ocean will increase 20 percent if atmospheric carbon dioxide
concentrations doubles. This is likely to affect water column stability, surface productivity, and
global oxygen cycling in the northern Gulf of Mexico, which is already suffering from persistent
hypoxia. In the open ocean, increased temperatures could result in a shifting of the geographical
distribution of certain species. Decreasing freshwater flow, when combined with rising sea level
could result in the encroachment of saltwater species into typically freshwater habitats. For
example., in estuaries, decreased freshwater inflow could result in increased salinity and, in turn,
a replacement of some freshwater species by saltwater species.
Management Issues and Strategies
Management strategies in coastal areas can be divided into three categories:
(1) Accommodate. Vulnerable areas continue to be occupied, accepting the greater
degree of effects, e.g., flooding, saltwater intrusion, and erosion; advanced coastal
management used to avoid the worst impacts; improved early warning of catastrophic
events; and building codes modified to strengthen structures
(2) Protect. Vulnerable areas, particularly population centers, high-value economic
activities, and critical natural resources, are defended by sea walls, bulkheads,
saltwater intrusion barriers; other infrastructure investments are made; and "soft"
structural options such as periodic beach re-nourishment, landfill, dune maintenance
or restoration, and wetlands creation are carried out
(3) Retreat. Existing structures and infrastructure in vulnerable areas are abandoned,
inhabitants are resettled, government subsidies are withdrawn, and new development
is required to be set back specific distances from the shore, as appropriate.
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The cost-effectiveness of these adaptation strategies is enhanced to the extent that they
are planned and implemented in the context of integrated coastal management programs carried
out at various levels of government.
Integrated coastal management is a continuous, iterative, adaptive, and consensus-
building process comprised of a set of related tasks, all of which must be carried out to achieve a
set of goals for the sustainable use of coastal areas, including adapting to the effects of climate
change (Bower, Ehler, and Basta, 1994). The dimensions of integrated coastal management
include:
• Integration of policies and programs across and among sectors of the economy e.g.,
economic development, transportation, recreation, and agriculture
• Integration among agencies involved in coastal management at all levels of
government, including both vertical (national, subnational, and local) and horizontal
(across the same level of government) integration
• Integration between public- and private-sector management activities
• Integration between management actions that affect the land and water environments
of coastal areas, and areas upstream and upwind of coastal areas.
• Integration among the disciplines of coastal management, including ecology,
economics, engineering, and political science.
At the federal level, agencies such as the U.S. Environmental Protection Agency have
produced a number of studies which have begun to look at projected global climate change
impacts on specific resources such as wetlands and to consider possible response options.
Individual states have used all three management strategies. Beach re-nourishment has
been prominent in heavily developed areas (e.g., Miami, Florida and Ocean City, Maryland)
where existing investments and the income generated by beach users is considered greater than
the costs of the re-nourishment projects. Sea walls are often built to protect lives and property,
but the trade-off is often the loss of usable beaches and other habitats. Most of these actions are
taken to address current conditions and needs.
include:
State and local government responses to future accelerated sea level rise scenarios
(1) taking accelerated sea-level rise into account when filling wetlands for water-
dependent facilities (ports)—which requires an applicant to raise the fill level so
facilities will not have to be abandoned during their 50-100 year life expectancy (San
Francisco Bay Conservation and Development Commission);
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(2) raising the elevation of new facilities such as sewage treatment plants to protect the
integrity of the facility's use (Massachusetts Water Resources Authority);
(3) incorporating sea-level rise into setback laws for larger facilities which goes beyond
the normal incorporation of only historical rates of erosion (Maine Coastal Zone
Management Program);
(4) passing legislation in support of a retreat policy that normally prohibits sea wall
construction to allow backward migration of a beach (North and South Carolina
Coastal Zone Management Programs).
To support state coastal management efforts, the Coastal Zone Management Act was amended in
1990 to further encourage state efforts to incorporate the problems of climate change and sea-
level rise into their programs under natural hazards.
In February 1997, the U.S. Country Studies Program and NOAA sponsored an
international workshop in Chinese Taipei that developed guidelines for integrating coastal
management and climate change adaptation strategies. These can serve as a guide for coastal
nations to Implement or strengthen an Integrated Coastal Management program, and
simultaneously meet the obligations of international agreements.
Status of the Relevant Science and Technical Base
Continued investments in research and monitoring at the national and international levels
are needed to improve the information base for adapting to climate change. For example, coastal
wetlands naturally migrate in response to changes in sediment supply and relative sea level.
However, it is unknown if the rate at which wetlands can naturally migrate is sufficient for the
possible rates of sea-level rise that would be caused by climate change. Establishing locations for
wetlands to migrate to by expanding reserves and protected areas adjacent to current coastal
wetlands can facilitate adaptation. Creation or restoration of wetlands is another adaptive strategy
that requires the development of effective methods for restoring coastal wetlands and for
measuring the effectiveness of those restoration efforts.
The White House Committee on the Environment and Natural Resources (CENR) is
currently coordinating several wetland activities— including studies of recent changes in wetland
systems along the eastern Gulf of Mexico and southern Atlantic coasts, and studies of changes
documented in the Mississippi Delta—which should establish credible limits on the ability of
coastal wetlands to adapt to sea-level rise by vertical growth. Other Committee on the
Environment and Natural Resources research related to the vulnerability and adaptation of
coastal systems include space-based geodesy studies to distinguish the long-term trends in sea-
level change due to glacial melting and ocean expansion from effects of post-glacial rebound and
active tectonics; studies that test existing geological models of coastal erosion processes; and
studies of the frequency, magnitude, and tracks of storms.
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Internationally, the Intergovernmental Oceanographic Commission of UNESCO is
coordinating the development of a Global Ocean Observing System (GOOS). This is an
intergovernmental program for the collection, distribution, and exchange of marine and
oceanographic data. One of its principal elements, the GOOS Coastal Module, is designed to
integrate and facilitate access to in-situ and remotely sensed coastal observations for reliable
assessment, prediction and management of coastal areas and resources.
The Global Coral Reef Monitoring Network is a major contribution to the GOOS Coastal
Module. Co-sponsored by the IOC, United Nations Environment Programme and the World
Conservation Union, the network's goal is to improve the conservation, management, and
sustainable use of coral reefs and related coastal ecosystems by providing data and information
on trends in their biophysical status and the social, cultural, and economic values that pertain to
these ecosystems.
Two major international climate change assessments (1990 and 1995) have been
conducted by the Intergovernmental Panel on Climate Change (IPCC), which was established by
the World Meteorological Organization (WMO) and the United Nations Environment
Programme (UNEP) in 1988. These assessments examined the available science, the magnitude
of human-induced climate change, and appropriate response options. Some areas that require
further scientific research and data include scaling down of current general circulation models to
obtain local climate change estimates, as the current GCM resolution is too low. In addition, sea-
level rise alone is not an exclusive feature of climate change in coastal areas. Therefore, climate
change studies need to be broader, combining the effects of sea-level rise, storminess,
atmospheric circulation change, precipitation, etc.
The IPCC 1995 assessment indicates that more work is necessary for quantifying the
social costs of climate change. Net climate change damages include both market and non-market
impacts and, in some cases, adaptation costs. However, the non-market damages (e.g. human
health, risk of human mortality and damage to ecosystems, etc.) are highly speculative and not
comprehensive, and therefore are a source of major uncertainty in assessing the implications of
global climate change for human welfare.
Legal Framework
The United States is a Party to the Framework Convention on Climate Change that
entered into force in 1994. Its major objective is to achieve the stabilization of greenhouse gas
emissions and to identify national adaptation strategies. Article 4 of the Convention commits
nations to, among other things, develop integrated plans for coastal zone management as part of
their adaptation strategies. In response to potential commitments and obligations under the
United Nations Framework Convention on Climate Change, many nations, including the U.S.,
are preparing national climate change action plans that identify management strategies to reduce
greenhouse gas emissions. Although the United States is not currently developing a plan for
adapting to the potential impacts of long-term climate change, such plans could be developed
within the framework of existing laws.
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Any plan for adapting to sea-level rise must consider federal, state, and local legislation.
Under the common law of most states, tidal waters up to mean high water are owned by the
public. As sea level rises, the boundaries of land ownership generally migrate inland, under state
law. State laws vary considerably both on whether property owners must allow the shore to
retreat or are allowed to erect protective measures. At one extreme, Texas and Maine prohibit
structures that protect property at the expense of narrowing the beach; at the other extreme,
Maryland's Tidal Wetlands Act guarantees the right to erect structures to hold back the sea.
Responses to sea level rise also depend on the type and density of development near the
shore. In most states, local master plans and zoning laws govern land use, although state coastal
zone management laws also play a role. Maryland's Critical Areas Act and New Jersey's Coastal
Area Facilities Review Act severely restrict the density of development in portions of their
coastal zones. Several states have setback laws requiring new structures to be a minimum
distance from the shore. Although water pollution and existing erosion hazards were the primary
impetus for these laws, they also provide a framework for a response to sea-level rise. Setbacks
are consistent with a presumption that shores will retreat naturally. The Maryland and New
Jersey statutes are consistent with a presumption that densely developed areas will be protected,
while shorelines in undeveloped areas remain in their natural states.
State laws on access to the shore also influence a states ability to address rising sea level.
Along ocean shores with ample public access, such as New Jersey and Florida, public support for
beach re-nourishment and shoreline planning to maintain beaches tends to be great. Along shores
with little public access, especially bay shores, the constituency for preserving natural shorelines
tends to be less significant.
Several federal statutes address coastal problems related to rising sea level. Section 10 of
The Rivers and Harbors Act and Section 404 of the Clean Water Act have created a federal
program of wetland protection. Strictly speaking, federal jurisdiction only extends up to the
upper boundary of the wetlands. Nevertheless, EPA and the Corps of Engineers have the
discretion to consider sea level rise and other environmental issues in the administration of
wetland mitigation programs in which, for example, a landowner is permitted to eliminate a strip
of wetlands in return for protecting or creating wetlands elsewhere. The Federal Flood Insurance
Act provides a comprehensive framework by which coastal communities attempt to limit the
vulnerability of property to floods. Although the guidelines under which the program operates do
not explicitly consider sea-level rise, they influence the vulnerability of coastal development to
rising sea level. As with the wetland legislation, the executive branch has the administrative
discretion to modify existing guidelines to prepare for rising sea level should it decide to do so.
/
Perhaps the most important federal statute for addressing sea-level rise is the Coastal
Zone Management Act (as amended by Public Law 104-150). The Act provides a comprehensive
framework within which all coastal problems can be addressed. In reauthorizing the Act in 1990,
Congress recognized the importance of this potentially new threat to the nation's shoreline
environments and encouraged coastal states and territories to begin to address rising sea level as
noted in the following sections:
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Congressional Findings: SEC. 302. The Congress finds that...
(1) Because global warming may result in a substantial sea level rise with serious adverse
effects in the coastal zone, coastal states must anticipate and plan for such an
occurrence.
Congressional Declaration Of Policy: SEC. 303. The Congress finds and declares that it
is the national policy
(2) to encourage and assist the states to exercise effectively their responsibilities in the
coastal zone through the development and implementation of management programs
to achieve wise use of the land and water resources of the coastal zone, giving full
consideration to ecological, cultural, historic, and esthetic values as well as the needs
for compatible economic development, which programs should at least provide for...
(B) the management of coastal development to minimize the loss of life and property
caused by improper development in flood-prone, storm surge, geological hazard,
and erosion-prone areas and in areas likely to be affected by or vulnerable to sea
level rise, land subsidence, and saltwater intrusion, and by the destruction of
natural protective features such as beaches, dunes, wetlands, and barrier islands,...
(K) the study and development, in any case in which the Secretary considers it to be
appropriate, of plans for addressing the adverse effects upon the coastal zone of
land subsidence and of sea level rise; and...
(3) to encourage the preparation of special area management plans which provide for
increased specificity in protecting significant natural resources,., improved protection
of life and property in hazardous areas, including those areas likely to be affected by
land subsidence, sea level rise, or fluctuating water levels of the Great Lakes, and
improved predictability in governmental decision making...
Many state Coastal Zone Management programs have used federal funds to conduct studies and
develop policies to this end.
In addition to its role as a regulator and financial and technical assistance provider, the
federal'government also has the legal authority to address sea-level rise in its role as a property
owner. Numerous parks and wildlife refuges are found along the coast. Under both federal and
state law, the federal government has the authority to purchase easements to enable ecosystems
to migrate, and to construct coastal protections structures to protect government property from
the effects of erosion and storms.
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Issues Pertaining to Education and Human Resources
Education, training, and outreach that target all sectors of society are essential
components in the successful implementation of Integrated Coastal Management and climate
change adaptation strategies. In July 1997, President Clinton launched a campaign to educate
Americans about global warming and build support for the steps necessary to deal with it,
including the United States agreement to binding reductions in greenhouse gases that were
negotiated at the international conference on climate change during December 1997 in Kyoto,
Japan. This led to a U.S. agreement for binding reductions in greenhouse gases that were
negotiated at an international conference on climate change during December 1997 in Kyoto,
Japan. However, as a July 21, 1997 article in the Washington Post pointed out, President Clinton
faces an uphill battle in trying to "sell the public on the urgency that, in many minds, looms far in
the future, if it exists at all." The article goes on to say that the message is being met skeptically,
and in some instances, with outright hostility, particularly by certain U.S. industries and labor
groups which maintain that the scientific evidence is unconvincing and the economic
repercussions potentially disastrous.
Despite the scientific evidence that sea level is rising globally as a result of climate
change, many individual homeowners continue to purchase beach-front property that is
threatened even now by beach erosion resulting from human (obstruction of natural sand
replenishment from construction of jetties, sea walls, sand mining, etc.) and natural (storms and
hurricanes) causes. In some cases, people are unaware of the risk. In other cases, people who
understand the risks are willing to develop property in hazardous areas because the value they
place on inhabiting a shorefront home is larger than the expected damages from erosion and
storms.
The willingness of some coastal residents to accept the risks of shorefront development
are apparent in the attitudes of two people quoted in a September 13, 1997 Washington Post
article about beach erosion in Holden Beach, North Carolina. One local resident whose home
was knocked from its foundations by Hurricane Fran decided to move her 45-year-old family
home just one lot back from property purchased by her father years ago. This lot is now beach
front property due to erosion. Her response is, "It concerns me but does not threaten me. I just
feel that it is fate—it's the same as getting in an airplane."
Even a town official of Holden Beach, who made mitigation of coastal erosion one of his
top goals upon assuming his position, built his own home just 1,000 feet from the ocean, in an
area where erosion has been the greatest. His attitude is "It'll be fine for me—but my great-
grandchildren may have beach-front property." This attitude is not uncommon, the long-term
nature of the problem does not incite much urgency to take different action now.
Well-designed public education programs should use target specific clientele—including
elected officials, user groups, women's groups, school children, and the general public—to
develop support for Integrated Coastal Management and climate change action plans. Public
education ought to include informal education programs that will reach all segments of the
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community, including the illiterate, who may form a significant segment of the stakeholder
population.
Opportunities and Barriers (What Works Well and What Doesn't)
While climate change impacts such as accelerated sea level rise are a potentially major
concern, state and local governments have hesitated to address the issues effectively because of
the relatively long-term nature of the problem, scientific uncertainties and, in some cases, the
large investments required. Because of scientific debate and uncertainties, few are willing to
develop potentially costly management strategies for which the benefits will not be realized for
years to come. Consequently, management responses to climate change impacts have been
gradual since the early 1980s, but pioneering efforts have been important for U.S. policy makers.
In response to potential commitments and obligations under the United Nations
Framework Convention on Climate Change, many nations, including the United States, are
preparing national climate change action plans that identify management strategies to reduce
greenhouse gas emissions and adapt to the potential impacts of long-term climate change. The
successful implementation of these plans and their management strategies within individual
countries, including the United States, will depend to a large measure on the extent of their
integration into the implementation of other national and sectoral management plans, including
coastal management plans.
Adapting to sea-level rise and other effects of climate change will involve important
trade-offs that weigh environmental, economic, social, and cultural values. Effects will depend
not only on the local patterns and intensity of climate change, but also on the nature of the local
coastal environment; on the human, ecological, and physical responsiveness of the affected
coastal system; and on actions in other sectors of the coastal and national economies. Given the
long time frames involved in reducing the magnitude of global warming, it is vital that steps be
taken now to manage the impacts that almost certainly will occur in islands and low-lying coastal
areas.
Options for Consideration
The following suggestions are offered based on the preceding discussion:
1. Continued investments in research, monitoring and economic methods for quantifying
the social costs of climate change are needed to improve the information base for
adapting to climate change and for coastal management. For example, the United
States should take a leadership role in developing and advancing implementation of
the Coastal Module of the Global Ocean Observing System, and particularly one of
its key elements, the Global Coral Reef Monitoring Network.
2. As indicated in the IPCC 1995 Assessment Report, more work is necessary for
quantifying the social costs of climate change. Net climate change damages include
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both market and non-market impacts and, in some cases, adaptation costs. However,
the non market damages (e.g., human health, risk of human mortality, and damage to
ecosystems, etc.) are highly speculative and not comprehensive, and therefore are a
source of major uncertainty in assessing the implications of global climate change for
human welfare. In general, more work needs to be done on environmental evaluation
techniques that accurately reflect the societal benefits of these so-called "non-market"
coastal resources. It is important to accurately quantify their benefits and account for
them properly in benefit-cost analysis in order to improve decision making. The U.S.
should play a strong role in the IPCC third assessment that is just beginning, and
particularly with regard to these quantification methods.
3. Areas that require further scientific research and data include higher resolution of
current general circulation models to obtain local climate change estimates, because
the current GCM resolution is too low. In addition, sea-level rise alone is not an
exclusive feature of climate change in coastal areas. Therefore, climate change studies
need to be broader, combining the effects of sea-level rise, storminess, atmospheric
circulation change, precipitation, etc. The U.S. should support expanded studies of
this nature.
4. A guidance document for local, state and regional offices of federal agencies should
be developed, along with a handbook on no-cost and low-cost ways to prepare for sea
level rise as part of ongoing coastal zone management activities, including wetland
permits, infrastructure, shoreline management, land use planning, and flood
insurance.
5. Public access to the coast should be expanded, especially in estuarine shore areas that
may be eliminated by sea level rise, so that the public can appreciate the need to
protect them and build support for management measures.
The scientific information generated from the first three above options for consideration
are particularly important to substantiate the education initiatives necessary to galvanize the
public support for management strategies. The coastal impacts of climate change need to be
placed in the context of all the other pressures on coastal resources. U.S. coastal areas represent
some of the most valuable assets that our nation possesses. Addressing sea level rise is but one
facet of the major challenge that the U.S. and other nations face today which is restoring,
maintaining, and enhancing the quality of coastal areas that are under the pressures of projected
population growth, coastal development, and consumption patterns.
A major public education challenge is to convince individuals of the urgency of the
problem, the long-range implications of current actions on coastal resources and their
consequences for future generations. However, if people can be made to appreciate the
importance of coastal resources, the many threats to them, and why management strategies are
necessary, then the prospects for successfully implementing such strategies would be improved.
Therefore, recommendations for U.S. education efforts include:
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• Well-designed public education programs should target specific clientele—including
elected officials, user groups, women's groups, school children, and the general
public—to develop support for Integrated Coastal Management and climate change
action plans. Public education ought to include informal education programs that will
reach all segments of the community, including the illiterate, who may form a
significant segment of the stakeholder population.
• Training and education for Integrated Coastal Management should be prepared on a
multidisciplinary basis, so that trainees can become familiar with using all the
scientific information related to it. Universities and training and research
organizations should develop and strengthen programs of research, education,
training, extension services, and technical assistance that will contribute to continuing
ICM programs. These programs should combine theory and practice and should
emphasize the application of research to address important coastal management
issues.
• ICM programs require a team with skills in resource and socioeconomics, ecology,
geomorphology, coastal engineering, analysis of industrial and agricultural processes,
financing, and institutional (including legal) analyses. Climate change also requires
skills in meteorology, physical oceanography, Earth science, geography, and
predictive computer modeling. The most difficult skill to acquire is integrating the
various aspects of analysis and defining priorities among them, and discerning the
long-range implications of current actions.
REFERENCES
Broecker, W. S., 1991. The great ocean conveyor. Oceanography., 4, pp. 79-89.
Culliton, J. Thomas, et al. April 1990. "50 Years of Population Change Along the Nation's
Coasts, 1960-2010." Washington, DC: NOAA, National Ocean Service.
Costanza, R., et al. May 1997. "The Value of the World's Ecosystem Services and Natural
Capital." Nature, vol. 387, pp. 253-260.
Dolan, R., F. Anders, and S. Kimball. 1985. "Coastal Erosion and Accretion in U.S. Geological
Survey National Atlas." Reston, VA: Department of the Interior, U.S. Geological Survey.
EPA. 1995. Titus, James G. and V. Naranan. "The Probability of Sea Level Rise " Nov 1995
EPA 230-R-95-008.
Federal Emergency Management Agency. 1991. "Projected Impact of Relative Sea Level Rise on
the National Flood Insurance Program." pp. 4-7.
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Hubbard, E.F., Sallenger, A. 1995. "A Whirlwind of Activity: The USGS Responds to
Hurricanes. In: Under standing the Earth." Reston, VA: U.S. Geological Survey.
Hull, C.HJ. and J.G. Titus (eds). 1986. "Greenhouse Effect, Sea Level Rise, and Salinity in the
Delaware Estuary." Washington, D.C.: Environmental Protection Agency and Delaware River
Basin Commission.
Intergovernmental Panel on Climate Change (IPCC), 1994. Radiative Forcing of Climate
Change, the 1994 Report of the Scientific Assessment Working Group of IPCC Summary for
Policymakers, World Meteorological Organization, Geneva, Switzerland, 28 pp.
Intergovernmental Panel on Climate Change (IPCC), Second Assessment Report, Climate
Change 1995. World Meteorological Organization, Geneva, Switzerland, 64 pp.
Lyle, S.D., L.E. Hickman, and H.A. Debaugh. 1988. Sea Level Variations in the United States.
National Ocean Service, NOAA.
Mayer, Caroline E. "Life on the Beach is an Eroding Proposition," The Washington Post, Real
Estate Section, September 13,1997.
Natural Resources Defense Council. July 1996. "Testing the Waters VI, Who Knows What
You're Getting Into." New York.
Natural Resources Defense Council. July 1997. "Testing the Waters VII, How Does Your
Vacation Beach Rate." New York.
NOAA, Office of Oceanic and Atmospheric Research, Environmental Research Laboratories,
Climate Diagnostics Center, http://www.cdc.noaa.gov, Boulder, CO.
NOAA, Office of Global Programs. 1994. "A Proposal to Launch a Season-to-Interannual
Climate Prediction Program," Washington, DC, 19 pp.
NOAA, Office of Global Programs. 1995. "International Forum on Forecasting El Nino:
Launching an International Research Institute," Washington, DC, 65 pp.
NOAA Office of Global Programs, 1994. Reports to the Nation, No. 3, El Nino and Climate
Prediction, University Corporation for Atmospheric Research, Boulder, CO, 24 pp.
NOAA Office of Global Programs, 1997. Reports to the Nation, No. 4, Our Changing Climate,
University Corporation for Atmospheric Research, Boulder, CO, 24 pp.
Park, R.A., Lee, J.K. 1993. "Potential Effects of Sea Level Rise on South Florida Wetlands,"
Climate Change Division. Environmental Protection Agency.
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Peck, D.L., S.J. Williams, 1992. "Sea-Level Rise and Its Implications in Coastal Planning and
Management: Ocean Management in Global Change." London: Elsevier Applied Science, pp. 57-
Titus, J.G., R. Park, S. Leatherman, R. Weggel, M. Greene, P. Mausel, M. Treehan, S. Brown, C.
Gaunt, and G. Yohe. 1991. "Greenhouse Effect and Sea Level Rise: Loss of Land and the Cost of
Holding Back the Sea." Coastal Management 19:171-204.
Titus, James G. and V. Narayanan. 1996. "The Risk of Sea Level Rise." Climatic Change
33:151-212.
Titus, J.G. 1998. "Rising Seas, Coastal Erosion, and the Takings Clause: How to Save Wetlands
and Beaches Without Hurting Property Owners." Maryland Law Review.
United Nations Environment Programme, World Meteorological Organization, 1997. "Common
Questions About Climate Change, United Nations Environment Programme," Nairobi, Kenya
24 pp.
U.S. Country Studies Program: Support for Climate Change Studies. 1994. "Climate Change
Implications and Adaptation Strategies for the Indo-Pacific Island Nations." Workshop
Proceedings.
U.S. Department of Commerce. 1996. "Strategic Plan, A Vision for 2005," Washington DC
NOAA, 16pp.
U.S. Department of Commerce. July 1991. The National Shellfish Register of Classified
Estuarine Waters. Washington, DC: NOAA, National Ocean Service.
U.S. Department of Commerce. 1995. "Strategic Plan, A Vision of 2005", 16 pp.
U.S. Environmental Protection Agency. December 1995. National Water Quality Inventory.
1994 Report to Congress. Washington, DC: EPA, Office of Water.
The Washington Post, 1997. "A Greenhouse Tool Kit," The Washington Post, Washington, DC,
12 November 1997, pp. H4-H5.
Watson, R.T., M.C. Zinyowera, R.H. Moss. 1995. Climate Change 1995, Contribution of
Working Group II to the Second Assessment Report of the Intergovernmental Panel on Climate
Change. Cambridge University Press, pp. 296, 315.
Warrick, Joby. "Clinton Outlines Global Warming Education Plan," The Washington Post, July
25, 1997
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Yohe, G., J. Neumann, P. Marshall, H. Ameden. 1996. "The Economic Cost of Greenhouse-
Induced Sea-Level Rise for Developed Property in the United States." Climate Change 32: 387-
410.
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DOMESTIC LEGAL REGIME
Contents
• Global Change Research Act (15 U.S.C. §§ 2921 et seq.)
• National Climate Program Act (15 U.S.C. §§ 2901-2908)
• National Flood Insurance Reform: Act of 1994 (NFIRA)
• National Sea Grant College Program Act (33 U.S.C. §§ 1121 et seq.)
• National Weather Service Organic Act (15 U.S.C. §§313)
• NFIRA Section 577
• Robert T. Stafford Disaster Relief and Assistance Act (42 U.S.C. § 5121 et seq.)
• Coastal Barrier Resources Act of 1982 (CBRA) (16 U.S.C. §§ 3501 et seq.)
• Coastal Zone Management Act of 1972 (CZMA) (16 U.S.C. §§ 1451 et seq.)
The legal regime covering the topic of weather, climate, and natural hazards is based on a
collection of important federal statutory authorities. The following is a brief description of some
of those authorities relating to weather, climate and natural hazards. The list is selective and is
designed to illustrate some major weather, climate and natural hazards Acts. The list is not meant
to be comprehensive.
Global Change Research Act. 15 U.S.C. §§ 2921 et seq.
Subchapter I - U.S. Global Change Research Program: The purpose of this subchapter is to
provide for the development and coordination of a comprehensive and integrated U.S. research
program which will promote, in both the domestic and international arenas, improved
understanding, assessment, prediction and response to global change. Section 2938(a) directs the
President, the Chairman of the Council, and the Secretary of Commerce to ensure that relevant
research activities of the National Climate Program are considered in developing national global
change.research efforts.
Subchapter II - International Cooperation in Global Change Research: Section 2952(a) authorizes
the President to direct the Secretary of State, in cooperation with the Committee on Earth and
Environmental Sciences, of which the National Oceanic and Atmospheric Administration is a
member, to initiate discussions with other nations leading toward international protocols and
other agreements to coordinate global change research activities. As noted in the Climate Change
Impact on U.S. Coastal Areas Year Of The Ocean theme paper, the U.S. is a signatory to the
U.N. Framework Convention on Climate Change, which was adopted in 1992 and entered into
force in 1994. Article 5 of the U.N. Framework Convention, "Research and Systematic
Observation", provides for the development of international and intergovernmental programs and
networks aimed at conducting research, data collection, and systematic observation. The U.N.
Framework Convention recognizes that the measures required to address climate change will be
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most effective if they are based on relevant scientific considerations, as well as technical and
economic factors, and must be continually re-evaluated in light of new findings and research.
Continued Congressional support for funding NWS/NESDIS/OAR research is a necessary
element in providing the necessary current data and information to support such international
efforts.
National Climate Program Act, 15 U.S.C. §§ 2901-2908
The National Climate Program Act establishes the National Climate Program (Program) to assist
in understanding and responding to natural and man-induced climate processes and their
implications. The National Climate Program Office administers the Program under the general
guidance of the interagency Climate Program Policy Board. The Program office oversees the
implementation of a five-year plan which is prepared in cooperation with other Federal agencies,
state offices, business groups and research and academic institutions. The Program office also
prepares an annual report to the President and authorizing committees of the Congress; reviews
participating agency budget requests and submits an analysis of the requests to OMB;
coordinates interagency participation hi international climate-related and experimental climate
forecasting activities authorized by the Act; and provides financial assistance, primarily in the
form of grants to public or private educational institutions, state agencies, and other persons or
institutions qualified to conduct climate-related studies or to provide climate-related services.
National Flood Insurance Reform Act of 1994 (NFIRA)
The NFIRA established the Flood Mitigation Assistance (FMA) program. The purpose of FMA
is to plan and carry out activities designed to reduce the risk of flood damage to structures
covered under contracts for flood insurance under this title. Section 1366 of the NFIRA assigns
the FEMA Director the authority and responsibility for carrying out the program. 42 U.S.C. §
4104c. Section 1367 establishes the National Flood Mitigation Funds to fund FMA grants. 42
U.S.C. § 4104d.
The Flood Mitigation Assistance program, unlike the Stafford Act programs, are pre-disaster
programs There are three types of FMA grants. Planning grants assist states and communities in
developing flood mitigation plans. Under section 1366 of the NFIRA, a FEMA- approved Flood
Mitigation Plan (FMP) is required in order for a state or community to receive a FMA project
grant. Project grants fund eligible flood mitigation projects. FEMA encourages states to
prioritize the mitigation activities outlined in their FMPs and fund projects that will greatly
reduce or eliminate the risk of flood damage to buildings, manufactured homes, and other NFIP-
insurable structures. Mitigation of repetitively or substantially damaged structures is a high
priority. Technical assistance grants assist states in providing technical assistance to applicants
in applying for the program or in implementing approved projects.
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National Sea Grant College Program Act. 33 U.S.C. §§ 1121 et seq.
The Sea Grant Act authorizes the award of grants and contracts to initiate and support programs
at Sea Grant colleges and other institutions for research, education, and advisory services in any
field related to the conservation and development of marine resources. The Sea Grant Act also
established graduate and post-graduate fellowship programs related to ocean, coastal and Great
Lakes resources.
Through the mid-1980's, the Sea Grant Program received funding to strengthen the marine
research and development capabilities of developing nations. Budget pressures eventually
brought an end to the international program's appropriation. However, the current authorizing
legislation at 33 U.S.C. §1124a provides for the conduct of an international program, although no
funds are directly appropriated for this purpose. The current legislation is considerably broader in
scope than the original program which was limited to providing technical assistance. The Sea
Grant international program encourages and promotes international research, educational
activities and technology transfers related to ocean and coastal issues; promotes the exchange of
information and data with respect to conservation of these resources; and encourages
international collaboration with respect to marine scientific research, including activities which
improve understanding of global oceanic and atmospheric processes. Sea Grant colleges which
include projects with international components should be encouraged, as they may serve as pilot
projects for developing a new international initiative within the National Sea Grant College
Program.
National Weather Service Organic Act 15 U.S.C. §§ 313
The Organic Act provides the basic authority for all National Weather Service activities. The
Secretary of Commerce (as delegated to the Assistant Administrator for Weather Services) is
directed to forecast the weather, issue storm warnings, collect and transmit marine intelligence
for the benefit of commerce and navigation, report temperature and rainfall conditions, and take
such meteorological observations as may be necessary to establish and record the climatic
conditions of the United States. The Organic Act also provides authority for the operation of
weather satellites.
NFIRA Section 577; Evaluation of Erosion Hazards
The Upton/Jones amendment to the National Flood Insurance Act of 1968 (NFIP) was enacted
into law in 1988, and then repealed a few years later. This amendment allowed payment of flood
insurance claims to relocate or demolish buildings immediately threatened by erosion, prior to
the actual damages. In order to administer the program, accurate erosion rate data was required.
FEMA began in 1988 to acquire copies of existing erosion rate data and to a limited extent
generate new erosion rate data..
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Several proposals were made between 1990 and 1994 that would have established erosion
management authority within NFIP, but none succeeded. Instead, replacing the Upton Jones
amendment was section 577 of NFIRA, mandating an evaluation of erosion hazards. The study
shall be designed to assist Congress in determining whether the NFIP needs to revise its
treatment of structures at risk of erosion. Section 577 has these three key objectives:
1. Determine the amount of flood insurance claims that are attributable to erosion;
2. Examine the economic impact of proposals to change the NFIP by denying flood
insurance, or making flood insurance available at actuarial rates in communities
having erosion hazard areas; and
3. Examine whether the costs of mapping erosion hazard areas exceed the benefits to the
National Flood Insurance Fund.
In addition, the study shall determine whether the expenditure of insurance premiums to map
erosion hazard areas is the most cost-beneficial use of these funds to the NFIP.
Robert T. Stafford Disaster Relief and Assistance Act. 42 U.S.C. § 5121 etsegu
This Act governs almost all aspects of the federal response to natural disasters. Once a
declaration of an emergency or a disaster has occurred, various actions by federal agencies as
well as expenditures in the form of grants are authorized.
Important for mitigation are sections 404 (42 U-.S.C. § 5170c) and 409 (42 U.S.C. §5176).
Section 409 of the Stafford Act requires state and local governments to evaluate the hazards in a
disaster area and take steps to mitigate those hazards, as a condition of receiving federal disaster
assistance. The hazard mitigation plan, called a section 409 plan, is a vehicle for accomplishing
this. It recommends policies, strategies and appropriate actions to reduce future losses. It must be
submitted to FEMA for approval within 180 days of the disaster declaration. 44 C.F.R. §
206.405(d).
Section 404 authorizes Hazard Mitigation Grants to state, tribal and local governments and <.
certain private, non-profit organizations to undertake measured identified following the
evaluation of natural hazards under section 409.
FEMA has just recently determined that any county in a state in which a natural disaster has
occurred is eligible for Section 404 funding, even if that county itself was not included in the
disaster declaration. FEMA concluded that this would better fulfill the purpose of the Hazard
Mitigation Grant Program, which is to reduce the risk of future damage and hardship. 62 Fed,
Reg. 36289.
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Coastal Barrier Resources Act of 1982. as amended,(CBRA), 16 U.S.C. §§ 3501 et seq.
See Ocean Living Resources 1998 Year of the Ocean Discussion Paper.
Coastal Zone Management Act of 1972. as amended,(CZMA), 16 U.S.C. §§ 1451 et seq.
See Marine Environmental Quality 1998 Year of the Ocean Discussion Paper.
Section 309 of the CZMA, the Coastal Zone Enhancement Program, allows states to compete for
additional CZMA funds for development of enhancements to their CZM programs for, among
other things, coastal hazard mitigation.
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LIST OF ACRONYMS
AOML Atlantic Oceanographic and Meteorological Laboratory
ASRL accelerated sea-level rise
CDC Climate Diagnostics Center
CENR White House Committee on the Environment and Natural Resources
CO2 carbon dioxide
CPC Climate Prediction Center
CZM Coastal Zone Management
DOE Department of Energy
ENSO El Nino/Southern Oscillation (The term ENSO will be used to refer to both a
warm and a cold episode; El Nino will be used to specify a warm episode, and La
Nina will be used to specify a cold episode.)
ERL Environmental Research Laboratories
FCCC Framework Convention on Climate Change
FEMA Federal Emergency Management Agency
GCM General Circulation Model
GCRMN Global Coral Reef Monitoring Network
GEWEX Global Energy and Water Cycle Experiment
GFDL Geophysical Fluid Dynamics Laboratory
GOALS Global Ocean Atmosphere Land System
GOOS Global Ocean Observing System
ICM Integrated Coastal Management
IOC Intergovernmental Oceanographic Commission
IPCC Intergovernmental Panel on Climate Change
IRI International Research Institute for Climate Prediction
NAO North Atlantic Oscillation
NASA National Aeronautics and Space Administration
NCEP National Centers for Environmental Prediction
NOAA National Oceanic and Atmospheric Administration
NSF National Science Foundation
OAR (Office of) Oceanic and Atmospheric Research
PMEL Pacific Marine Environmental Laboratory
PNA Pacific-North American
SAV submerged aquatic vegetation
SCPP Seasonal-to-Interannual Climate Prediction Program
SST sea surface temperature
TAO Tropical Atmosphere Ocean
TOGA Tropical Ocean Global Atmosphere
UNEP United Nations Environmental Programme
UNESCO United Nations Educational, Scientific, and Cultural Organization
VOS Volunteer Observing Ship
WMO World Meteorlogical Organization
WOCE World Ocean Circulation Experiment
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MITIGATING THE IMPACTS OF COASTAL HAZARDS
Contents
1. INTRODUCTION H-2
2. KEY MANAGEMENT ISSUES AND STRATEGIES FOR MITIGATION.... H-5
3. STATUS OF THE RELEVANT SCIENCE AND TECHNICAL BASE H-10
4. EDUCATION, OUTREACH, AND PUBLIC INTEREST H-12
5. OPPORTUNITIES AND BARRIERS FOR MANAGING THE
IMPACTS OF COASTAL HAZARDS H-14
6. REFERENCES H-16
7. LIST OF ACRONYMS H-18
This Year of the Ocean document was prepared as a background discussion paper and does
not necessarily reflect the policies of the U.S. Government or the U.S. Government agencies that
participated in its preparation.
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INTRODUCTION
Coastal Hazards—Increasing Populations and Higher Costs
Destructive natural system events that impact coastal areas can be either episodic or
chronic. Together, these types of events define what is meant by natural coastal hazards. The
destructive potential of such events is often made much worse by the increasing amount of
development along the nation's coastline.
A variety of natural hazards regularly threaten the nation's coastal inhabitants. Severe
meteorological events such as hurricanes, tropical cyclones, and nor'casters are particularly harsh
on coastal areas, often resulting in damages from high winds, storm surge, flooding, and
shoreline erosion. Tsunamis, whose destructive force is characterized by potentially devastating
flood inundation, are uniquely coastal events resulting from offshore earthquakes, landslides, or
volcanic activity. Coastal locations are also subjected to the impacts of long-term hazards such as
chronic coastal erosion, potential sea-level rise, and global climate change. Other hazards
impacting coastal areas include biological events such as red tides and harmful algal blooms.
Coastal hazard events can significantly affect or even alter the natural environment, but
their impacts are generally not considered to be "disastrous" unless they involve damages to
human populations and infrastructure. Many of the coastal ecosystems that are particularly
fragile and sensitive to the cumulative impacts of human development are also naturally fluid and
generally capable of adapting to hazard impacts over time. When people and property are not
present, hazards are merely natural processes that alter the environment as they have throughout
the earth's history. When people and property are present, however, the impacts of hazards on
the developed and natural environments are viewed quite differently. The primary focus no
longer is on the natural processes associated with a major hazard event, but instead on the
disastrous results that can be measured by lives lost, property damages, and economic and
environmental impacts. Hazard impacts on the natural environment become more devastating
because human development has altered the ability of natural systems to recover from such
events. Natural hazard events can also spawn secondary hazards such as sewage releases or
hazardous materials spills that are particularly damaging to coastal environments.
The impacts of natural hazards are becoming increasingly costly and devastating. Experts
believe that the statistics on disaster losses continue to rise worldwide due to a combination of
factors that include a rise in the number of hazard events due to global climate change or natural
cyclical trends, and an increase in human exposure in hazardous locations. Some of the increase
in disaster damages worldwide could also be the result of improvements in disaster monitoring
and reporting capabilities, particularly in developing countries. Worldwide, all three factors may
come into play, but disaster loss increases in the United States seem to be most closely tied to
increased human exposure in high risk areas such as the nation's coasts.
Growth trends in coastal areas have the obvious consequences of increasing human
exposure to natural hazards. The . United States has an expansive and diverse coastline that
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supports a disproportionate percentage of the nation's population. The nation's 451 coastal
counties contain just over 50 percent of the U.S. population, yet only account for about 20
percent of the total U.S. land area. During the last decade, 17 of the 20 fastest growing counties
were located along the coast. In addition, 19 of the 20 most densely populated counties in the
nation are coastal counties, as are 16 of the 20 counties with the largest number of new housing
units under construction.
Coastal locations were some of the first settled in this country, and have always
accounted for a major percentage of the overall U.S. population. Their role as primary centers for
transportation, tourism, recreation, commercial fishing, and other industry has ensured that
coastal areas remain a crucial segment of the nation's overall economy. In the past, larger coastal
populations were generally centered in the major port cities. Natural hazards affecting these cities
were sometimes devastating, but there were fewer locations to potentially be affected. As coastal
populations have increased, cities have become larger and more numerous. With the growth of
coastal tourism, it is no longer necessary to rely exclusively on ports and industry to fuel
economic growth in even the most remote coastal areas. There are now many more coastal
locations with significant populations and property resources exposed to potentially devastating
impacts from natural hazards.
Disaster losses in the United States are currently estimated conservatively at $50 billion
annually. Losses in 1970 were estimated at approximately $4.5 billion annually. These figures
only account for direct costs. They do riot include indirect losses such as short and long-term
economic and social impacts that many experts believe could more than double these cited
figures. Of the estimated $500 billion in disaster losses between 1975 and 1994, 80 percent were
imposed by meteorological events and 10 percent were the result of earthquakes and volcanoes.
About 17 percent ($85 billion) of the estimated losses were insured. Since 1989, approximately
$20 billion in losses have been paid by the federal government in presidentially declared
disasters. It is interesting to note that while losses from major catastrophic events are rising, the
majority of hazards-related damages result from smaller events that do not qualify for federal .
assistance and which are not insured, leaving victims primarily responsible for the costs.
The turning point in focusing national attention on disaster losses began with Hurricane
Hugo and the Loma Prieta earthquake in 1989 and has been followed in rapid succession by
major catastrophic events including Hurricanes Andrew and Iniki in 1992, the Midwest floods in
1993, and the Northridge earthquake in 1994. In recent years, several hurricanes including
Hurricanes Opal, Marilyn, and Fran have significantly impacted the Southeast, Gulf, and
Caribbean coasts, while the Pacific Islands and the West Coast have been pounded by Typhoons
Omar and Paka and numerous El Nino-induced events. Destructive and costly ongoing flooding
and erosion along the Great Lakes coast associated with higher than average lake levels and
coastal storms has also occurred. The impacts from all of these large-scale events are having a
profound effect on public policy and perceptions concerning hazards.
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Reducing Disaster Losses through Hazard Mitigation
Given the significant costs of the nation's catastrophic natural disasters, focus has shifted
in recent years to expand beyond emergency preparedness and response to include a more long-
term emphasis on disaster loss reduction. Hazard mitigation is the term used to describe activities
that minimize either an individual's or a community's vulnerability to future disaster damages.
Mitigation is often characterized as either structural (e.g., strengthening buildings or constructing
protective devices) or non-structural (e.g., land use planning or incentive-based insurance rates).
In a broader context, however, loss reduction or hazard mitigation can more accurately be
described as a long-range goal or objective with many potential strategies for accomplishment.
Hazard mitigation is defined by the Federal Emergency Management Agency (FEMA) as
"actions taken to reduce or eliminate long-term risk to people and property from hazards and
their effects." The primary goals for mitigation include ensuring that fewer Americans become
victims of disaster, reducing the costs associated with disaster, and shifting the burden of disaster
costs from the public to those who choose to live in hazardous locations. In 1995, FEMA
developed the National Mitigation Strategy to encourage partnerships between the public and
private sectors with the specific goal of significantly reducing the impacts of natural hazards by
the year 2010. In 1996, the President's National Science and Technology Council Committee on
the Environment and Natural Resources developed the Natural Disaster Reduction Plan for the
nation to complement FEMA's National Mitigation Strategy.
Concurrent with FEMA's aggressive stance on hazard mitigation, many federal agencies
with hazards responsibilities, such as the National Oceanic and Atmospheric Administration
(NOAA), U.S. Geological Survey (USGS), Department of Defense (DoD), and U.S. Coast Guard
(USCG) also have programs and initiatives utilizing their own hazards information, scientific and
technological capabilities, and resources to support a variety of hazards loss reduction activities.
Throughout the marine community and in coastal regions, the USCG works to spread the
mitigation message for any impending coastal hazard. In many cases this includes direct personal
contacts to ensure adequate actions are underway to secure port areas, or conducting harbor
patrols to identify resources at risk and recommend specific mitigation measures as appropriate.
The USCG, along with numerous federal agencies including the DoD and the Department of
Housing and Urban Development, also participate in national response efforts for major disasters
and contribute to national disaster planning activities.
The USGS, through the Coastal Marine Geology Program, conducts scientific research in
the nation's coastal zone and in adjoining continental shelf regions. The broad goal is to collect
information that will improve the understanding of geologic hazards, environmental conditions,
biologic habitats, earth science processes, and energy and mineral resources. Such information in
turn can help managers make informed decisions about wise use and protection of coastal and
marine resources.
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One of the most important details concerning hazard mitigation is that the vast majority
of disaster reduction activities must be implemented at the local level. Most of the techniques
that can reduce natural hazard vulnerability involve specific actions that can only be carried out
by individuals or local communities. One of the key challenges facing national-level mitigation
efforts is making the information useful at the local level while recognizing the vast differences
in local conditions, both physical and political.
KEY MANAGEMENT ISSUES AND STRATEGIES
Disaster management has been described in the past as a cycle, divided into four major
categories, including preparedness, response, recovery, and mitigation. While these categories
provide a good framework for discussing different aspects of emergency management, it is
somewhat misleading to discuss hazard mitigation as a separate, distinct "phase" of disaster
management.
Hazard mitigation has been described as a primary goal or objective to reduce future
disaster vulnerability. This goal can be achieved through various strategies implemented
throughout the preparedness, response, and recovery phases of disaster management. Common
elements required to successfully integrate mitigation into all phases of emergency management
include developing a better understanding of the various hazards and their potential impacts, and
identifying options and opportunities within each phase to accomplish loss reduction objectives.
Improvements in these areas will require a comprehensive multi-disciplinary approach to disaster
management involving various degrees of research, science, technical resources, and education,
as well as public policy development and implementation.
Mitigation Through Better Predictions, Forecasts, and Warnings
Over the years, progress has been made in reducing hazard impacts through better
predictions, forecasts, and warnings, particularly for meteorological hazards such as coastal
storms and floods. General improvements in hurricane and tsunami prediction, and river and lake
level forecasting, have been possible using the latest in computer modeling technology. NOAA's
National Weather Service (NWS) is currently working with several new technological systems
that are intended to significantly improve future flood forecasting capabilities. The NWS is
pursuing improvements to flood warning systems that utilize two-way communication
capabilities and provide real-time information to residents in flood prone areas. The USGS is
also pursuing the use of new data collection and mapping technologies to provide near real-time
information on storm events.
While research and technological advances have resulted in improvements in prediction
and forecasting capabilities, there continues to be a need for advancements that could further
mitigate disaster-related expenditures. Better and more accurate hurricane landfall predictions
could save millions of dollars in evacuation costs, while longer range flood forecasting could
result in longer lead times necessary to undertake adequate property protection and mitigation
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measures. There is also a need for a comprehensive and coordinated national strategy for hazard
warnings. Current warning practices are highly fragmented among different agencies and are
usually hazard specific, requiring the public to rely on multiple information sources in addressing
different types of hazards. A more coordinated national strategy could help minimize public
confusion and maximize the use of limited public resources.
Broadened Emergency Preparedness And Response
Progress has also been made in reducing hazard impacts through better emergency
preparedness and response activities, The vast majority of people dealing with disasters at the
state and local level are emergency response personnel such as fire, police, and medical staff,
along with disaster managers and planners who devote the bulk of their efforts to disaster
preparedness and response activities. FEMA provides funding to help state and local
governments maintain emergency preparedness programs and participate in activities such as
developing disaster plans, conducting disaster drills, and implementing public education and
awareness campaigns.
A key opportunity exists to incorporate hazard mitigation concepts into the disaster
preparedness and response phases of emergency management. The primary focus of emergency
management has previously been on how to prepare and respond to disaster events, not on how
to manage the hazards that can sometimes cause disasters. A shift in emphasis from "disaster" or
"emergency" management to "hazards" management could help to ensure that planning activities
are broadened to address the hazards that always face communities rather than just the disasters
that sometimes strike them. Many of the challenges that need to be overcome in implementing
local hazard mitigation stem from the fact that hazards receive little attention until there is a
disaster.
Preplanning for Opportunities during Recovery and Reconstruction
In the past, the implementation of hazard mitigation activities has been closely linked to
the post-disaster recovery and reconstruction phase of emergency management. Not only are
hazard vulnerabilities in a post-disaster situation more obvious from the damages incurred, but
the opportunity exists to rebuild in ways that should make them less vulnerable in the future.
Another major factor in encouraging post-disaster hazard mitigation is the availability of money
to help support such initiatives. FEMA's Hazard Mitigation Grant Program (HMGP) sets aside a
percentage of disaster damage reimbursements to fund these types of projects.
Every major disaster brings new experiences and lessons about recovery and
reconstruction processes. A major challenge in addressing these lessons from a national
perspective is that most of the responsibility for setting and implementing reconstruction policies
lies at the local level. While information gained from other experiences could help guide some
local decisions, the recovery process is very localized—a function of specific local conditions
including the nature and severity of the disaster, local political circumstances, and the degree to
which reconstruction planning has already taken place.
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One important aspect of using the recovery and reconstruction processes to accomplish
hazard mitigation goals is how well prepared a community is to implement them at the time the
disaster strikes. There are too many demands on a community to logically and systematically
establish a hazard mitigation strategy and implement mitigation activities in the immediate
aftermath of a disaster. It is critical that communities consider and plan these strategies and
opportunities in their emergency planning processes.
There is currently no national policy on pre-event planning for post-disaster recovery and
reconstruction. FEMA's guidelines on hazard mitigation planning encourage pre-event planning
but are tied to HMGP requirements that become effective only in post-disaster situations. Most
hazard mitigation plans, especially local plans, are developed after major disasters, usually many
months or even years into the recovery and reconstruction processes. Many of the most important
opportunities for reducing future hazard vulnerability are lost in the early recovery process when
communities rush to return to normal activities.
There are difficult practical considerations associated with implementing hazard
mitigation policies and initiatives in a post-disaster environment. These considerations need to be
examined and weighed carefully in the planning process. Difficult political choices such as
enforcing restrictions or prohibitions on rebuilding or requiring new (and possibly more
expensive) construction standards for rebuilding, are often needed to implement post-event
hazard mitigation policies. The pressures to return things to normal as quickly and inexpensively
as possible are driven by the devastation to a community's disaster victims. Often, the adoption
of new policies and restrictions on redevelopment is not advisable or even possible in a post-
disaster environment. They often stand a better chance of adoption either in a pre-event hazards
planning phase or far enough into the recovery process that they will only apply to victims of the
next disaster. The implementation of these policies after a disaster is often politically difficult
enough; trying to develop and adopt them in the chaos that follows a disaster is usually
impractical.
A major impediment to accomplishing loss reduction goals in the recovery and
reconstruction processes, is the lack of a coordinated federal policy concerning the use of various
types of federal disaster assistance. Numerous federal agencies are involved in providing post-
disaster recovery assistance to victims. Often this assistance is used to fund projects and
activities that are inconsistent with local mitigation goals and objectives, and sometimes
inconsistent with other federal programs.
Coordinating Federal Policies on Hazard Mitigation
Some significant progress has been made toward encouraging mitigation efforts that are
not exclusively associated with the "emergency" nature of hazards. These efforts are directed at
ensuring a more long-term approach to dealing with risks and identifying strategies to minimize
hazard exposure and potential losses. FEMA's National Mitigation Strategy sets the stage by
establishing two primary goals for hazard mitigation by the year 2010:
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(1) To substantially increase public awareness of natural hazard risk so that the public
demands safer communities in which to live and work
(2) To significantly reduce the risk of loss of life, injuries, economic costs, and
destruction of natural and cultural resources that result from natural hazards
The strategy involves strengthening public and private partnerships and creating
partnerships where none exist for building safer communities. The strategy sets forth a series of
objectives by which to measure the nation's success in achieving the hazard mitigation goals and
identifies the following five major focus areas: (1) hazard identification and risk assessment; (2)
applied research and technology transfer; (3) public awareness, training, and education; (4)
incentives and resources; and (5) leadership and coordination.
To create a link between the concepts behind the National Mitigation Strategy and the
implementation of hazard mitigation initiatives at the local level, FEMA has initiated a program
called "Project Impact." This is intended to help communities protect their residents,
organizations, businesses, infrastructure, and the stability and growth of the local economy as
much as possible against the impacts of natural disasters before they happen.
There are a number of additional initiatives and activities at the federal, state, and local
levels that support long term hazard mitigation. Many states have started state-wide campaigns to
encourage hazards loss reduction activities ranging from land use planning and regulations to
improved building codes and engineering standards. In addition, many coastal states participating
hi NOAA's Coastal Zone Management Program incorporate hazard mitigation activities into
their state and local planning processes.
Strengthening The Built Environment
One of the most cost effective measures for mitigating disaster damages is to design and
construct hazard resistant structures. Most coastal states have adopted statewide building codes
that incorporate some type of hazard resistant construction standards. A few coastal communities
have even adopted more stringent standards than the state codes to ensure that new construction
can withstand certain hazards. While it is impossible to construct facilities that will endure all
intensities and types of natural hazards, it is possible to cost-effectively mitigate against a
community's primary hazard threats.
The adoption and enforcement of building codes that address high risk hazard threats can
ensure that structures are built to resist the impacts of natural disasters. Since most building
codes only apply to new or substantially improved structures, the public and private sector can
also encourage residents to retrofit existing structures for hazard resistance through other means.
For example, the use of financial incentives such as reduced taxes or insurance premiums, by the
public and private sectors can help to encourage hazard resistant retrofitting in existing
structures.
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The National Flood Insurance Program (NFIP), administered by FEMA, has played a
critical role in mitigating damages due to coastal flooding. The NFIP provides federally backed
flood insurance in communities that agree to adopt and enforce fioodplain management measures
to reduce future flood damages. FEMA has identified flood hazard areas, including coastal high
hazard areas that are subject to wave forces. Buildings constructed to NFIP minimum standards
on the average perform significantly better in coastal floods and have fewer insurance claims
than buildings that pre-date those requirements. Even though NFIP standards and technical
guidance have resulted in fundamental changes in how coastal buildings are designed and
constructed, reducing the extent of damages to individual structures, overall damages may
continue to rise due to the increased value and density of development in high hazard areas.
In addition to strengthening the structural integrity of facilities, there are also important
mitigation tools for the non-structural elements of buildings, utility systems, and transportation
systems. Simple retrofits such as securing light fixtures to ceilings, installing wind shutters,
strapping or bolting mechanical systems to walls, and numerous other techniques can prevent
injuries and minimize damages and business interruptions. On a larger scale, public infrastructure
such as utility systems, roads and bridges, and drainage structures can be designed, built, or
retrofitted for hazard resistance.
The Role of Land Use Planning
The process of establishing and implementing state and community comprehensive
development and land use plans provides significant opportunities to mitigate damages caused by
natural hazards. Since location is a key factor in determining the risks associated with natural
hazards, land use plans%are a valuable tool in that they can designate low-risk uses for areas that
are most vulnerable to natural hazards impacts.
Land use planning has long been recognized as an effective method for mitigating the
impacts of natural hazards. As more information becomes available to local communities about
the nature of the hazards they face, it is possible to integrate more detailed hazards data into
ongoing planning and decision-making processes. Technology improvements such as the use of
Geographic Information Systems in local planning allow numerous factors, including hazards, to
be considered in making land use decisions. Even though more information is now available,
numerous obstacles remain to implementing policies to prohibit, restrict, or even discourage
development and redevelopment in high hazard areas. Many of these obstacles are political,
relating to the ongoing debates about the rights of individual property owners versus the rights of
government to restrict the use of private property. Even more basic, however, is the difficulty
often faced in raising the priority of hazard considerations in the routine planning process.
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STATUS OF THE RELEVANT SCIENCE AND TECHNICAL BASE
Scientific Understanding of Hazards
The previous discussion of key issues and strategies provides a general overview of the
management topics associated with efforts to minimize the impacts of natural coastal hazards. To
improve these management strategies and make additional progress in all phases of disaster and
hazards management, it is necessary to acknowledge the scientific and technological information
needs throughout the various hazards-related disciplines. Significant progress has been made in
the research and science associated with natural hazards during the past 20 years, and
improvements in technology and understanding about hazards and how to mitigate them continue
to expand our opportunities to reduce their impacts.
Many improvements in coastal hazards management are rooted in a better scientific
understanding of how the hazards affect the earth, both in natural and developed areas.
Universities and research institutions (particularly the National Science Foundation), along with
government agencies such as NOAA and USGS that maintain scientific hazards-related
responsibilities, have contributed to advances in the scientific study of natural hazards. There is
now more quantitative information available about the origins and behavior of hazard events that
can be used for purposes of hazard mitigation.
Hazards Risk and Vulnerability Assessment
A major area encompassing new research and technical needs is that of hazards risk and
vulnerability assessment. Maps delineating hazard-prone areas at national, state, and local levels
are needed to provide a more comprehensive hazards assessment using information on a variety
of natural phenomena, including coastal storms, floods, earthquakes, tsunamis, landslides,
wildfires, and drought. Much of this information already exists, but issues such as data
integration, compatibility, scales, accuracy, and resolution need to be addressed to make the
information useful at the local level. Better methodologies and models are also needed for
conducting hazard vulnerability assessments that can incorporate highly variable local conditions
and characteristics.
Hazard risk models in use today usually include data on many risk variables and can
begin to provide estimates on projected disaster losses and other impacts using pre-determined
scenarios. FBMA's Hazards U.S. (HAZUS) model, designed to estimate disaster losses from
earthquakes, is a valuable tool for this type of analysis. HAZUS is currently being updated to
model the effects of wind and flood damages.
Ideally, risk and vulnerability models of the future will provide interactive scenarios for
determining hazard vulnerabilities based on estimated population growth and other "what if
criteria such as land use changes or building code changes. Other advances needed in risk and
vulnerability assessment include the ability to identify potential social, economic, and
environmental losses. Better hazard assessment tools should improve research capabilities for
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determining the effectiveness of existing and proposed hazard management and land use policies.
In addition to meeting the needs of the research and scientific communities, hazard risk models
and decision support tools should also be developed for use by local governments and decision
makers..
On the national scale, the applicability of new technologies should be explored for cost-
effective methods of assessing hazards vulnerability and measuring hazards impacts. National
baseline data need to be established for use in collecting and quantifying disaster impacts.
Computer-based geographic information systems should be used to analyze hazards information
and provide national risk assessment data to state and local governments in a quick and easy
manner. New high-resolution remote sensing capabilities should be examined for use in large-
scale risk and vulnerability assessment projects.
Hazards Prediction and Modeling
Technical capabilities to predict events have improved for some hazards, and made only
modest gains for others. Improvements in monitoring, data collection, and data processing
account for most of the advancements made in short-term weather-related forecasting. Better
modeling capabilities, along with a more thorough understanding of variables, such as global
climate change and sea-level rise, are needed to improve long-range forecasting and planning for
coastal hazard impacts. More information is also needed about the interactions between hazard
events such as rising water levels in the Great Lakes, and ongoing coastal processes, such as
erosion, to predict future hazard impacts.
Hazard Impacts and Losses
Significant progress has been made in understanding the various impacts that hazards
produce on human and natural environments. Numerous research activities have been undertaken
following the major hazard events of the past few years. These research activities focus on a wide
range of impacts including those on developed and natural environments, as well as the effects of
disasters on the social and economic systems of impacted communities. Unfortunately, much of
this research is piecemeal and has not been incorporated into any type of comprehensive database
on disaster losses.
Detailed information on disaster losses and their associated costs is needed to serve as a
baseline for evaluating the effectiveness of mitigation measures. Other advancements needed for
evaluating hazard mitigation options include better engineering information about the
effectiveness of structural techniques such as flood or wind proofing, and better sociological
information about the effectiveness of the various incentives available to encourage mitigation
activities.
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EDUCATION, OUTREACH, AND PUBLIC INTEREST
Links between Hazard Threats and Protective Behavior
Public interest and education are the most critical elements for succeeding in the overall
goal to reduce the impacts of coastal hazards. Unfortunately, there are many complex issues
involved in public perceptions about hazards, risks, and disasters. It is important to understand
how the public perceives and responds to these topics. Research findings suggest that the links
between perceived risk and behavior are particularly complicated. While it is the hazard itself
that people respond to in an emergency situation, it is only the risk of the hazard that influences
(or does not influence) behavior prior to an event. This is an important distinction in
understanding public responses to hazards. While the impacts of actual hazard events or disasters
leave the affected public reacting to nature's destructive forces, the threat of a hazard event
causes the broader population to struggle with convoluted concepts of risk, probability, and
possible consequences.
The issue can become even more complex depending on the "time horizon" for which
people are expected to calculate risks. Even when faced with the threat of an actual storm event,
people are often reluctant to heed warnings and protect themselves and their property. There have
been many research projects dedicated specifically to studying influences on behavior in a pre-
storm environment. These projects evaluate the factors influencing people's decisions to
evacuate high risk areas, seek shelter, and take damage precautions for their property. Given the
difficulty in convincing the general public of the risks associated with a near term threat, it is not
surprising that long term hazard risks are often insignificant factors in individual decision
making processes.
Public Concern for Rising Costs
The public is genuinely concerned about the costs of major hazard events in terms of
deaths and property damages. Disaster costs are skyrocketing, resulting in heightened public
awareness. The public's concern about risk on an individual basis, however, is less certain. For
example, studies have found that information about the potential for hazards such as earthquakes,
coastal erosion, and flooding has little effect on the home selection of buyers. Other
considerations such as price, location, size, and amenities are found to be overwhelmingly more
important in their decision process. This evidence suggests that concerns about hazard risks at
the individual level do not significantly influence the public's choices or behavior. As a result,
demand for coastal growth and development is probably not the consequence of indifference to
disaster costs, but more likely the outcome of the public's willingness to assume individual risks,
even though the cumulative impacts can be catastrophic.
As population increases in coastal areas and more residents are subjected to the risks of
coastal hazards, the link between information and awareness remains an important one. "It is not
uncommon to hear people living in a hazardous place—especially if that place is a large urban
area—declare that they are free of risk in their location. In urban areas, where there is a greater
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mobility of population and less direct contact with the environment, the occupant of hazardous
terrain may be less informed." (Burton, et al., 1993) The uninformed public is certain to be at a
disadvantage in preparing for and responding to hazard threats.
Hazard Experience and Individual Behavior
Another misconception about public perception of hazard risks involves the link between
hazard experience and behavior. A number of research studies indicate that prior hazards
experience does not necessarily lead to subsequent preventative action. In fact, several studies
have concluded that people without any hurricane experience tend to prepare and evacuate earlier
than those who have experienced it before, suggesting that "threshold" levels are higher for
experienced coastal residents. (Sims and Baumann, 1983). Education and outreach, therefore,
must be continuous and ongoing efforts to convince a diverse public of their risks to the impacts
of hazards.
Multi-Faceted Public Education Process
The complexity of these issues suggests that a general "blanket approach" to hazards
education and public policy will not be very effective. The reality is that people perceive hazard
risks differently from one another and often perceive their own risks differently depending on the
location and the situation. Different educational approaches need to be tailored to fit the
appropriate audiences. Since hazard mitigation can include many different strategies such as
improving emergency preparedness, strengthening the built environment, avoiding development
in hazardous locations, and acquiring adequate insurance coverage, public education
opportunities exist in many different disciplines. The challenge is for those disciplines to come
together in promoting a clear and concise hazard mitigation message to the public.
Many organizations in the public and private sectors are involved in hazard mitigation
education and outreach activities. FEMA, along with their state and local emergency
management partners have ongoing public education campaigns directed at the general public.
FEMA's National Flood Insurance Program also includes a major public information campaign.
Other federal agencies such as NOAA and USGS also include hazards-related educational and
outreach efforts that increasingly incorporate a hazard mitigation focus. Numerous state-level
coastal zone management and Sea Grant organizations are developing statewide programs to
promote hazard awareness and mitigation activities. Organizations like the American Red Cross
and the Institute for Business and Home Safety are dynamic leaders in national hazard mitigation
initiatives that promote public-private partnerships and education. The private sector is also
becoming increasingly active in promoting hazard awareness and mitigation through programs
such as the Disaster Recovery Business Alliance. Insurance companies and financial institutions
are also playing a larger role in educating the public and encouraging disaster loss reduction
through mitigation.
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OPPORTUNITIES AND BARRIERS FOR MANAGING
THE IMPACTS OF COASTAL HAZARDS
A shift in focus from the traditional disaster planning and management approach to a
more comprehensive hazards management strategy will require a long-range, coordinated effort
involving numerous public and private sector partners. There is a great deal of attention focused
on hazards due to several consecutive years of catastrophic events. El Nino has also played a
major role in focusing the nation's attention on natural hazards. Now is an appropriate time to
identify and evaluate the full range of opportunities for reducing future disaster impacts. Some of
the highest priority hazards issues are identified below and described in terms of a few key
barriers and opportunities for improvement:
Scientific understanding of coastal environments. A key element in reducing disaster impacts
is to develop a more thorough scientific understanding of the natural and physical environments
that are at risk. The opportunity exists to establish baseline information about the physical
features and characteristics of the coast and identify the geologic factors that make certain coastal
locations particularly vulnerable to hazard impacts. One of the primary obstacles to this effort is
the lack of relevant data on a scale that can be useful in local hazards management.
Risk assessment. The increased emphasis on hazard mitigation at the local level led by FEMA's
National Mitigation Strategy and its Project Impact initiative has expanded the interest and desire
of many local governments to identify their hazards and conduct risk and vulnerability
assessments. This interest presents an opportunity to develop sound risk assessment
methodologies for use at the local level. The most significant obstacles to overcome in this area
include the limitations of existing data and information, and the expense associated with
developing high accuracy local hazards data. Some of the issues that need to be resolved include
data availability, resolution, scale, accuracy, and cost. If risk assessments are too general, hazards
data may not be incorporated into existing decision support systems at the local level.
Prediction, forecasts, and warnings. While varying degrees of progress have been reported in
enhancing prediction and warning capabilities for the different natural hazards, certain research
aspects of the field have flourished over the last several years. There is an abundance of social
and behavioral research dedicated to studying individual responses to hazard predictions and
warnings. This body of research provides opportunities for improving warning systems based on
the human perceptions of disasters. There is a recognized need for a strategy that addresses the
behavioral research findings, and strives to achieve some level of consistency and continuity
concerning warnings for the various hazards that threaten communities. The most significant
obstacle to implementing improvements in warning systems is the lack of a consistent national
policy or strategy on warnings. Another challenge in the area of forecasts and warnings is
expanding lead times enough to meet the increasing demands caused by growth in high risk
locations.
Disaster preparedness and response. This is probably the most developed area of emergency
management, complete with plans, exercises, training, and public education programs established
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at the various levels of government. In recent years, even the private sector has become active in
disaster response planning. Based on the advanced level of program development and the
presence of an established multi-disciplinary network, this field offers many potential
opportunities to emphasize disaster reduction strategies and identify mitigation opportunities.
The challenges to such efforts could include a general resistance to change in established
programs, particularly at the local level where resources are scarce and personnel have little, if
any, training to support such a focus.
Education. Opportunities to improve hazard mitigation through education are plentiful. Because
numerous government and non-government organizations (such as the American Red Cross and
Institute for Business and Home Safety) are focusing on disaster loss reduction initiatives, there
are multiple networks and resources available for delivering hazard mitigation messages to
school age children and the general public. One of the barriers, however, is the lack of a simple,
clear, and meaningful message to relay. The concepts and terms associated with hazard
mitigation need to be simplified and put into a concrete, recognizable frame of reference for a
mass public audience. Many hazards practitioners describe a goal to influence public behavior
through awareness campaigns as similar to those used for seat belts and recycling. To achieve
such a goal will require well planned and thoroughly researched long range strategies.
Disaster Losses. There is now a recognizable need to improve the methods for collecting,
reporting, and maintaining databases on the losses association with natural hazards. Several
recent and ongoing studies are focusing on specific measures to improve these methods and more
fully account for the short and long range impacts of natural hazards. One of the primary
obstacles to implementing a more complete disaster loss database, is the government's
fragmented approach to hazards information. Different agencies and organizations have
responsibility for different types of hazards data. Often the data is anecdotal, collected for a
specific case study or event, and not part of a larger, ongoing data collection effort. Categories of
losses are generally not consistent from one agency to another, and when disaster loss totals for a
single event are compared between agencies, they are rarely even close to the same figure. These
inconsistencies create huge gaps in accountability and do not provide an adequate baseline for
measuring progress for hazard mitigation.
Post-Disaster Recovery and Reconstruction. Many lessons have been learned from the recent
catastrophic events concerning the use of hazard mitigation in the recovery and reconstruction
process. Affected local communities can share these experiences concerning what works and
what does not in a post-disaster environment. One of the things that has clearly been
demonstrated in recent events is the need to prepare reconstruction plans before a disaster strikes.
Most communities do not engage in recovery and reconstruction planning, leaving important
hazard mitigation opportunities unrealized.
Engineering and Structural Mitigation. As increased attention has been focused on reducing
disaster losses, significant research has focused on engineering and structural methods for
strengthening the built environment. Much more information is available about construction and
building techniques for withstanding the various forces of nature. While some progress has been
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made in the construction and retrofit of more disaster resistant structures, one of the main barriers
to progress continues to be a lack of incentives to encourage such measures.
Land Use Planning and Policies. Land use planning has long been recognized as an effective
method for mitigating the impacts of natural hazards. As more information becomes available to
local communities about the nature of the hazards they face, it is possible to integrate more
detailed hazards data into ongoing planning and decision-making processes. Technology
improvements such as the use of Geographic Information Systems in local planning allow
numerous factors, including hazards, to be considered in making land use decisions. Even though
more information is available, there remains numerous obstacles in implementing policies to
prohibit, restrict, or even discourage development and redevelopment in high hazard areas. Many
of these'obstacles are political, relating to the ongoing debates about the rights of individual
property owners versus the rights of government to restrict the use of private property. Even
more basic, however, is the difficulty often faced in raising the priority of hazard considerations
in the routine planning process.
REFERENCES
Burton, Ian, Kates, Robert W., White, Gilbert F. 1993. The Environment as Hazard. New York :
Guilford Press.
Culliton, T.J., C.M. Blackwell, D.G. Remer, T.R. Goodspeed, M.A. Warren, and J. J.
McDonough III. 1990. "50 Years of Population Change along the Nation's Coasts, 1960-2010"
Coastal Trends Series, Report No. 2.
Federal Emergency Management Agency (FEMA), 1997. A Reference Library - Fact Sheet,®
FEMA web site. (http://www.fema.gov/fema/factlO.html) September 22, 1997.
Federal Emergency Management Agency (FEMA), 1995. "National Hazard Mitigation Strategy:
Partnerships for Building Safer Communities."
Godschalk et al., 1989. Catastrophic Coastal Storms: Hazard Mitigation and Development
Management. Durham: Duke University Press.
Katuna, Michael P., Robert B. Blythe, Michael E. Moeller, and Bryan P. Williams, 1995. "Final
Report:' Study of Shoreline Migration Rates and Sediment Budgets for Seabrook, Kiawah, and
Folly Islands, South Carolina." Pages 2-3. University of Charleston. Submitted to the Minerals
Management Service, Office of International Activities and Mineral Resources, Herndon, VA
National Research Council, 1990. Managing Coastal Erosion, National Academy Press,
Washington, D.C.
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Oregon Sea Grant, 1994. "Improving Natural Hazards Management on the Oregon Coast:
Recommendations of the Coastal Natural Hazards Policy Working Group." Oregon State
University, Corvallis, Oregon. ORESU-T-94-002. Page 11.
Pielke, 1997. Homepage for Roger Pielke, Jr. web site. National Center for Atmospheric
Research, Boulder, Colorado (http://www.dir.ucar.edu/esig/HP_roger.html).
Sims, John H. ; Baumann, Duane D. "Educational Programs and Human Response to Natural
Hazards," Environment and Behavior. 1983; 15, (2) 165-189
South Carolina Sea Grant Consortium, 1997. "Taking Steps to Protect Your Home," Coastal
Heritage, Volume 12, Number 1. Charleston, SC.
U.S. Geological Survey (USGS), 1997. "Information Bank, U.S. Geological Survey, Coastal and
Marine Geology, Western Region." web site, (url:
http://walrus.wr.usgs.gov/docs/infobank/fielddata/infohome.html) September 18, 1997.
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LIST OF ACRONYMS
DoD Department of Defense
FEMA Federal Emergency Management Agency
GIS Geographic Information Systems
HMGP Hazard Mitigation Grant Program
NOAA National Oceanic and Atmospheric Administration
NFIP National Flood Insurance Program
NWS National Weather Service
USCG U.S. Coast Guard
USGS U.S. Geological Survey
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OPPORTUNITIES AND CHALLENGES FOR MARINE SCIENCE,
TECHNOLOGY, AND RESEARCH
Contents
1. PREFACE
2. INTRODUCTION '„"[
3. BACKGROUND '".""".
4. A CALL TO ACTION ~'.""1
5. OPPORTUNITIES FOR THE YEAR OF THE OCEAN AND BEYOND
6. EDUCATION AND COMMUNICATION
7. THE PARTNERSHIP PROGRAM AND U.S. OCEANS POLICY
8. CONCLUSIONS
9. REFERENCES ZI'ZZ"
10. LIST OF ACRONYMS
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This Year of the Ocean document was prepared as a background discussion paper and does not
necessarily reflect the policies of the U.S. Government or the U.S. Government agencies that
participated in its preparation.
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PREFACE
Last year, a farmer in South Dakota lost his crop because of unpredictable, adverse
weather. Consequently, he is very worried about weather patterns and their potential to adversely
effect his soybean crop for the next season. Yet, he is unaware that the accuracy of long-term
weather forecasts can improve dramatically via the implementation of models which look at how
the ocean and atmosphere interact on a seasonal basis. The ocean sciences community is on the
verge of giving this farmer a powerful set of new tools, and allowing him to plan more
effectively.
An investment firm determines that coastal resort development is a sector for venture
capital expenditure, but it needs a good risk assessment regarding the long-term prognosis for
coastal environmental conditions. The firm seeks expertise to advise it on such issues as natural
coastal hazards, and possibly anthropogenically induced processes including red tide blooms.
The ocean sciences community knows how to better satisfy this firm's needs.
The U.S. Navy determines that rapid deployment offerees, in support of a policy of
strong forward presence, requires unproved understanding of certain oceanographic processes,
especially in specific coastal regions. The skills required for acquiring the necessary data are held
by scientists in the academic and industrial community. The Navy needs a way of getting these
scientists to work intensively with the Naval oceanographers for several months at the Navy
facility. The ocean sciences community can facilitate that collaboration through the National
Oceanographic Partnership Program, a promising new coordinating mechanism that brings
together scientists, educators, and research program managers from all sectors of the federal
government., the states, academia, and industry.
Knowing how oceans can excite young people, a high school teacher in Washington State
determines that her students could understand more about science and the interaction of physics,
chemistry, biology, and geology by studying the nature of the ocean off their coast, but she is
unsure how to get the materials and knowledge she needs to teach the course. The ocean sciences
community can help her.
These illustrative situations involving quality of life, economic development, national
security, and scientific literacy are real. Their solutions are of considerable consequence to the
people of the world. For indeed, maintaining the food reserves, assuring economic viability of
the globe's greatest natural resources, sustaining a peaceful international political environment,
and providing exciting new opportunities to help achieve national science and mathematical
educational objectives, are paramount goals. This report clarifies the role of ocean sciences in all
of these objectives.
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Whether from the perspective of national security or quality of life, one can argue that the
advanced understanding of the ocean existent in the United States has been central to the nation's
stature as a world leader throughout most of this century. With history as a guide, the ocean
sciences community can comfortably extrapolate that a continuing position of leadership in
understanding the ocean can facilitate a position of continuing global leadership in a much more
competitive future world, provided that appropriate investment levels are maintained.
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INTRODUCTION
The history of leadership by the United States in the world community is deeply entwined
with the leadership role it has had hi understanding the factors controlling the environment. The
environment is where people live and work, and is the source from which resources come to
create human habitats and economies. The environment is controlled by the world's ocean. This
paper will discuss the oceanographic science community in terms of its accomplishments, its
skills, and most particularly, the needs and investments that are required to maintain the role of
the United States as an international leader in the science of the ocean.
Sixty percent of the states in this country have coastlines on the ocean or Great Lakes.
Half of the population lives within the coastal zone. One out of every six jobs in the United
States is marine-related. Yet less than 4 percent of the federal budget for basic research is spent
on ocean sciences.
While the ocean sciences community in the United States is small')), the cadre of
professionals in this field represent a wide spectrum of skills, ranging from molecular biology to
fluid dynamics to cybernetics to organic chemistry. The strength of this community has been
based on two factors: (1) its recognition of national research imperatives, and (2) its capability to
work cooperatively on scientific problems. This Year of the Ocean observation provides an
opportunity to review some examples of well-coordinated efforts to transcend disciplinary and
institutional boundaries.
Notwithstanding its past accomplishments , however, the United States faces a new set of
challenges in the next decade. These challenges will demand all of the existing resources and
capabilities of the ocean sciences community, and then some! Demands on society are being
made concerning economic development, quality of life, national security, and education.
Driving these demands are changes in global geopolitics, military requirements, technological
capabilities, economic competition, international demographics, and resource utilization. In
defining general goals pertaining to these demands and changes, and responding to the
opportunities presented by the International Year of the Ocean, the oceanographic community
must seek to prepare to address new challenges, as well as meet current and continuing needs.
That is to say, the community of ocean scientists is now poised to work toward meeting an even
larger set of societal needs.
'Less than 2,500 American Ph.D. level oceanographers are employed in U.S. academia, government, and the private sector
(NSF, 1991).
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BACKGROUND
In the 19th century, oceanography was placed in a position of high visibility by a Naval
officer named Matthew Fontaine Maury. Maury, in service as the first Director of the Depot of
Naval Charts and Instruments, recognized the value of standardizing the measurement of
oceanographic properties, especially winds, currents and water depth. Maury knew that such
measurements, while of obvious value to the Navy, were likewise useful in a diverse range of
applications, including shipping, fishing, and transportation.
Similarly, the bold model of public support for basic research that was developed by
Vannevar Bush subsequent to the end of World War II, ultimately demonstrated highly
rewarding returns on federal investment dollars in science and technology. This vision became
the foundation for today's highly efficient tools for directing public support toward academic
research programs, notably two of which are the Office of Naval Research and the National
Science Foundation.
In 1969, the Stratton Commission extended many of these same concepts into defining a
national imperative for supporting research and development in the marine environment. The
outcome of that exercise was the establishment in 1970 of a highly visible National Oceanic and
Atmospheric Administration (NOAA). The foresight represented in this visionary effort has been
fulfilled and strengthened by the research that has been conducted over the last two decades. The
ocean sciences community now recognizes that a focused research program, including the
interactive elements of oceanic and atmospheric dynamics, is critical to addressing a wide range
of society's needs.
Clearly, the main need addressed by the federal investment in oceanography since World
War II has been in the area of national defense. Basic research into the fundamental physical,
chemical, biological, and geological properties of the sea was successfully exploited during the
Cold War. For example, the United States became a leader in the development of operational
systems which could detect Soviet submarines, while at the same time being capable of
conducting its own missions in a manner of low detectability. Such successes would have been
impossible without the investments made possible by the visions of Vannevar Bush and the
Stratton Commission.
In the post-Vannevar Bush era of the late 1960s through the mid 1980s, the federal
investment in basic research in the ocean sciences amounted to 7 percent of the federal budget in
basic research. It was during this time that the ocean sciences community developed the "tool
kit" of skills that now allow it to:
• Predict El Nino and its devastating effects on regional climates and
fisheries—through understanding the "coupling", or connectivity, between the ocean
and atmosphere in terms of heat transfer, winds, and currents
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• Maintain superiority in undersea surveillance and antisubmarine warfare—by virtue
of knowledge gained from experiments in sound transmission through the ocean,
allowing detection at longer distances, and lower sound levels
• Provide fundamental concepts related to the beginnings of life forms on earth,—via
the use of manned and unmanned submersibles to study undersea volcanoes and their
concomitant life forms
• Save hundreds of thousands of lives through forecasts of coastal hazards (including
tsunamis and hurricanes)—made possible through the exploitation of high
performance computing, allowing implementation of increasingly sophisticated, and
accurate, models for forecasting coastal dynamics
• Establish a whole industry based upon commercially viable fish farms and
aquaculture facilities—through improvements in understanding of the physiology and
ecology of important species, such as salmon and mussels
• Locate and build oil platforms to maximize production, and to survive the extremes of
the ocean environment—as a consequence of new concepts in anti-fouling, ocean
engineering, and seafloor mapping/characterization
• Build sustainable fisheries which in 1996 alone contributed $21 billion to the U.S.
GDP —through science and research tools to manage the commercial and recreational
fishing industries
But where does the ocean sciences community go from here? The 7 percent investment of
the past led to outstanding products. Clearly, a stronger investment is needed for the broader set
of challenges facing the United States in the next millennium.
In 1992, the Ocean Studies Board of the National Research Council (NRC), recognizing
the need to revisit the status, roles, and plans of the oceanographic community, convened several
meetings and prepared their assessment. Their report, entitled Oceanography in the Next Decade:
Building New Partnerships, has been a landmark event in the direction of this community. The
objectives of the study were to "document and discuss important trends in the human, physical,
and fiscal resources available to oceanographers, ...to present the best assessment of scientific
opportunities during the coming decade, ...and to provide a blueprint for more productive
partnerships" (NRC, 1992).
The report of the National Research Council was particularly timely in that it dealt with
the redefinition of the oceanographic community in the context of society's changing needs. In
opening remarks launching the National Research Council's report its Chairman at the time, Dr.
Frank Press, cited the marked changes taking place in the post-Cold War period. These changes
seem to cry for new approaches to partnerships for the oceanographic scientific community. In
fact, as he pointed out, "concerns about the ocean as a medium for warfare as a threat to national
security are decreasing while environmental problems of the coastal zone and understanding how
the ocean controls climate are of increasing importance." Further, he stated that while "major
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advances in understanding the ocean and in the development of technologies for observing it
have set the stage for much greater research achievements," this comes at a time when "resources
necessary to obtain this understanding are increasingly scarce."
Dr. Press continued, "As the context in which oceanography is conducted changes, how
can federal agencies, private industry, local jurisdictions, and oceanographers in academic
institutions, government, and the private sector strengthen and improve their cooperative efforts?
In general, partnerships must be extended beyond financial relationships to include the sharing of
intellect, experience, data, instrument development, facilities, and labor."
The proactive nature of such a proposal is founded upon the recognition of certain trends
and "drivers" which point oceanographic researchers toward new areas of applicability. Some
examples include:
Global environmental concerns. The debates concerning sustainable development, as well as
renewed interest in "open ocean" resources (living and non-living), an ongoing crisis in world
fisheries and the global loss of marine biological diversity, and the potential impacts of climate
change on coastal ecosystems and ocean ecosystem processes, have put an emphasis on the
careful use and understanding of the environment, including those ocean areas outside of the
Exclusive Economic Zones of coastal nations.
Explosions in technology and communications. The ability to place highly sensitive
instruments deep in the ocean, or far into space, with long-term monitoring and observation
potential has only recently become a reality. Similarly, high-speed, wide bandwidth data
transmission now allows information and documentation to be sent to and from the most remote
sites on Earth, with relative ease. These data can be assimilated into a new generation of high
fidelity models, run on supercomputers, and shared among researchers and educators via virtual
oceanographic data systems currently under development.
Restructuring of national security. Our nation's security demands diligent consideration to a
diverse set of threats. Vulnerability includes the economic infrastructure and the communications
networks upon which society depends so critically. As delineated in the Potomac Declaration,2
National Security now includes economic security, food security, and environmental security'
National educational reform. A recognition of the need for systemic reform in this country's
educational systems, from kindergarten through graduate school has developed rapidly since
1990. All levels are being rethought, with respect to curriculum reform, teacher enhancement,
career guidance, and integrated, constructivist, and cooperative learning, as well as use of
educational materials. Contemporary thought, as embodied in the National Academy of Sciences
National Science Education Standards, concludes that science education must be more than
2 Document produced by the Advisory Committee on the Protection of the Seas (ACOPS) Meeting in Washington, D.C., May,
1997. ACOPS is an independent non-governmental organization primarily made up of foreign individuals. The Potomac'
Declaration does not necessarily reflect United States Policy.
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"science as process," with students learning observational, inferential, and experimental
techniques. Rather, an increased emphasis is being placed upon a system that emphasizes inquiry
as central to science education.
A CALL TO ACTION
A broad thematic approach to the role of ocean science and technology should be
undertaken, invoking themes of a nature highly relevant to society's needs. Four themes
associated with national interests—identified in the CORE publication Oceans 2000: Bridging
the Millennia, and echoed as themes and issues by the U.S. Year-of-the-Ocean Working
Group—are listed below and broadly defined as indicated:
1. National Security. Ensuring that national interests are guaranteed at home and abroad
and that basic and applied ocean science remains an essential element of this
assurance. This category is meant to include issues associated with preservation of
national interests, via military defense, and foreign policy support.
2. Sustainable Economic Development. Use of the basic and applied knowledge of the
ocean and its resources for economic gain, including attention to marine resources,
transportation, recreation, development, and related industries.
3. Quality of Life. Health and social well-being of people as derived from using basic
and applied knowledge of the ocean. Subject material includes the topics of
preservation/improvement/ stewardship of the environment (pollution prevention,
marine protection, cleanup and remediation), shoreline protection, coastal hazard
mitigation, and recreation.
4. Communication/Education. Conveying an understanding of the importance of the
ocean to national decision making, to the public at large, and to decision makers and
educators at every level using basic and applied knowledge of the ocean, to include
the exploitation of state-of-the-art electronic networking and computer based
simulations/ demonstrations.
In essence, the set of issues which the oceanographic community is bracing to address are
enormous when considered by any dimension—the volume of data, the geographic breadth of
impact the range of disciplines, the variety of assets, and the physical challenges. A
characteristic issue faced by this small but diverse community of scientists is that the expertise is
distributed throughout the nation. The breadth of skills required in oceanography, coupled with
the relatively small number of skilled practitioners translates to a thin, but wide distribution of
capabilities. The situation might be compared to having a different medical specialist located at
each hospital throughout the country, i.e., all of the necessary skills are at hand, but they are
widely distributed. This condition is dramatically compounded by the high level of sophistication
and multiple, costly platforms needed to make measurements or predictions in the ocean
environment. Many of the major resources (people, equipment, platforms) are one-of-a-kind,
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resulting in a de facto establishment of many centers of excellence for the field. By fostering the
development of new partnerships, the ocean sciences community can overcome many of these
apparent obstacles. Through sharing of resources, data, and knowledge, the ocean sciences
community will provide an impressive mechanism for working towards solutions.
OPPORTUNITIES FOR THE YEAR OF THE OCEAN AND BEYOND
There is a very broad realm of research opportunities defined by the diversity of issues
embedded in the subjects of quality of life, economic development, education/communication,
and national security. The pervasive nature of the Year-of-the-Ocean themes lends strong
credibility to the partnership approach; there is an implication that a partnership developed to
address a problem in one area will provide collateral benefits to other applications.
What follows is a description of some opportunities for the development of ocean
science. The intent is to identify where the key target areas exist and what the specific focus
should be to address the most urgent needs of the ocean science community, during this Year-of-
the-Ocean and for the decades to follow.
Data Accessibility
The currency of oceanographic progress is data. The ocean environment is largely
undersampled or unsampled. There exist data which might serve multiple needs and full and
open access to these data by investigators is critical.
A national, virtual, and common oceanographic data system is needed to provide remote
and transparent access to valuable unclassified data sets using state-of-the-networking-art on-line
connectivity and linked to existing civilian databases—federal, state and academic institution
based. Further development of a national, virtual oceanographic data system will provide on-line
connectivity linking Naval oceanographic and civilian oceanographic government, industry, and
academic organizations for the purpose of quality data transfer. In addition, the ocean sciences
community must provide for the rescue, archiving, and quality assurance of historical and "shoe-
box" data sets.
Long Term Observations
For the same reasons that land-based weather forecasters depend on distributed networks
of observational systems, the oceanographic community similarly needs such capabilities. In
fact, one of the most dramatic demonstrations of the value of long-term observations is the
payoff from the TOGA (Tropical Ocean-Global Atmosphere) buoys in the central Pacific ocean.
This system has served as the primary early warning system for the El Nino onset in the last few
years. The coincidental occurrence of what is shaping up as the century's strongest El Nino
event, during this International Year-of-the-Ocean, highlights the opportunities and payoffs for
ocean observational systems and strategies. As a result, the ocean sciences community will need
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vastly improved capabilities for long-term forecasts. The investments and commitment needed
for such an effort, however, are serious and large. Also required will be long-term observations
for biological systems, including fisheries and environmental observations.
The ocean (both deep ocean and coastal areas) is a highly dynamic environmental system
whose variability is of the same magnitude as the atmosphere, in part due to the coupling of the
two systems. In contrast to meteorology, there is no equivalent coherent synoptic monitoring and
prediction technology for the ocean. Different agencies collect partial data sets or provide
rudimentary predictions; but the effort is significantly below what is required. The data sets on
waves, tides, circulation, temperature, salinity, and biological indicators are of potential use to
governments and private industries concerned with hazard protection, transportation, recreational
and environmental planning. The feedback of oceanographic information to atmospheric models
should eventually improve weather forecasts as well.
Coastal regions worldwide are susceptible to heavy damage from earthquakes, hurricanes,
storms and flooding. Recent hurricane damage on the east coast of the United States and recent
earthquakes in California have resulted in a collective billion dollars worth of property damage
and loss of commercial revenue. Several atmospheric and land-based observation programs that
exist currently are dedicated towards sensing the formation of tropical storms and recording
seismic events along the California coast. Additional information can be gained from ocean
bottom and ocean surface deployed sensors, which when combined with the currently available
data, would greatly enhance the understanding of these destructive events and provide new
capabilities for disaster prediction throughout the globe. Bringing this all together and providing
a mechanism for development and coordination is the task of inter-governmental programs under
the sponsorship of several international agencies. The goal of ocean observations is to aid the
public good, by making use of past research results, motivating new research, and maintaining
operational observational programs.
The development of ocean observations systems requires overcoming four important
hurdles:
1. The scientific determination of the proper parameters to measure, the correct
instruments, and optimum locations for deployment;
2. The design and manufacture of precise, reliable components and data links;
3. The logistics of installation of the systems; and
4. The establishment of data recording, storage, analysis, and distribution facilities.
Quality Control
One of the major advances to ocean science was made in the mid-1800s when Matthew
Fontaine Maury standardized the methods for collecting data at sea. Today, because of the rapid
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advances being made in sensing technologies, and the capabilities to put dat? and information
easily into the public access, the oceanographic community runs a risk of major problems with
quality of data. Access to an information highway that contains raw, unverified, often
sensationalized data can be a great danger to both the decision-making and scientific processes.
The ocean sciences community needs to invoke standards, as Maury did, and establish protocols
for introducing data into the public domain. Clearinghouses, industry standards, community
stewardship, and training for data providers and researchers, are the tools that must be improved.
Future observational networks in the ocean are anticipated to consist of enhanced
measurement, modeling, and delivery systems, for a host of critical ecosystem measures and
standard physical parameters. Because the expected information management methods will rely
heavily on Internet traffic, and because a large number of participants will not be performing as
"contractors", measures to instill strict data quality assurance will necessarily rely on voluntary
means. It is likely that a rigorous program of certification, based on community agreement to a
range of qualification procedures (e.g. comparison with climatology), can be implemented
successfully. Participation in certification efforts can become strong bonds within growing
federal-academic-industry partnerships.
Resources
People
Clearly the most valuable resource in oceanography is the cadre of trained professionals
and capable students working in the field. The future body of researchers and educators in the
ocean sciences may be distributed among a broader range of careers and job sectors than are
currently represented. Efforts are already underway to develop mechanisms to train the next
generation of ocean scientists in fields such as business, public policy, and communications, in
order to expand the involvement of the oceanographic community. The current number of
oceanographers suggests a need for partnership initiatives aimed at distributing capabilities,
sharing personnel resources, and ensuring some quality control on the level of expertise. The
community should establish formal mechanisms for facilitating the exchange of personnel
between academic, government, and private organizations. Some mechanisms for these
exchanges currently exist, but they are cumbersome and more prohibitive than conducive to
cooperation. Additionally, a partnership approach might be invoked to assess the value and
implementation of a professional certification program, as is done in many other technical fields.
The crosstalking and mutual understanding of goals among mission agencies, academia,
industry, research agencies, and policy makers is disturbingly minimal. This comes at a time
when downward budget pressures call for "downsizing" mission "purification" and
"deregulation." The combination of these two trends proves to be very counterproductive, and is
exacerbated by significant mission/interest shifts on the part of several agencies. Crosstalking
and mutual understanding must be fostered at all levels from program execution to planning and
setting of national policy.
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In addition, certain private industries have operations that are synergistic with the
education of students in the oceanographic community. Oceanographers from academia could
benefit from opportunities to work in industry, to be exposed to the needs of industry, and to
apply data being generated in the research environment. Programs could be set up to support
such cooperative efforts.
Mechanisms, in addition to the traditional Intergovernmental Personnel Act, must be
developed to encourage cross-fertilization as described above. Examples include:
• visiting senior scientists to operators and to policy making organizations,
• participation of industry and other user-community representatives across agency
planning and policy lines,
• graduate education, research sabbatical and industry/laboratory appointments for
military, government, and policy employees.
These mechanisms should span from short term exchanges to long term appointments. In
view of the Information Highway/World Wide Web, it may be feasible to create "virtual
appointments" that may also include "video conferencing and meetings."
Better understanding of both common and unique issues as well as a basis for improved
communications between participants will result from such exchanges. For the oceanographic
research community in government and academia, there will be opportunities for some to
experience industry, its operations and the application of oceanographic data, thereby enhancing
the value of the data being collected by applying it in new way. For industry, the resource of an
experienced individual (an expert at times) in an application where such "short term" expertise is
necessary would be a valuable asset to the operation at hand.
Platforms
The oceanographic community is a research-resource intensive group. Unlike many other
scientific arenas, the oceanographic field critically depends on efficient community management
of surface ships, manned submersibles, autonomous underwater vehicles (AUVs), scientific
buoys, and research satellites. Plans for future field work will add capabilities to this list (e.g.
ocean sampling networks, global observation systems) making the management of these research
platforms an even more challenging endeavor. Partnerships are critical for successful application
of these facilities.
Innovative materials which are becoming available now make new structures and vehicles
possible. Carbon fiber and composite plastics could be utilized for strength, light weight, low
manufacturing costs, and resistance to corrosion and biofouling. Other construction methods
include re-use and re-combination of existing offshore structures from the oil industry, and
recycling of dredged materials from the ocean and solid waste materials from the land (fly ash,
sanitized sludge, etc.) to form artificial islands offshore.
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The technology necessary to develop large offshore structures, innovative vessels, and
undersea vehicles in a cost-effective manner is presently being developed. Partnerships are
required between government, industry, and academia to conduct the necessary materials
research and environmental impact studies. AUVs and robotic systems would be needed during
the construction and maintenance of some structures, and for conducting autonomous research in
harsh environments. Offshore structures provide platforms for mounting instrumentation for
research, weather prediction, and aquaculture.
Computing
One of the major accomplishments of the oceanographic community in the last decade
has been associated with advances in "data assimilation," the capability of upgrading a predictive
model by incorporating data on a regular basis. Advanced development of state-of-the-art
massively parallel computers continues to progress. Scientists will continue to recognize the
advanced capabilities of these machines, and teachers will utilize their sophisticated programs for
visualization and simulation. The costs of these computational systems are high and their access
is limited. Careful partnering between the owners, operators, programmers and analysts is
essential, and coupling these efforts with the data collection partnerships, described above, will
be highly productive.
The Navy for national defense purposes, and civilian organizations for scientific
purposes, require the capability to measure, analyze, and predict the state of the world's oceans
on a continual basis. Such a continuum of function calls for fusion of data previously collected
with that being collected (e.g., via ocean observational systems as described above), developing
an analysis of current oceanic conditions using numerical models based on best physical
principles understood, and finally, using the best predictive modeling techniques to develop
forecasts of future oceanic conditions. An operational system that leaves out any part is less
useful and does not effectively utilize the resources at hand.
Observational strategies and operations are improved by concomitant "end-to-end
simulation" or "model-mediated approaches." This optimizes the data gathering methods against
the underlying requirements, as well as the relevant physics and processes. Techniques that not
only adapt to the incoming data stream, but also to alternative sources of information (e.g.,
remote sensing) offer a major capability enhancement.
The ability to assimilate significant amounts of disparate data in real-time and on scene
together with very capable but relatively inexpensive numerical processing machines make a
"model-mediated" approach very possible in the near to midterm (3-5 years). An opportunity
exists to forge partnerships which bring together archival and near real-time collected data, large-
scale computational facilities, predictive models and the methods to distribute results for
operational purposes and correction of or improvements to the operational oceanography system.
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Labs/Infrastructure
Laboratories and the collection of facilities that comprise the infrastructure of
oceanography (e.g., large systems of instrumentation, such as ocean bottom seismometers) are as
unique to the field as the research platforms. Again, the diversity of the field has been translated
into specific technical strengths at individual laboratories. The U.S. Navy has particular
capabilities for acoustic studies, for example, whereas the expertise for developing open ocean
buoys resides at only a handful of academic and federal laboratories. The optimal exploitation of
these facilities can only be attained through a program of sustained and active partnerships
between the institutions.
Growing national security and other U.S. interests in littoral regions together with an
emerging science and technology capability to adequately address this complex environment,
offers an opportunity for interagency partnerships to establish a portfolio of coastal natural
laboratories. These would be visited regularly to provide baseline data to understand processes,
validate models and algorithms, and to test operational products across the various agencies and
participating industry. In this way, positive feedback of engineering models to fundamental
physics and process studies can be used to shorten product development time as well as
fidelity/skill.
Carefully chosen locations for coastal natural laboratories can also serve as ground-truth
for remote sensing (acoustic, space, and airborne techniques) and should be co-located with
fiducial sites wherever possible. Notably, the world's marine laboratories are the repositories of
collections and historical data of critical importance for coastal research. They have facilities to
provide access to marine habitats, institutional stability , and a history of working together. An
excellent example is provided by the National Association of Marine Laboratories' "LABNET,"
which will provide on-site access to data from the diverse mosaic of U.S. coastal zone habitats.
EDUCATION AND COMMUNICATION
Education and The Year-Of-The-Ocean
A major change in what the ocean sciences community knows about how people learn,
especially how people learn science, has occurred in the last two decades. How, what, and why
the ocean sciences community teaches science and mathematics, therefore, must be re-
conceptualized. The purpose of education is to empower learners to make information
meaningful, in contrast to memorizing a multitude of disconnected facts. What an individual
knows about a topic influences the meaning he or she can extract from new information.
Abstract concepts must be put in the context of experiences with which the learner is familiar.
Furthermore, learners cannot be given concepts. They must construct concepts for themselves.
Instructional strategies, subsequently, need to focus on learning, rather than on teaching, as a
means for transmitting information. Moreover, the target audience for science education is all
Americans, in contrast to science for the elite. Mathematics educators are calling for
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mathematical literacy for all, and technology educators are speaking of technology education for
all—instead of it being limited to students bound for the workplace after grade 12. The
revolution in science education requires the study of the interactions of science and technology, a
transdisciplinary approach.
The oceans have an aesthetic appeal to humans and the study of oceanography is
inherently interdisciplinary. The oceanographic community has an opportunity to make the
oceans a major context in which to study the interactions of science, technology, and society, and
from which to learn.basic science and mathematical concepts.
Partnerships between oceanographers and educators with current perspectives on learning
are necessary. There are reciprocal benefits between the two cultures, oceanography and
education. The former focuses on generating new knowledge about the ocean. The latter focuses
on tying pieces of information into a whole picture that can be made relevant to other scientists
and to non-scientists. Together they can develop new courses.
Oceanography is an ideal platform for education, focusing on the interaction offerees and
processes across a palette of disciplines, including biology, chemistry, physics and geology. The
ocean is also a wonderful arena for applying concepts in mathematics (everything from the
algebra of determining salinity, to the calculus of ocean currents). There are a handful of
initiatives throughout the country attempting to build curricula along these lines. The formal
educational community (including all components from kindergarten through graduate school)
would realize immediate benefit from partnering through the establishment of oceanography-
specific coalitions of educators.
There exist too few pre-college teachers, specifically elementary teachers who have the
content, knowledge and confidence to teach science. This is one of the primary reasons that too
many elementary students perform poorly in the sciences. It is well documented that a key to
reversing the dangerous lack of scientific understanding being demonstrated by students is
through teaching the teachers. Successful workshops, and undergraduate and graduate courses
relative to marine sciences, should remain as an area of priority and be expanded at the local,
state, regional, and national level. When new technologies and/or advances in scientific theory
are developed, workshops and courses must be made available for teachers, thereby allowing
them to infuse this "new" knowledge and complementary methodologies/activities into existing
curricula, as advocated by the National Science Education Standards (NRC, 1996). New or
revised curricular materials may also need to be developed. Teaching/learning experiences to
assist with integrating these materials into classrooms would follow. The National Ocean
Sciences Bowl, initiating a nationwide high school level competition during this Year of the
Ocean, is precisely the kind of highly visible and exciting educational program that can re-
energize pre-college education with an oceans-related emphasis.
New and/or extended partnerships need to be developed among the education community
and marine scientists in government, academia, and the private sector. These partnerships must
include, but should not be limited to, fiscal support, equipment, personnel, and/or resource
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materials (hard-copy, audio/video, diskette, laser discs, Internet, or other related types of
materials). The ocean science community can collaborate with instructional material developers
to produce correct and content-current materials, and can rapidly modify existing materials to
add new content. Year-round academic years for precollege students are increasing in various
school districts and parishes within the United States. This paradigm shift will provide the
opportunity for increasing the competitiveness of this nation's youth in a global marketplace..
Informal Education
The average American probably knows more about space than he or she does about the
ocean. Given that so much of the quality of life and economic prosperity are dependent on
oceanography, it is timely during this Year of the Ocean to address the need for increased public
awareness of this field. The ocean research community is a treasure trove of fascinating findings.
There are a very limited number of efforts to provide regular educational opportunities in
oceanography for the public. Related to this need is the issue of providing information to policy
makers at the federal, state, and local levels. Networks or coalitions are needed to foster this kind
of dissemination of information, as well as to serve as focal points for ocean-related issues.
Ocean science data can be too fragmented or hidden in difficult to understand scientific
papers with little relevance to "society" or legislators on all levels. The timely, accurate transfer
of information (i.e., data, analytical products, synthesis documents) on marine environment
issues to public leaders, educators and the general public is crucial if the ocean's role in human
activities is to be properly understood. Many problems with stewardship of the marine
ecosystem, response to natural and human-induced hazards, and the full appreciation of the
ocean, arise either from the lack of information or the great difficulty in locating relevant data
and products, or incompatibility between the few existing delivery systems. This situation
concerning the informational flow to the public concerning marine issues requires initiatives to
make the available information useful, to supply it in formats compatible with robust analysis
packages, and to provision for an interested party to obtain more detailed answers dependent on
the needs of the particular user.
Current technologies provide various models for making it relatively easy to transmit
information. The challenge is to provide a "useful information flow" and a backup set of experts
to handle questions. The useful information flow envisioned here would consist of a searchable
catalog of data and products together with an efficient delivery system. Such a database must be
accessible by multiple users such as media, legislators, public, or anyone looking for
information. The opportunity is especially strong now with some on-line networks and Internet
access tools.
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THE PARTNERSHIP PROGRAM AND U.S. OCEANS POLICY
The value of partnerships is defined in terms of the guiding principles outlined above.
Additionally, the partnerships proposed by the National Oceanographic Partnership Program
(NOPP) serve as particularly efficient mechanisms for overcoming hurdles, some of which are
unique to the oceanographic community. Some of these singular hurdles are:
Funding mechanisms. Ocean science is primarily supported through grants and contracts from
government agencies. The lack of a long term foundation of support (e.g., "hard money" for
faculty positions at research universities) dictates that mechanisms (including leveraging the
infrastructure investments in oceanographic research and development in the military and
industrial sectors) are needed to maintain the long term continuity of the community. U.S. federal
funding for basic research in ocean sciences effectively has been halved (by virtue of remaining
flat) for nearly two decades, while the total federal support of basic research has nearly doubled.
Given the broadening mission for the ocean sciences community, this situation is increasingly
out of balance. The dollars are shrinking while the research requirements grow.
Multiple Committee Jurisdiction in Congress. Primary funding for the conduct of basic
research in the ocean sciences emanates from the Congress of the United States. Nine federal
agencies seek funding from Congress for ocean science and technology associated with their
missions. But, to address funding needs of each of these nine agencies, over 40 committees and
subcommittees of the House and Senate are involved in carrying out their relevant authorization
and appropriation responsibilities. As a result, unless there is some clear integrating or cross-
cutting process for Capitol Hill to deal with the broad national policy and programmatic issues
surrounding ocean science and technology, any partnership arrangement limited solely to certain
stakeholders would lack substance. Better horizontal integration of broad ocean science and
technology policy and programs across the many federal agencies, is necessary if this nation is to
maintain its lead in this critically important area and do so at minimum cost. This is particularly
true during the post Cold War reappraisal of national priorities under more constrained budgets.
This hurdle to the efforts in ocean science and technology needs to be addressed by the
legislative and executive branches in cooperation.
Security concerns and classified applications. The oceans are the operating environment for
national defense. In fact, it has been argued that the seas of the world are this country's moats.
Any research in oceanography is immediately relevant to the operations of the U.S. Navy and
may have implications for national security. As such, there will always be an awareness of the
contribution of research and education in oceanography to national security concerns and vice
versa.
Management and ownership of resources. The oceanographic researcher depends heavily on a
major capital investment that has been made by industry and agencies within the federal
government in terms of research platforms, equipment, laboratories, and general infrastructure.
The management of these resources, and their ownership, is dispersed among public and private
entities. Optimal use and upgrade of these facilities requires a delicate coordination of missions,
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plans, and funding. Furthermore, the human resources within the ocean sciences community are
heavily concentrated in a limited set of job sectors. Management of the human resources will
require a diversification of the job opportunities and new educational initiatives to help prepare
students for more alternatives in employment.
Communications. The field of oceanography is represented by well over 50 different technical
journals and no less than 15 professional organizations. While an isolationist approach to one's
own research field may have sufficed 50 years ago, the inherently interdisciplinary nature of
today's oceanographic issues dictates that marine researchers and educators have an
extraordinarily broad network for communication.
Public Awareness. Some recent dramatic demonstrations of the lack of public scientific literacy
have emphasized the need to bring oceanographic research results to the forefront of general
visibility. The lack of attention paid to marine issues in the media is most likely attributable to a
lack of coordinated publicity by the ocean research and education communities; it is not for lack
of exciting showpieces from the science and technology being performed in the ocean.
CONCLUSIONS
From such prestigious scientific bodies as the National Academy of Sciences and its
many associated Boards, from well supported needs statements of the mission oriented federal
agencies, and from a variety of highly respected scientific organizations, the question of "what to
research" in the areas of ocean science and technology is outlined quite well. The International
Year of the Ocean provides opportunities to highlight ways that new and enlightened
partnerships can be established to provide the bonding agents needed to pull the currently
disparate parts of the nation's oceanographic enterprise together.
REFERENCES
Consortium for Oceanographic Research & Education, Oceans 2000, Bridging the Millenia,
1996, Washington, D.C.
National Academy of Sciences. 1995. Allocating Federal Funds for Science and Technology.
ISBN 0-309-05347-1. National Academy Press. Washington, D.C.
National Oceanic and Atmospheric Administration. 1995. NOAA Strategic Plan: A Vision for
2005. Washington, D.C.
National Research Council Committee on Biological Diversity in Marine Systems, 1995.
Understanding Marine Biodiversity. ISBN 0-309-05225-4. National Academy Press.
Washington, D.C.
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National Research Council Ocean Studies Board. 1992. Oceanography in the Next Decade:
Buildins New Partnerships. ISBN 0-309-04794-3. National Academy Press. Washington, D.C.
National Science Foundation. 1991. Characteristics of Doctoral Scientists and Engineers in the
United States: 1989. NSF 91-317. Washington, D.C.
"State-Federal Technology Partnership Task Force Final Report." 1995. Gov. Richard Celeste
and Gov. Dick Thornburgh, Co-chairs, Carnegie Commission on Science, Technology and
Government.
National Research Council, Committee on Science Education Standards and Assessment, 1996,
National Science Education Standards, ISBN 0-309-05326-9. National Academy Press,
Washington, D.C.
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LIST OF ACRONYMS
AUV autonomous underwater vehicles
CORE Consortium for Oceanographic Research and Education
MEDEA Measurement of Earth Data for Environmental Analysis
NAS National Academy of Sciences
NMEA National Marine Educators Association
NOAA National Oceanic and Atmospheric Administration
NORLC National Oceanographic Research Leadership Council
NRC National Research Council
NSF National Science Foundation
ONR Office of Naval Research
ROV Remotely Operated Vehicle
TOGA Tropical Ocean-Global Atmosphere
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A SURVEY OF INTERNATIONAL AGREEMENTS
Contents
1. INTRODUCTION j_2
2. THE LAW OF THE SEA j_2
3. THE MARINE ENVIRONMENT j_3
4. LIVING MARINE RESOURCES j_9
5. LIVING MARINE RESOURCES-
NEW AGREEMENTS NOT YET IN FORCE J-14
6. MARINE TRANSPORTATION j_17
7. THE ANTARCTIC AND ARCTIC """'"j-19
8. LIST OF ACRONYMS . j_22
This Year of the Ocean document was prepared as a background discussion paper and does not
necessarily reflect the policies of the U.S. Government or the U.S. Government agencies that
participated in its preparation.
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A Survey of International Agreements
INTRODUCTION
The legal regime governing the use of the ocean is based on a network of important
international agreements. The following is a compendium of some of those agreements and
programs relating to the ocean with a brief description of each. The list is selective and is
designed to illustrate the major ocean agreements relating to the environment, fisheries,
transportation, and the polar regions. The United States is either a party to each agreement or in
the process of ratification. The list is indicative, but not comprehensive.
THE LAW OF THE SEA
United Nations Convention on the Law of the Sea, 1982
Senate Treaty Doc. 103-39, Oct. 6,1994
The United Nations (UN) Convention on the Law of the Sea, with Annexes done at
Montego Bay, December 10,1982 (the Convention) and the Agreement Relating to the
Implementation of Part XI of the 1982 United Nations Convention on the Law of the Sea,
adopted and opened for signature at the United Nations in New York, July 28, 1994 (the
Agreement) provide a comprehensive framework that sets forth the rights and obligations of
States with respect to the uses of the ocean. Its provisions would guarantee United States' control
of economic activities off its coasts, such as fishing and oil and gas development, and enhance
the United States' ability to protect the marine environment. At the same time, it preserves and
reinforces the freedoms of navigation and overflight essential to national strategic and
commercial interests.
The Convention authorizes a territorial sea of up to 12 nautical miles and Coastal State
sovereign rights over fisheries and other natural resources in an Exclusive Economic Zone that
may extend to 200 nautical miles from the baseline. The Convention further accords Coastal
States sovereign rights over the nonliving resources, including oil and gas, found in the seabed
and subsoil of the continental shelf, which is defined to extend to 200 nautical miles from the
baseline or, where the continental margin extends beyond that limit, to the outer edge of the
geological continental margin. The Convention preserves the rights of navigation and overflight
in areas under Coastal State jurisdiction and on the high seas beyond.
The 1994 Agreement fundamentally changed the provisions of Part XI of the Convention
that establish a system for regulating me mining of mineral resources from the deep seabed
beyond national jurisdiction. Part XI was renegotiated to remove the obstacles to the acceptance
of the Convention that had prevented the United States and other industrialized countries from
becoming parties. The United States signed the Agreement and has submitted the Law of the Sea
Convention and the Agreement together as a package to the Senate for advice and consent. The
entry into force of a widely accepted and comprehensive law of the sea convention has been a
consistent objective of the United States since negotiations began on such a convention over two
decades ago. The Convention entered into force in 1994 and over 120 States are parties including
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the United Kingdom, Germany, Italy, Japan, South Korea, Australia Russia, China, and France.
The United States is not yet a party; the Convention was submitted for Senate advice and consent
to ratification in 1994.
THE MARINE ENVIRONMENT
Conference on Environment and Development:
Agenda 21 Chapter 17 (Oceans)
Chapter 17 on oceans in Agenda 21 sets forth an ambitious work program for the
international community in pursuing the objective of sustainable development with respect to the
ocean. To this end, it promotes new approaches to managing human uses of ocean resources,
including the application of environmental impact assessment procedures and natural resource
accounting techniques; economic incentives to encourage industrial and agricultural practices
that avoid degradation of the marine environment; and protection of the ecosystems and habitats
of marine species. Particular emphasis is given to coastal areas—the land/sea interface—which
are critical to the life cycles of most marine species and in which human population is
increasingly concentrated.
follows:
The specific program areas of Agenda 21 Chapter 17 (Oceans) may be summarized as
(a) Integrated management of coastal areas, including representation of all affected
interests in decision making, to ensure that human uses of these areas are compatible,
sustainable, and environmentally sound;
(b) Development and implementation of strategies, particularly at the local and national
level, to prevent degradation of the marine environment from land-based activities,
including recognition of this effort as a central component of coastal area
management;
(c) Strengthening and improving implementation of international measures to prevent
marine pollution from vessels and from dumping at sea;
(d) Improved management of coastal fisheries, including use of selective gear and
practices, to ensure healthy populations and to meet human nutritional needs;
(e) Implementation of obligations for international cooperation to conserve marine living
resources found on the high seas (e.g., straddling stocks and highly migratory
species);
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(f) Protection and restoration of endangered marine species, as well as preservation of
marine biological diversity, including protection of rare or fragile ecosystems and
habitats critical for marine species;
(g) Coordinated programs of scientific research and systematic observations, as well as
data exchange, to improve understanding and management of the marine
environment, including implementation of a Global Ocean Observing System;
(h) Regular review and coordination of activities within the United Nations system
relating to the protection and sustainable development of the marine environment and
revitalization of the United Nations Environment Programme (UNEP) Regional Seas
Program; and
(i) Elaboration of programs to address the particular problems of small island developing
States, whose economies and very existence is integrally tied to the marine
environment.
Convention for the International Council for the Exploration of the Sea (ICES)
The environment of the North Atlantic and adjacent seas has been the prime concern of
ICES since its inception in 1902. As the oldest intergovernmental marine science organization in
the world, its main focus has continued to be on international cooperative scientific studies.
Article 1 of the 1964 ICES Convention formally identifies the Council's principal functions:
a. to promote and encourage research and investigations for the study of the sea
particularly related to the living resources thereof;
b. to draw up programs required for this purpose and to organize, in agreement with the
contracting parties, such research and investigations as may appear necessary;
c. to publish and otherwise disseminate the results of research and investigations carried
out under its auspices.
Since the 1970s, a major responsibility for ICES has involved the provision of scientific
information and advice for fisheries conservation and protection of the marine environment to
intergovernmental regulatory commissions, the European Commission, and the governments of
ICES member countries.
ICES works in the broad areas of fisheries, oceanography, and environmental sciences,
including the study of marine pollution, and maintains extensive databases on the North Atlantic,
in cooperation with other international organizations. The work is organized and carried out by
scientists from the 19 contracting parties: Belgium, Canada, Denmark, Estonia, Finland, France,
Germany, Iceland, Ireland, Latvia, Netherlands, Norway, Poland, Portugal, Russia, Spain,
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Sweden, the United Kingdom and the United States. Scientific Observer status has been granted
to Australia, South Africa and Greece. Lithuania applied in 1997 for membership.
More than 40 international organizations have Observer status and cooperative relations
with ICES. Of the United Nations agencies, ICES works with the Fisheries Department of the
Food and Agriculture Organization (FAO), the Intergovernmental Oceanographic Commission,
the International Maritime Organization, the World Meteorological Organization, and the UNEP.
Intergovernmental Oceanographic Commission, 1960
The Intergovernmental Oceanographic Commission (IOC) promotes marine scientific
investigations to learn more about the nature and resources of the oceans and provides related
ocean services and training. The IOC plans, coordinates, and supports global and regional
programs, in cooperation with IOC member states and other international organizations. The IOC
is designated in the UN Convention on the Law of the Sea as the competent international
organization for marine scientific research. It also has specific responsibilities under the
Framework Convention on Climate Change, the Convention on Biodiversity, Agenda 21 of the
UN Conference on Environment and Development, and the International Decade for Natural
Disaster Reduction.
Through memoranda of understanding, the IOC cooperates with ICES in the North
Atlantic, and with the North Pacific Marine Science Organization (PICES) in the North Pacific
region. UN agencies that work closely with the IOC on programs of mutual interest include the
World Meteorological Organization, the UNEP, the International Maritime Organization, the
FAO, and the International Atomic Energy Agency. Scientific advice is provided to the IOC by
the Scientific Committee on Oceanic Research of the International Council of Scientific Unions.
Major programs include study of global ocean circulation, ocean mapping, and global ecosystem
dynamics. Under each of these program areas and in cooperation with national and international
agencies, the IOC sponsors and organizes meetings and workshops to define scientific problems
and service requirements, and to develop appropriate international programs. The programs are
executed by the participating IOC member states.
The Convention on the Prevention of Marine Pollution by Dumping
of Wastes and Other Matter, London, 1972
The Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other
Matter, known as the London Convention of 1972, is the primary international agreement
controlling the deliberate dumping of non-ship generated wastes at sea. Since entering into force
in 1975, the London Convention has provided a structure by which its now 77 contracting parties
have made consistent progress in combating marine pollution caused by dumping at sea. The
London Convention has become more restrictive over the years. In 1993, bans on the ocean
disposal of low-level radioactive wastes and industrial wastes were adopted.
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In 1996, a Protocol to the London Convention was adopted, at a special meeting of the
contracting parties, and signed by the United States, subject to ratification. The Protocol is a free-
standing agreement to which both contracting and non-contracting parties to the London
Convention may become party. The Protocol embodies a major structural revision of the
Convention—the so-called "reverse list" approach. Parties are obligated to prohibit the dumping
of any waste or other matter that is not listed in Annex 1 ("the reverse list") of the Protocol.
Dumping of wastes or other matter on the reverse list requires a permit. Parties to the Protocol
are further obliged to adopt measures to ensure that the issuance of permits and permit conditions
for the dumping of reverse list substances comply with Annex 2 (the Waste Assessment Annex)
of the Protocol. There are seven categories of substances on the reverse list. These include
dredged material; sewage sludge; industrial fish processing or other fish waste; vessels and
offshore platforms or other man-made structures at sea; inert, inorganic geological material;
organic material of natural origin; and bulky items including iron, steel, concrete and similarly
unharmful materials for which the concern is physical impact and is limited to those
circumstances where such wastes are generated at locations with no practicable access to options
other than dumping.
Framework Convention on Climate Change, 1994
Over 160 countries are now Parties to the United Nations Framework on Climate Change
(the Convention) which was ratified by the United States in 1992. This Convention entered into
force on March 21,1994 and the Parties held their first meeting in April 1995 in Berlin. There,
they launched a negotiating process designed to produce a new legal instrument to deal with the
threat of climate change in the post 2000 period. In this regard, the Third Session of the
Conference of the Parties [to the Convention] reached agreement December 11,1997 on a
protocol committing developed countries to reduce greenhouse gas emissions.
Convention for the Protection and Development of the Marine Environment of the Wider
Caribbean Region (Cartagena Convention), 1983
The Cartagena Convention, which entered into force in 1984, is a framework convention
negotiated under- the auspices of the United Nations Environment Programme, Regional Seas
Program. It is aimed at the protection of the marine environment and the promotion of
environmentally sound development in the wider Caribbean region, including the Gulf of
Mexico. The Cartagena Convention is similar in form to nine other regional agreements
negotiated under the auspices of the Regional Seas Program, including one for the South Pacific,
to which the United States is a party.
The Cartagena Convention contains general obligations on parties to protect the marine
environment of the region from a variety of pollution sources, including oil pollution from ships,
dumping, and pollution from land-based activities. It is intended to be supplemented by protocols
containing more specific obligations in these areas. A Protocol on Combating Oil Spills was
negotiated and entered into force with the Cartagena Convention. A Protocol on Specially
Protected Areas and Wildlife was negotiated in 1990 but has not entered into force. This Protocol
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has been transmitted to the U.S. Senate for advice and consent to ratification A protocol on
pollution from land-based activities, which accounts for about 80 percent of the pollution
entering the marine environment, is currently under negotiation.
Basel Convention on the Control of Transboundary Movements
of Hazardous Wastes and their Disposal (Basel Convention)
The Basel Convention is an international agreement which attempts to control the
movement of hazardous waste across State boundaries. This Convention, which went into effect
in 1992:
• requires environmentally sound management of transboundary movements and
disposal of waste
• provides a list of covered wastes (including hazardous and other wastes)
• prohibits exports of covered wastes to the Antarctic Treaty Area
• generally requires notice to and consent, in certain circumstances, of transit and
receiving countries before exports of covered wastes commence
;
• commits parties to prohibit a transboundary movement if there is reason to believe
that the waste would not be managed in an environmentally sound manner in the
importing country
• commits parties to assume responsibility for disposal of waste illegally exported and
imported
One hundred twenty-two countries have ratified the Basel Convention. Although the U.S.
Senate has given its advice and consent, the United States is not a party at this time.
Global Program of Action for the Protection of the Marine Environment
From Land-Based Activities, 1995
The Global Program of Action was adopted November 3, 1995 at the conclusion of a
two-week conference sponsored by the UNEP and hosted by the United States. The Global
Program of Action seeks to prevent the degradation of the marine environment from land-based
activities by helping States Parties realize the duty to preserve and protect the marine
environment. It is designed to assist States in taking actions individually or jointly according to
their respective policies, priorities, and resources. It constitutes a practical source of guidance for
action which must take place at the national and regional level; identifies steps for making
available knowledge and experience about effective measures to combat land-based sources of
marine pollution; and offers instruction on how to involve the relevant United Nations
institutions in the implementation effort.
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Convention for a North Pacific Marine Science Organization (PICES), 1992;
U.S. Senate Treaty Document 102-9,102nd Congress, 1st Session
PICES was established to promote and coordinate marine scientific research in the
northern North Pacific and adjacent seas, particularly northward of 30 degrees north latitude. The
organization's purpose is to advance scientific knowledge about the ocean environment, global
climate change, living resources and their ecosystems, and the impacts of human activities, and
to promote the collection and rapid exchange of scientific information on these issues. The six
contracting parties are Canada, the People's Republic of China, Japan, the Republic of Korea,
Russia, and the United States. Each party pays an equal contribution.
South Pacific Regional Environment Program, 1995
The South Pacific Regional Environment Program (SPREP) is designed to promote
cooperation in the South Pacific region, provide assistance to protect and improve the
environment, and to ensure sustainable development. SPREP is comprised of twenty-two Pacific
island countries and four developed countries with direct interests in the region. The SPREP
Agreement came into force on August 31, 1995. The United States has signed the Agreement,
which is before the Senate for its advice and consent for ratification.
Convention on the International Hydrographic Organization
The International Hydrographic Organization is a technical organization established to
coordinate and promote the adoption of reliable and efficient scientific practice in hydrography
and navigation. It has the following objectives:
a. bring about close and permanent association between national hydrographic offices;
b. ensure the greatest possible uniformity in nautical charts and documents;
c. further the exchange of nautical charts and documents;
d. provide guidance and advice on request;
e. assist countries engaged in setting up or expanding their hydrographic service;
f. encourage coordination of hydrographic surveys with relevant oceanographic cruises
or other activities;
g. facilitate the application of oceanographic knowledge for the benefit of navigators;
h. cooperate with other international organizations and scientific institutions with similar
objectives.
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The International Hydrographic Organization is organized in two parts. The Conference,
composed of representatives of all member states, meets every five years. In the intersessional '
period, the scientific and technical business of the organization is conducted by the Bureau,
composed of an elected Directing Committee and the Secretariat staff. Dues for the member
states are assessed according to the tonnage of their fleets.
LIVING MARINE RESOURCES
International Convention for the Regulation of Whaling, 1948
The International Convention for the Regulation of Whaling, drafted in 1946 after a
conference hosted by the United States, was subsequently ratified and entered into force in 1948.
This Convention was the culmination of a series of agreements begun in the 1920s, the purpose
of which was to establish a system of international regulation for whaling in order to ensure the
conservation and development of whale stocks, and to make possible the orderly development of
the whaling industry. The Convention created the International Whaling Commission, the
organization that is internationally recognized as having authority over the conservation and
management of whale stocks worldwide. In 1982, the International Whaling Commission
adopted a commercial whaling moratorium, which took effect in 1986 and remains in place.
Convention Between the United States of America and the Republic of Costa Rica for the
Establishment of an Inter-American Tropical Tuna Commission, 1949;
Tuna Conventions Act of 1950 (64 Stat. 777), as amended (16 U.S.C. 951-961)
The Agreement established the Inter-American Tropical Tuna Commission, to "(1) study
the biology of the tunas and related species of the eastern Pacific Ocean with a view to
determining the effects that fishing and natural factors have on their abundance and (2) to
recommend appropriate conservation measures so that the stocks offish can be maintained at
levels which will afford maximum sustainable catches." The nations who are party to this
agreement are: Costa Rica, Ecuador, France, Japan, Nicaragua, Panama, the United States,
Vanuatu, and Venezuela.
The Commission's duties were broadened in 1976 to include work on the problems
arising from the tuna-dolphin relationship in the eastern Pacific Ocean. The International
Dolphin Conservation Program, which was developed by the Inter-American Tropical Tuna
Commission, has drastically reduced the dolphin mortality in purse seine tuna fisheries, where
the dolphin bycatch rate had been traditionally high. In 1992, ten nations with tuna vessels
operating in the eastern Pacific Ocean entered into the La Jolla Agreement, which committed
them to reduce dolphin mortality to insignificant levels, with a goal of eliminating it entirely
through the application of ecologically sound fishing methods. This Agreement established an
annually decreasing limit on the total allowable dolphin mortality in the fishery to a level of less
than 5,000 in 1999. The International Dolphin Conservation Program has already achieved that
mark, well ahead of schedule.
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Convention for the Preservation of the Halibut Fishery
of the Northern Pacific Ocean and Bering Sea, 1953;
Northern Pacific Halibut Act of 1982
(as amended: 50 Stat. 325; 67 Stat 494; 79 Stat. 902; 97 Stat. 78).
The bilateral International Pacific Halibut Commission was created to conserve, manage,
and rebuild the halibut stocks of the west coast of Canada and the United States to levels which
would achieve and maintain the maximum sustainable yield from the fishery. The Commission is
responsible for data collection and stock assessment, and addresses the issue of bycatch of
halibut by the groundfish fisheries in the'region. The halibut resource has been managed by this
Commission since 1923.
Convention on Great Lakes Fisheries between the United States and Canada, 1954;
Great Lakes Fisheries Act of 1956 (16 U.S.C. 932)
The bilateral Great Lakes Fishery Commission was established to control and eradicate
sea lamprey, which decimated important commercial and recreational fisheries in the Great
Lakes. The lamprey entered the lakes through canals built in the nineteenth century to provide
access to the lakes by ocean-going vessels. This Commission is also responsible for undertaking
research programs to determine the maximum productivity of any stock offish that is of interest
to the parties, and making recommendations on appropriate measures for the conservation and
management of those stocks.
International Convention for the Conservation of Atlantic Tunas, 1966;
Atlantic Tunas Convention Act of 1975 (16 U.S.C. 971)
The International Commission for the Conservation of Atlantic Tunas was established to
provide an effective program of international cooperation in research and conservation in
recognition of the unique problems of tunas and tuna-like species. The Convention area is
defined as all waters of the Atlantic Ocean, including the adjacent seas. The Commission is
responsible for providing internationally coordinated research on the condition of the Atlantic
tunas, tuna-like species, and their environment, as well as for the developing harvest proposals
for consideration by the convention parties. The objective of such regulatory proposals is to
conserve and manage species of tuna throughout their range to achieve maximum sustainable
catch. Parties include Angola, Benin, Brazil, Canada, Cape Verde, Cote d'lvoire, Cuba,
Equatorial Guinea, the European Union, France, Gabon, Ghana, Japan, the Republic of Korea,
Morocco, Sao Tome and Principe, the Republic of South Africa, Spain, the Russian Federation,
the United Kingdom, Uruguay, the United States, and Venezuela.
Convention on Wetlands of International Importance Especially As Waterfowl Habitat,
Ramsar, 1971
The Convention on Wetlands of International Importance, known as the Ramsar
Convention from its place of adoption in 1971 in Ramsar, Iran, is the only international accord
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dedicated to the protection and conservation of wetlands. Over 100 contracting parties, including
the United States, have committed themselves to the wise use of wetlands at over 700 sites that
are specifically recognized as important under the Convention. Wetlands support many important
plants and animals, migratory waterfowl, and provide water purification and flood control
services. Wetlands also play an important role in protecting shorelines and coastal waters from
pollutants. Under the Ramsar Convention, the definition of wetlands extends to a wide variety of
habitats, including rivers, lakes, coastal lagoons, mangroves, peatlands, and coral reefs.
Convention on International Trade In Endangered Species of Wild Fauna and Flora,
Washington, 1973
The Convention on the International Trade in Endangered Species of Wild Fauna and
Flora, which was signed in 1973, restricts international trade in the large number of endangered
and threatened species. These species include all whales, dolphins and porpoises, sea turtles,
some seals (including walrus), marine otters, polar bears, and some fish species. The United
States is a party to this Convention.
Follow-Up on Actions Taken at the 22nd Session of the FAO Committee on Fisheries,
Rome, March 17-20,1997
The United Nations Food and Agriculture Organization was founded in October 1945
with a mandate to raise levels of nutrition and standards of living, to improve agricultural
productivity, and to better the condition of rural populations. Since its inception, FAO has
worked to alleviate poverty and hunger by promoting agricultural development, improved
nutrition, and the pursuit of food security—the access of all people at all times to the food they
need for an active and healthy life. FAO is active in land and water development, plant and
animal production, forestry, fisheries, economic and social policy, investment, nutrition, food
standards, and commodities and trade. It also plays a major role in dealing with food and
agricultural emergencies. As a long-term strategy for the conservation and management of
natural resources, a specific priority of the FAO is encouraging sustainable agriculture and rural
development. It aims to meet the needs of both present and future generations through programs
that do not degrade the environment and are technically appropriate, economically viable, and
socially acceptable.
The FAO Committee on Fisheries (COFI) will address fishing capacity issues, shark
conservation and management, and seabird bycatch avoidance at three technical consultations
early in 1998. Policy-makers from COFI member countries will meet in October 1998 to
recommend plans of action in each of the three areas. The plans of action are to be adopted at the
March 1999 COFI meeting.
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Convention on Future Multilateral Cooperation in the Northwest Atlantic Fisheries, 1979;
Northwest Atlantic Fisheries Convention Act of 1995 (Title II of P.L.104-43)
The mission of the Northwest Atlantic Fisheries Organization is twofold:
(1) to provide for continued multilateral consultation and cooperation with respect to the
study, appraisal, and exchange of scientific information and views relating to the
fisheries of the Convention Area (which is off the Atlantic coasts of Canada and the
United States, from the Virginia Capes to the southern tip of Greenland), and
(2) to conserve and manage fishery resources of the Regulatory Area, i.e., that part of the
Convention Area that lies beyond the areas over which coastal states exercise
fisheries jurisdiction.
The Convention applies to all fishery resources except salmon, tunas, swordfish, marlins,
cetacean stocks managed by the International Whaling Commission, and sedentary species of the
continental shelf. Parties include Bulgaria, Canada, Cuba, Denmark, Estonia, the European
Union, Iceland, Japan, Latvia, Lithuania, Norway, Poland, Republic of Korea, Romania, the
Russian Federation and the United States.
Convention for the Conservation of Salmon in the North Atlantic Ocean, 1982;
Atlantic Salmon Convention Act of 1982 (16 U.S.C. 3601)
This Convention applies to the salmon stocks which migrate beyond areas of fisheries
jurisdiction of coastal states of the Atlantic Ocean north of 3 6°N latitude throughout their
migratory range. The purpose of the North Atlantic Salmon Conservation Organization is: (1) to
promote the acquisition, analysis, and dissemination of scientific information pertaining to
salmon stocks in the North Atlantic Ocean, and (2) to promote the conservation, restoration,
enhancement, and rational management of salmon stocks in the North Atlantic Ocean through
international cooperation. Members include Canada, Denmark, the European Union, Finland,
Iceland, Norway, Sweden, the United States, and the Russian Federation.
Agreement Between the Government of the United States of America and the Government
of Canada Concerning Pacific Salmon, 1985;
Pacific Salmon Treaty Act of 1985 (16 U.S.C. 3631)
The mission of the Pacific Salmon Commission is to serve as a forum for cooperation
between the United States and Canada in the establishment of general fishery management
regimes for the international conservation and harvest sharing of intermingling North Pacific
salmon stocks.
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Treaty on Fisheries Between the Governments of Certain Pacific Island States and the
Government of the United States of America, 1988;
South Pacific Tuna Act of 1988 (16 TJ.S.C 973-973r)
This Treaty provides U.S. fishermen with the opportunity to fish within the exclusive
economic zones of some countries in the South Pacific region under agreed terms and conditions.
It prohibits U.S. fisheries of any kind (not only tuna) except in accordance with the agreement.
Only purse seine fishing for tunas is allowed. A separate economic assistance agreement between
the United States and the South Pacific Forum Fisheries Agency (FFA) is associated with the
treaty. It calls upon the United States to pay 14 million dollars annually to the South Pacific
nations through the FFA. The treaty requires the U.S. tuna industry to pay $4 million annually, in
a lump sum, to the Pacific Island nations through the FFA. Nations party to the agreement
include Australia, Cook Islands, Federated States of Micronesia, Fiji, Kiribati, Marshall Islands,
Nauru, New Zealand, Niue, Palau, Papua New Guinea, Solomon Islands, Tonga, Tuvalu,
Vanuatu, Western Samoa, and the United States. The treaty and the economic assistance
agreement entered into force on June 15, 1988. The treaty has no expiration date. The economic
assistance agreement was initially agreed to extend for a five-year period. In 1988, the treaty was
amended and the economic assistance agreement renegotiated and extended for an additional ten
years.
Convention on Biological Diversity, Rio De Janeiro, 1992
The Convention on Biological Diversity is the main international forum for addressing
biodiversity. Its three objectives are conservation of biological diversity, sustainable use of its
components, and a fair and equitable sharing of the benefits of genetic resources. This
Convention came into force in late 1993 and its Secretariat is located in Montreal. While the
United States signed the Convention in June 1993, it is not a party at this time. The Senate
Foreign Relations Committee favorably reported it to the full Senate in June 1994, but concerns
related to domestic land use issues have stalled action on ratification.
The next Convention on Biological Diversity Conference of the Parties will be in
Bratislava in May 1998. In November 1995, this body adopted the "Jakarta Mandate" on Marine
and Coastal Biodiversity. Work has proceeded slowly on five issues: integrated marine and
coastal area management, marine and coastal protected areas, sustainable use of coastal and
marine living resources, mariculture, and alien species.
Convention for the Conservation off Anadromous Stocks in the North Pacific Ocean, 1992;
North Pacific Anadromous Stocks Act of 1992 (Title VIII of P.L. 102-567)
The North Pacific Anadromous Fish Commission serves as a forum for promoting the
conservation of anadromous stocks and ecologically related species, including marine mammals,
sea birds, and non-anadromous fish, in the high seas area of the North Pacific Ocean. In addition,
this Commission serves as the venue for coordinating the collection, exchange, and analysis of
scientific data regarding the above species within Convention waters. It also coordinates high
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seas fishery enforcement activities by member countries (the Convention prohibits directed
fishing for salmonids and includes provisions to minimize the incidental take of salmonids in
other fisheries in the Convention area). Members include Canada, Japan, the Russian Federation,
and the United States.
Convention on the Conservation and Management of Pollock Resources in the Central
Bering Sea ("Donut Hole Agreement"), 1994
This Convention establishes long-term measures for the conservation, management, and
optimum utilization of the Aleutian Basin Pollock stock in the Central Bering Sea. The stock
experienced a drastic decline prior to the negotiation of this agreement, and remains at a low
level of abundance. There is currently a voluntary moratorium on fishing for pollock in the
"Donut Hole," although fishing may resume under the Convention when stocks reach a
sustainable abundance level. The Convention requires that vessels fishing for pollock in the
"Donut Hole" use real-time satellite position-fixing transmitters and carry observers on board. It
also requires that any vessels fishing in the area consent to boarding and inspection for
compliance with the Convention by enforcement officials of the member states. The agreement
will aid in ensuring the long-term health of pollock stocks in the Central Bering Sea on which the
U.S. pollock industry in the Pacific Northwest in part depends. Parties include the People's
Republic of China, Japan, the Republic of Korea, Poland, the Russian Federation, and the United
States.
Interim Agreement on Yukon River Salmon, 1995;
Yukon River Salmon Act of 1995 (16 U.S.C. 1821)
The Yukon River Panel created by this agreement will make conservation and
management recommendations to the management entities designated by each country,
independent of the Pacific Salmon Commission. The Panel will also undertake research,
management, and restoration activities within the Yukon River basin. The Yukon River is a
major transboundary river, rising in Canada and flowing to the Bering Sea through Alaska. The
Agreement institutionalizes cooperative conservation and management and contains a provision,
unique in international fishery agreements, committing both the United States and Canada to
protect salmon habitat in the Yukon River region. The Agreement is in place while negotiations
continue on other difficult long-term issues and is currently being extended.
LIVING MARINE RESOURCES—NEW AGREEMENTS NOT YET IN FORCE
Agreement to Promote Compliance with International Conservation and Management
Measures by Fishing Vessels on the High Seas (Compliance Agreement)
The Compliance Agreement builds upon the legal framework established by the 1982
United Nations Convention on the Law of the Sea. The fishery provisions of that Convention
contain basic obligations for States whose vessels fish on the high seas to cooperate in the
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conservation and management of living marine resources. Under the Convention, flag States
must also ensure that there is a genuine link between themselves and the vessels that fly their
flag.
The Compliance Agreement builds upon those obligations in order to address a growing
threat to the integrity of multilateral fishery organizations and international fisheries conservation
and management measures: Fishing vessels flying the flag of some States members of such
organizations have in the past increasingly reflagged to nonmember states as a means to avoid
fishing restrictions that would otherwise apply.
Reflagging is only part of a larger problem. A growing number of newly built high seas
fishing vessels are registered directly, without reflagging, in states that are not members of the
major multilateral fisheries organizations, precisely because these states are not bound by the
restrictions adopted-by those organizations. The Compliance Agreement is designed to address
these situations and, more broadly, to bring all high seas fisheries under greater control. The
Agreement has two primary objectives:
(1) to impose upon all states whose fishing vessels operate on the high seas an array of
obligations designed to make the activities of those vessels consistent with
conservation and management needs; and
(2) to increase the transparency of all high seas fishing operations through the collection
and dissemination of data.
These provisions establish a sound basis for conducting high seas fishing while providing
for the effective conservation and management of living marine resources.
The Compliance Agreement forms an integral part of the FAO Code of Conduct for
Responsible Fishing which was adopted by the FAO Conference in November 1995, and the
Conference passed a resolution which urged members and nonmembers of the FAO to accept the
agreement and to bring it into force as soon as possible. The agreement will come into force upon
its acceptance by 25 countries.
On November 3, 1995, President Clinton signed the Fisheries Act of 1995, which
contains the implementing legislation necessary to allow the United States to accept the
Compliance Agreement. The United States deposited its instrument of acceptance for the
Agreement with the FAO on December 19, 1995. Thus far the European Union and nine
countries have deposited instruments of acceptance with the FAO.
Agreement for the Implementation of the Provisions of the United Nations Convention on
the Law of the Sea of 10 December 1982 Relating to the Conservation and Management of
Straddling Fish Stocks and Highly Migratory Fish Stocks, 1995
The Agreement for the Implementation of the Provisions of the United Nations
Convention on the Law of the Sea of 10 December 1982 Relating to the Conservation and
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Management of Straddling Fish Stocks and Highly Migratory Fish Stocks (the Fish Stocks
Agreement) was adopted on August 4,1995.
The Agreement aims to reverse the global trend of declining fish stocks. It preserves
current conservation and management concepts expressed in the United Nations Convention on
the Law of the Sea. It also gives form and substance to this Convention's mandate for States to
cooperate in conserving and managing straddling and highly migratory fish stocks. The
Agreement complements the 1993 Agreement to Promote Compliance With International
Conservation and Management Measures by Fishing Vessels on the High Seas, which itself is an
integral component of the FAO Code of Conduct for Responsible Fisheries, and which was
adopted in November 1995.
The Agreement lays out general principles to be followed by States to conserve and
manage the stocks in question. It prescribes a precautionary approach to fishery management and
advocates compatibility in the measures adopted for stocks within areas of coastal State
jurisdiction and on the high seas. The Agreement specifies mechanisms for cooperation between
coastal States and distant water fishing States, particularly the use of regional or subregional
organizations or arrangements. It also requires strict fisheries enforcement and the collection and
exchange of data on fishing operations, and requires parties to settle disputes using the
procedures established in the 1982 United Nations Convention on the Law of the Sea.
Nations that have ratified (the Agreement will enter into force when 30 nations ratify)
include: Bahamas, Fiji, Iceland, Mauritius, Micronesia, Nauru, Norway, Russia, St. Lucia,
Samoa, Senegal, Solomon Islands, Sri Lanka, Tonga, and the United States.
International Dolphin Conservation Program (currently being negotiated)
This agreement, intended to formalize and strengthen the existing International Dolphin
Conservation Program's provisions mandating dolphin conservation measures in the yellowfin
tuna fishery in the eastern tropical Pacific Ocean, is currently under development. The most
recent negotiating session, held the first week of February, 1998, resulted in the conclusion of an
agreed conservation program. Nations involved include Colombia, Costa Rica, Ecuador, France,
Japan, Mexico, Nicaragua, Panama, the United States, Vanuatu, and Venezuela.
Multilateral Agreement on the Conservation and Management of Highly Migratory Species
in the Western Pacific Ocean (currently being negotiated)
This agreement, intended to establish a management regime for highly migratory species
in the Western Pacific, is currently under negotiation. The next working group sessions are
scheduled for March 1998; a plenary session is scheduled in June 1998.
Nations involved in negotiations include: Australia, Cook Islands, Federated States of
Micronesia, Fiji, Kiribati, Marshall Islands, Nauru, New Zealand, Niue, Palau, Papua New
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Guinea, Solomon Islands, Tonga, Tuvalu, Vanuatu, Western Samoa, Japan, Taiwan, China,
Korea, the Philippines, and the United. States.
MARINE TRANSPORTATION
Convention on the Intergovernmental Maritime Consultative Organization, 1948
The Convention establishing the Intergovernmental Maritime Consultative Organization,
a specialized agency of the United Nations, entered into force in 1958. The name of the
organization was changed to the International Maritime Organization (IMO) in 1982. The
purpose of the IMO is to provide machinery for cooperation among governments in
governmental regulation, policy, and practice relating to technical matters of all kinds that affect
shipping engaged in international trade. It aims to encourage and facilitate the adoption of the
highest practicable standards in matters concerning maritime safety, efficiency of navigation, and
prevention and control of marine pollution from ships. The IMO has 155 member states and two
associate members. Many non-governmental organizations and observers also participate in IMO
meetings. Since its inception, 30 Conventions and Protocols and over 700 codes and
recommendations concerning maritime safety, prevention of marine pollution, and related
matters have been adopted under the auspices of the IMO, some of which are discussed below.
The IMO also focuses on the effective enforcement and implementation of these conventions,
codes, and other instruments.
International Convention on Civil Liability for Oil Pollution Damage (CLC), 1969;
International Convention Establishing a Fund for Compensation of Oil Pollution Damage
(Fund Convention), 1971
The CLC and Fund Convention were negotiated in 1969 and 1971 respectively, to
establish an international regime of liability and compensation for pollution damage from oil
tanker spills. The CLC established a regime of strict liability on tanker owners to pay for damage
up to $20 million. Above this amount, the international fund created by the Fund Convention
provides additional compensation up to a total per incident of about $86 million. The United
States never ratified these conventions, due in large part to the limits which were considered
insufficient to cover damages and cleanup costs from major oil spills. In 1984, Protocols were
negotiated to both conventions which increased ship owner liability to a maximum of nearly $86
million, and increased the total per incident compensation to about $194 million'(the total
compensation would rise to about $260 million if the United States were a party). After further
technical amendments, these Protocols were adopted in 1992 and entered into force
internationally in 1996. The United States is not a party to either Protocol and has adopted a
unilateral domestic liability and compensation regime.
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International Convention for the Prevention of Pollution From Ships,
as amended (MARPOL Convention), 1973/1978
The MARPOL Convention, which entered in force in 1983, is the primary international
agreement aimed at preventing or reducing intentional and accidental discharges from ships into
the marine environment. The MARPOL Convention and mandatory Annexes I and II deal with
discharges of oil and noxious liquid substances in bulk, respectively. Optional Annexes III, IV
and V deal with packaged harmful substances, sewage, and garbage, respectively. MARPOL and
Annexes I, II, III, and V are in force both internationally and for the United States. Annex VI,
dealing with air pollution from ships, was negotiated in 1997 but is not yet in force. Another
Annex, currently under negotiation, will be aimed at preventing the introduction of aquatic
nuisance species, such as the zebra mussel, through ships ballast water.
The MARPOL Convention greatly reduces the amount of oil and ship generated waste
which can be discharged into the sea by ships and bans such discharges completely in certain
special areas. For example, the Caribbean and Gulf of Mexico have been designated as special
areas where the dumping of ship generated waste, including plastic, is prohibited. This
designation will become effective as soon as adequate reception facilities for such waste are
available in the region.
International Convention on Oil Pollution Preparedness, Response, and Cooperation
(OPRC Convention), 1990
The OPRC Convention, which entered into force in 1995, was negotiated to provide an
international framework for cooperation in combating and responding to major oil pollution
incidents, and to enhance existing national, regional, and global capabilities concerning oil
pollution, preparedness, response, and cooperation. The OPRC Convention encourages all parties
to enter into bilateral and regional response agreements to prepare for and respond to oil spills,
and establishes a voluntary mechanism for parties to provide technical assistance in the form of
equipment and training to other parties that request it. It also requires parties to establish national
systems for preparedness and response which would include shipboard oil pollution emergency
plans, and reporting requirements for oil pollution incidents. Even before the OPRC Convention
entered into force, its provisions on cooperation were effectively utilized on a provisional basis
to respond to the massive oil pollution of the Persian Gulf during the 1991 Gulf War.
International Convention on Liability and Compensation for Damage in Connection with
the Carriage of Hazardous and Noxious Substances by Sea (HNS Convention), 1996
The HNS Convention establishes an international regime of liability and compensation
for damages resulting from maritime accidents involving the carriage of hazardous and noxious
substances, similar to the international liability and compensation regime for oil which is
described above. Maximum ship owner liability is set at approximately $133 million and the
international fund will increase the total per incident compensation to approximately $334
million. At present, only one State is a party to the Convention but several European States and
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Canada are well along in the ratification process. The Clinton Administration is in the process of
deciding whether to submit the HNS Convention to the Senate for advice and consent. Several
difficult issues are under consideration, including preemption of U.S. liability statutes, which
were particularly troublesome in the context of the international liability and compensation
regime for oil.
International Convention on supplemental Compensation for Nuclear Damage
(Supplemental Convention on Nuclear Damage) 1997
The Supplemental Convention on Nuclear Damage, was negotiated under the auspices of
the International Atomic Energy Agency to provide supplemental compensation for civil
damages resulting from a nuclear accident, including an accident involving the transport of
nuclear materials by sea. It establishes an international fund that would provide compensation of
approximately $400 million, over the first $400 million of the liability limits provided by a
party's domestic legislation. In order to become a party to the Supplemental Convention a State's
liability legislation or international obligations must meet certain minimum criteria, including
strict liability, channeling of liability to the operator, and a single forum for jurisdiction among
parties. It also creates a mechanism that facilitates States entering into global international
agreements on civil nuclear liability that does not currently exist.
THE ANTARCTIC AND ARCTIC
The Antarctic Treaty, Washington, 1959
The Antarctic Treaty, which entered into force in 1961, applies to the area south of 60°S
including all ice shelves. The Treaty guarantees freedom of scientific research in Antarctica;
establishes Antarctica as a zone reserved exclusively for peaceful purposes; bans military
activities, including weapons testing; and prohibits nuclear explosions and the disposal of
radioactive waste. It also provides the right of onsite inspection of all stations and installations in
Antarctica to promote the objectives of the Treaty and to ensure compliance with its provisions.
The Treaty freezes the question of previously asserted rights and claims to territorial sovereignty
in Antarctica, and provides that no acts or activities carried out while the Treaty is in force will
constitute a basis for a claim. The Antarctic Treaty provided for consultative meetings to
exchange information, consult on matters of common interest, and recommend measures in
furtherance of the principles and objectives of the Treaty.
As a result of these consultative meetings, approximately two hundred recommendations
have been agreed to by the consultative parties. The recommendations incorporate measures to
give effect to the principles and purposes of the Antarctic Treaty. Recommendations adopted at
consultative meetings include initiatives which have led to the conclusion of separate agreements
which address resource issues. Two such agreements are in force: the Convention for the
Conservation of Antarctic Seals (concluded 1972, entered into force 1978) and the Convention
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on the Conservation of Antarctic Marine Living Resources (concluded 1980, entered into force
1982).
The consultative parties adopted a Protocol on Environmental Protection in Madrid on
October 4, 1991, which entered into force on January 14, 1998. The Protocol designates
Antarctica as a natural reserve, devoted to peace and science, and sets forth basic principles and
detailed mandatory rules applicable to human activities in Antarctica, including obligations to
accord priority to scientific research. The Protocol also establishes a Committee on
Environmental Protection as an expert advisory body to provide advice and formulate
recommendations for consideration at the consultative meetings.
The Treaty is open to any member of the United Nations. Thirty-one additional countries
have joined since it came into force in 1961: Austria, Brazil, Bulgaria, Canada, China, Colombia,
Cuba the Czech Republic, Denmark, Ecuador, Finland, Germany, Greece, Guatemala, Hungary,
India' Italy, the Republic of Korea, the Netherlands, Papua New Guinea, Peru, Poland, Romania,
the Slovak Republic, Spain, Sweden, and Uruguay. Of these, Brazil, China, Ecuador, Finland,
Germany, India, Italy, Republic of Korea, the Netherlands, Peru, Poland, Spain, Sweden, and
Uruguay have since become consultative parties entitled to attend and vote at consultative
meetings provided for under Article IX of the Antarctic Treaty. Consultative status is open to
representatives of any acceding party during such time as that party demonstrates its interest in
Antarctica by the conduct of substantial scientific research there. Representatives of all other
Antarctic Treaty parties may participate in consultative meetings as observers if they wish to do
so. These meetings are held annually to consult on matters of common interest to Antarctica and
to recommend to the Consultative party governments measures which will further the objectives
of the treaty.
The Convention for the Conservation of Antarctic Marine Living Resources, 1980
The Convention for the Conservation of Antarctic Marine Living Resources establishes
the legal obligations and mechanism for dealing with fishing activities in the waters around
Antarctica. This Convention requires that management action take into account the impact of
activities on all living organisms in the Antarctic ecosystem. More specifically, the objectives of
the Convention are to ensure that:
(a) exploited populations not be allowed to fall below a level close to that which ensures
their greatest net annual increase;
(b) depleted populations be restored to such levels;
(c) ecological relationships between harvested, dependent, and related species be
maintained; and
(d) risks of changes to the marine ecosystem that are not potentially reversible over two
or three decades be minimized.
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A Survey of International Agreements
The original signatories to the Convention were Argentina, Australia, Belgium Chile
France, the Federal Republic of Germany, the German Democratic Republic, Japan New
Zealand, Norway, Poland, South Africa, the United Kingdom, the United States, and the
U.S.S.R. It entered into force on April 7, 1982.
Declaration on the Arctic Council, 1996
The eight Arctic governments1 met in Ottawa on September 19, 1996, and signed the
Declaration on the Arctic Council, which established the Arctic Council as a high-level forum to
promote cooperation among the Arctic states on issues of mutual concern that require
circumpolar cooperation. The Council incorporates the structure of the Arctic Environmental
Protection Strategy, which was created in 1991 to foster cooperation in solving Arctic
environmental problems. In establishing the Council, the Arctic governments took particular note
of the important role Arctic science and research play in adding to the collective understanding of
the circumpolar Arctic. The Arctic Council currently comprises four subsidiary groups: Arctic
Monitoring and Assessment Program, Conservation of Arctic Flora and Fauna, Protection of the
Arctic Marine Environment, and Emergency Prevention, Preparedness and Response. Two of the
most notable results of the Arctic Environmental Protection Strategy and the Arctic Council in
the area of protecting northern waters have been the publication of Arctic Offshore Oil and Gas
Guidelines in English and Russian, as well as ongoing activities within the Protection of the
Arctic Marine Environment working group to develop a "Regional Program of Action for the
Protection of the Arctic Marine Environment from Land-Based Activities." The Arctic Council is
a forum for consultation but does not have an independent organizational structure with a
secretariat.
Agreement on the Conservation of Polar Bears
In 1973, the United States, Norway, Denmark, Canada, and the former Soviet Union
signed the international Agreement on the Conservation of Polar Bears. The United States
ratified the Agreement in 1976. Under the terms of the Agreement, it became the responsibility
of each nation to develop conservation programs to promote compliance with the Agreement
The Marine Mammal Protection Act of 1972, as amended, served that purpose, vesting authority
in the U.S. Fish and Wildlife Service for the management and conservation of polar bears. Both
the Agreement and the Marine Mammal Protection Act prohibit the take of polar bears in United
States territory except in specified circumstances (by Alaskan Natives for subsistence purposes).
1 The United States, Canada, Denmark/Greenland, Finland, Iceland, Norway, Russia, and Sweden.
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A Survey of International Agreements
LIST OF ACRONYMS
FAO Food and Agriculture Organization (United Nations)
FFA South Pacific Forum Fisheries Agency
ICES International Council for the Exploration of the Sea
IMO International Maritime Organization
UN United Nations
UNEP United Nations Environment Programme
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MARINE EDUCATION, U.S.A.:
AN OVERVIEW
Contents
1. INTRODUCTION
2. HISTORICAL BACKGROUND £t
3. INFORMAL MARINE EDUCATION £~f
4. K-12 MARINE EDUCATION ^T~n
5. HIGHER EDUCATION £~"
6. ETHNIC MINORITIES £~ *
7. CAREER OPPORTUNITIES £~™
8. CONCLUSIONS . 5^
9. OPTIONS FOR CONSIDERATION . ' 1/99
10. REFERENCES ^
11. LIST OF ACRONYMS ^
This Year of the Ocean document was prepared as a background discussion paper and does not
necessarily reflect the policies of the U.S. Government or the U.S. Government agencies that
participated in its preparation.
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1998 Year of the Ocean
Marine Education U.S.A.: An Overview
INTRODUCTION
This document provides an overview of marine education in the United States in 1997.
For the purposes of this report, marine education refers to the education related to the ocean
coastal waters, and the Great Lakes. Aquatic education is a broader term that includes all inland
waters (rivers lakes, and wetlands). Environmental education is another term broader than
marine education. These are not directly covered by this report. Formal marine education is
carried out at schools, colleges and universities. Informal marine education occurs in the media,
at public aquaria, and by various public and private agencies and organizations.
The Advisory Committee on Protection of the Sea's May 1997 report of the Oceans and
Security Conference, includes the "Potomac Declaration: Towards Enhanced Ocean Security into
the Third Millennium." :
Recognizing that: .
Continuing intensification of human activity in coastal and marine areas will adversely
affect marine and coastal ecosystems world-wide and threatens the well-being of the
human population. The natural resource base of world fisheries is threatened by
overexploitation, habitat degradation, introduction of alien species and loss of biological
diversity. Human security is threatened by unsustainable food production, increased
public health hazard and unemployment, which may contribute to escalating human
conflicts Humans themselves have entered into conflict with the very environment that
supports them. It is vital to take immediate action to strengthen environmental security if
global human security is to be sustained;
Climate change threatens to affect ocean levels and temperature, the land and peoples
living in low elevation coastal regions, and species dependent on ocean and land touched
by oceans. The oceans play an essential role in the planet's climate, though the
mechanisms are poorly understood; and
Sustainable development, including conservation of the marine environment, can actually
increase environmental, food and economic security and therefore provide a foundation
for political security.
Recommendation 10 from the Oceans and Security Conference states:
"Concerted national and international efforts should be undertaken to introduce
environmental studies into all levels of formal school curricula at a global level, in order
to eliminate environmental illiteracy, increase environmental awareness, and promote
deeper environmental ethics. Up-to-date scientific knowledge about the oceans should be
popularized and disseminated to the public through both formal education and creative
communication channels such as arts, music, and multi-media. In support of this effort
the year 2000 should be declared as the "Year of Environmental Awareness" by the UN
General Assembly at its forthcoming Special Session."
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Marine Education U.S.A.: An Overview
HISTORICAL BACKGROUND
It is only fitting that any discussion of marine education in the United States begin with a
recognition of the contribution that Benjamin Franklin made as the publisher of the first chart of
the Gulf Stream in 1770. In order to speed up the delivery of mail and goods from America to
Europe, he urged that ships stay in the Gulf Stream to take advantage of the current Based on
measurements of temperature he took in his Atlantic crossings in 1775 1776 and 1785 he
advocated using regular temperature readings to ensure that the ship remained in the relatively
warmer waters of the Gulf Stream. Franklin's cousin, Captain Timothy Folger of Nantucket
Massachusetts, provided essential information about the Gulf Stream and assisted in making the
first chart. Folger was an experienced whaling ship captain who was familiar with the North
Atlantic Ocean.
In 1 83 8, the first American scientific voyage of discovery was launched. The United
States Exploring Expedition, under the leadership of U.S. Navy Lieutenant Charles Wilkes was
a four-year expedition which resulted in a final report of 19 volumes of maps text and '
illustrations, including 241 new maps and charts.
«. T rex1161"' °n AUgUSt 13' 1 825' MidshiPman Matthew Fontaine Maury had been assigned to
the USN Frigate, Brandywine, whose first duty assignment was to return General Lafayette to
France following the mourning of the simultaneous deaths of Thomas Jefferson and John Adams
°ni icS \ MaUty kept a diary °f Ws observations at sea, and his recordkeeping expanded
in 183 1 when he became sailing master of the Falmouth. On October 17, 1839 Maury was
thrown from a stagecoach in an accident and sustained multiple injuries that precluded his return
to sea. Fortuitously, Maury was reassigned as Superintendent of the U.S. Navy Depot of Charts
and Instruments, later to become Superintendent of the U.S. Naval Observatory In these new
positions, he assiduously collected information from ships' logs. His first oceanography book
The Physical Geography of the Sea, was published in 1 854 and was followed by seven revisions
The book was both popular and influential and is an important milestone in the history of marine
education in America.
Two other popular books written in the 19th century by Americans also contributed to the
public s knowledge about the sea. Two Years Before the Mast, by Richard Henry Dana
documented his voyage around Cape Horn from New England to California. It provided the
public with a true, first hand account of shipboard life and waves and weather across more than
100 degrees of latitude in two oceans. The other book, Herman Melville's Moby Dick while a
novel, described many aspects of the life of a whaler and much information about whales and
other sea life. Both books were important early sources of information for the public about the
sea.
Science teachers in New England began receiving the first summer training in marine
biology in the late 1870s under the leadership of Harvard University's famous naturalist
Alexander Agassiz. In addition to having founded the Museum of Comparative Zoology at
Harvard, he was also the founder of the first U.S. marine station, the Anderson School of Natural
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Marine Education U.S.A.; An Overview
History on Penikase Island, Buzzard's Bay, Massachusetts. There, the teachers, who were all
women stayed in a dormitory at Woods Hole, Massachusetts, and studied local marine life
while learning new techniques using microscopes and dissection instruments. This represented a
new, hands-on approach for pre-college education. Indeed, the study of science was just being
introduced in schools at this time.
Scripps Institution of Oceanography was founded in 1903 and became a part of the
University of California, Los Angeles in 1912. During the first half of the 20th century, virtually
all the U S oceanographers were trained at this institute . It remains a cornerstone of leadership
and research in the oceanographic community and in higher education. Woods Hole
Oceanographic Institution was originally a marine biological laboratory and did not offer
graduate degrees until the post-World War II era. In fact, the other leading institutions of higher
education in oceanography did not play a significant role until after World War II.
World War II was a major milestone in marine science and education. Of course, many
neoDle went to sea for the first time. Sea warfare, especially submarines and aircraft carriers,
created new strategic ocean-related needs. In 1942, the last single volume (1,087 pages) was
published containing everything known about oceanography, The Oceans by H.U. Sverdrup,
Martin W. Johnson, and Richard H. Fleming. The field of oceanography has grown
geometrically since then.
The deep dives by Andreas Rechnitzer, Don Walsh (both U.S. Navy) and Jacques Piccard
in the bathyscaph, Trieste, captured the American pride in 1959 and 1960 after the cultural shock
of Sputnik in 1958. These dives, the first television shows by Jacques Cousteau, and the
emerging theory of plate tectonics raised the awareness level of the American public. A new
exploratory submarine, Alvin, was launched. Amidst the excitement, many new ideas emerged.
Three had special significance for marine science and education. One was the theory of plate
tectonics, which forced a rewriting of textbooks at all levels, and a new general understanding of
why earthquakes occur and why they occur where they do. A second idea came from Dr. Carl
Hubbs at Scripps Institution of Oceanography. He thought a facility that would bring people in
proximity to wnales could prove educational. Thus, the idea for Sea World came to fruition with
private sector support. Third, Dr. Athelstan Spilhaus, an eminent scientist, thought that the
United States should enact a Sea Grant Act patterned after the Land Grant Act but focused on the
sea With support from the new Dean of the School of Oceanography at the University of Rhode
Island, John Rnauss, Senator Claiborne Pell, and many others, the Sea Grant Act was enacted m
1966.
The period of 1969-1974 was a time for a call to action in the environmental arena.. It
was during this time that the Environmental Science and Services Administration, later to
become the National Oceanic and Atmospheric Administration (NOAA), was established.
Notable legislation enacted included: the Endangered Species Act, the Marine Mammal
Protection Act; the National Coastal Zone Management Act; the Marine Protection, Research
and Sanctuaries Act; the Federal Water Pollution Control Act; and the Clean Air Act. It was also
during this period that the U.S. Environmental Protection Administration (EPA) was created.
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President Richard M. Nixon supported the initiation of the UN Law of the Sea deliberations and
set the agenda for them. He also supported the UN Resolution on Prevention and Control of
Marine Pollution. From this brief summary of events during his administration, it is possible that
history may come to view President Nixon as one of the greatest "environmental presidents." .
For marine education in the 1970s, the resonant call to action produced multiple
responses. New aquaria were built and Sea World expanded. Ocean-related television programs
proliferated, with those featuring the prominent oceanographic explorer, Jacques Cousteau,
being among the most notable. The National Marine Educators Association was established in
1976. The National Sea Grant College Program funded many initiatives in K-12 curriculum
development. Interest and excitement peaked in 1977 with the discovery of the Galapagos deep
sea hot springs and their associated chemosynthesis-based food web.
The stage is now set for a look at the current state of marine education.
INFORMAL MARINE EDUCATION
SeaWeb
"SeaWeb" was established in 1996 by the Pew Charitable Trusts to provide information
about the ocean and ocean-related issues to the public. It is a multi-media educational
organization designed to make the public more aware of the ocean and ocean life. It does no
lobbying. One of SeaWeb's first endeavors was to contract with The Mellman Group to carry out
a national survey of public attitudes towards, and knowledge about, the ocean, ocean life, and
ocean-related issues.
The results of the SeaWeb survey provide a promising picture on the level of awareness
and importance of marine issues to the public. The most startling finding was that people (72
percent) believe that ocean exploration is a higher priority than space exploration. Many people
(87 percent) consider the ocean to be important to them. Most people (67 percent) believe the
ocean is in trouble. A majority (58 percent) believe the condition of the oceans has deteriorated
in the past few years, and many (87 percent) see the destruction of the ocean as a threat to their
quality of life. A large majority of the people in this survey (82 percent) attributed the
deterioration and threats to the ocean to human activity. Although Americans generally want less
government in their lives, 85 percent would like the federal government to do more to help
protect the ocean. Finally, when asked the question, "Which messenger of information about the
environment do you trust a great deal?", people chose National Geographic Magazine (68
percent), Jacques Cousteau (63 percent), zoos and aquaria (51 percent), and NOAA (49 percent).
Prominent elected officials, regardless of party, were very low on this list.
The SeaWeb survey establishes the importance of the ocean to the American public and
the readiness of the public to take action to remedy ocean-related issues. As one of its
educational activities, SeaWeb has begun publishing a monthly, "Ocean Update," focusing on
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current issues and providing contacts for further information (website address:
www.seaweb.org). SeaWeb also sponsors a 90- second "Ocean Report" on National Public Radio
and Voice of America with Sylvia Earle.
Aquaria
Aquaria, maritime science centers, and museums are currently a major source of informal
marine education for the public. At this time, there are twenty-seven aquaria around the country,
some for-profit, some for nonprofit. Education is a fundamental goal for all of them. Most
aquaria have extensive educational outreach programs for school children and children in other
groups (Scouts, Boy/Girls Clubs, etc). The outreach programs include escorted tours at the
aquarium, classroom visits by aquarium staff, books, tapes, and curriculum materials.
Some of the best known of these facilities are Sea World, Monterey Aquarium, Waikiki
Aquarium, the National Aquarium at Baltimore, the New England Aquarium, the Miami Sea
Aquarium, and the Chicago Aquarium. In 1998, a new Maritime Discovery Center will open in
Seattle. In 1999, a new aquarium will open in Charleston, South Carolina, and another in Long
Beach, California, in 2000. New facilities are in the planning stage in Erie, Pennsylvania, and
Denver, Colorado. These facilities are extremely popular and annually host millions of people to
whom they provide high quality marine education opportunities. This approach to providing
marine education is highly successful. It could possibly be improved by cooperative input from
federal agencies as is now being initiated through Coastal America, a federal, multi-agency
consortium.
Media
As indicated by the SeaWeb survey, the national media have an excellent reputation with
respect to informing the public about the ocean/Most notable is the National Geographic Society
. This organization's magazine has a large public circulation, is relatively inexpensive, and is in
most school libraries. A notable example is the National Geographic issue of November, 1995,
whose theme is "Exploring the Ocean's Bounty: Diminishing Returns." Other efforts by the
Society in partnership with IBM have produced state-of-the-art CD-ROMs on marine life. It is
widely recognized that the Society's television specials are high quality and popular, which
explains why they are often shown on PBS-TV pledge nights. The National Geographic Society
plans a one hour special for the Year of the Ocean to be shown on NBC-TV in 1998.
Everyone will miss Jacques Cousteau and he can never be replaced. His role in providing
marine education for the world public is unmatched and unique. He has left a legacy of books
and television programs for the continued benefit of the public. Some other individuals have
made important contributions to informal marine education. In the 1950s, Thor Heyerdahl
captured the attention of the world with his ocean voyages, books, and films. Currently, Robert
Ballard, through his JASON project, has reached many people—especially young people. He has
collaborated with the National Geographic Society in producing television specials. Another
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Marine Education U.S.A.: An Overview
prominent spokesperson is Sylvia Earle, who serves on the Board of Directors for SeaWeb and
has served as Chief Scientist for NOAA.
A recent spokesperson for the ocean, Jane Lubchenko, has gained prominence as
President of American Association for the Advancement of Science. As a marine biologist
studying coastal, rocky-shore ecology, she has raised the knowledge and awareness of many
about the vulnerability of the coastal zone to human impacts.
There have been many modern books that have made major contributions to the
understanding of the sea by the public. Rachel Carson's books, The Sea Around Us and Under
the Sea Wind, were both best sellers and have served to educate and heighten the awareness of
the public about the sea since their publication thirty years ago. A recent best seller, The Perfect
Storm, by Sebastian Junger, gives a riveting account of men and women at sea struggling against
the sea and weather. This nonfiction account of three storms coalescing off New England in
October, 1991, is an excellent source of information about the sea.
Newspapers and national magazines are increasing their coverage of environmental
issues, including the ocean. Global warming is a high-profile international issue which now has
frequent and comprehensive coverage. The predicted El Nino, 1997-98, has received similar
coverage. Many scientists have been quoted and the media has made a significant effort to
educate the public about the science involved. Many elements of the national media have
increased their coverage of such ocean-related issues as global climate change, El Nino, and
fisheries. Occasional disasters, such as Hurricane Andrew and the Exxon Valdez oil spill, have
also led to expanded media coverage of the ocean and subsequent education of the public.
Federal Agencies
Identifying the federal agencies involved in informal marine education is not entirely
straightforward. Determining how much these agencies spend on informal education is an
impossible task. The problem is that many agencies have a general responsibility for education
with no specific staff educators or budget. To a large extent, responsibility lies in a public affairs
office, as in the case of the U.S. Coast Guard. Then too, it also depends on the definition of
informal marine education. For example, if one includes boater education, The U.S. Coast Guard
plays a large role. For this report, agencies with a budget and legislative mandate for informal
marine education will be highlighted.
In the National Oceanic and Atmospheric Administration (NOAA) of the Department of
Commerce, programs in three offices have specific informal marine education responsibilities.
Obviously, the National Weather Service is a major provider. With more than 50 percent of the
nation's population living within 100 miles of the coast, information about weather, tides, and
waves along the coast is of continuing interest to the public. The National Weather Service
maintains local forecast offices, provides information on the Weather Channel and other
broadcast outlets for television and radio, and has special severe storm, watch centers. The
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National Weather Service does an outstanding job of meeting its informal marine education
responsibilities.
The National Sea Grant College Program in NCAA's Oceanic and Atmospheric Research
Division supports informal education through its local programs in 30 coastal and Great Lake
states and Puerto Rico. In Fiscal Year 1997, Sea Grant funds six special informal education
projects for $486,000. Most of its activities in this area are carried out by marine educators and
marine advisors through local marine extension programs. The activities are diverse and range
from teacher workshops to boater education and safe handling of seafood. Some of the activities
are community-based efforts such as beach clean-ups. Others are national in scope such as
MarinaNet, which provides information and education to marina owners and operators, and the
Hazard Analysis and Critical Control Point system, which provides Food and Drug
Administration-approved safe handling techniques to people in the seafood industry. Testimony
in Congress at the recent Sea Grant reauthorization hearings and a recent study by the National
Research Council endorse the success and high quality of these efforts.
The National Marine Sanctuaries Program and the National Estuarine Research Reserves
System in NOAA's National Ocean Service also have informal marine education responsibilities.
One of their mandates is "resource protection through enhanced public awareness, understanding,
appreciation, and wise use of the coastal and marine environments." There are presently 12
sanctuaries and 22 estuarine reserves. Sanctuaries has been granted special authority to organize
"friends" groups to help support local sanctuaries. Sanctuaries and Reserves both have education
visitor centers for the public and school children. They provide supplemental school curricular
activities, sponsor nature walks, and publish informative newsletters. These activities are limited
in scope but highly successful and effective at their local sites.
Coastal America is a partnership of representatives of eleven federal agencies including
NOAA the Environmental Protection Agency, the U.S. Navy, the U.S. Army Corps of
Engineers, and the Department of the Interior. Their activity in informal marine education is to
designate Coastal Ecosystem Learning Centers at various aquaria and to provide appropriate
enrichment materials from each participating agency at the Centers. This is a new effort and only
five learning centers, such as at the New England Aquarium, are functioning. It shows great
potential for disseminating materials from diverse agencies. Also, Coastal America offers an
opportunity to coordinate informal marine education activities among the partnering agencies.
The Smithsonian Institution has a long record of high quality informal education. Each of
the Smithsonian museums has its own education program. None of the museums is specifically
marine oriented, although the Museum of Natural History has many marine exhibits including
special displays, and a traveling exhibit and documentary movie for "1997, International Year of
the Coral Reef." Their outreach effort on coral reefs has reached millions of Americans during
the past year. Their magazine, The Smithsonian, sometimes carries marine-related articles and
has substantial public circulation. The Smithsonian also has another traveling exhibit called
"Project Ocean Planet Awareness."
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The U.S. Coast Guard, as previously mentioned, has a significant and important role in
informal marine education. The principal responsibility rests in the Office of Navigation, Safety
and Waterway Services. The specific responsibilities include enforcement of federal laws and
regulations (and dissemination of knowledge about them), supervision of local Coast Guard
Auxiliary operations, establishment of pleasure craft safety standards, administration of public
education and training programs (especially regarding handling of all vessels and pollution
control), and liaison with other organizations and state and local agencies concerned with boating
safety and water pollution. The Boating Education Branch administers an extensive public
information program which includes distributing literature, offering courses, and making
announcements for the media. Recreational boating represents a $20 billion dollar industry in the
United States with a 10 percent annual growth rate. The main problem for the USCG is its
multiple responsibilities. It does an outstanding job with limited resources.
The Department of the Interior's National Park Service, through some of its parks,
monuments, and national seashores, maintains site specific programs in informal marine '
education. There are visitor centers at each of these sites with educational exhibits, special
programs, nature hikes, and book stores. The National Park Service has a World Wide Web site
called The Learning Place (http://www.nps.gov/interp/learn.htm) with many educational
materials, especially for teachers.
The U.S. Environmental Protection Agency (EPA) provides and supports a wide array of
marine education mechanisms that reach targeted technical audiences, children, the general
public, and industry groups. EPA's Marine Debris Curriculum, available in both English and
Spanish, provides lesson plans and activities to help teach grade school students about marine
debris, where it comes from, how it can harm the environment, and what they can do to help
reduce the amount of debris entering marine waters. The National Estuary Program contains a
public outreach and education component, and all 28 estuary programs around the country
include a Citizens Advisory Committee to educate citizens about threats to their estuaries and
involve them in devising solutions to those threats. Numerous training courses are offered to
EPA constituent groups on topics such as coastal resource protection at the local level,
consensus-building for watershed planning, and volunteer monitoring in estuarine waters.
Technology transfer is also emphasized in many of EPA's ocean and coastal programs such as an
effort underway in the wider Caribbean to share low-cost methods for managing land-based
sources of marine pollution, and EPA's support of the Coastlines newsletter to provide local
communities with a source of applied coastal management techniques and contacts to protect
their coastal watersheds.
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K-12 MARINE EDUCATION
National Standards
The National Science Education Standards by the National Research Council (National
Academy Press, Washington, DC, 1996) contain almost no mention of the ocean.i There is no
mention of the oceans or life in the sea in the major sections on Physical Science, Life Science,
Science and Technology, Science in Personal and Social Perspectives, or History and Nature of
Science The citations above are in Earth and Space Science. Inferred references can be found in
the citations regarding water, although a knowledgeable person would need to point these out. In
the references to fossils, evolution and biological diversity, the ocean connection is never
explicit The words "ocean," "sea," "marine," or even "water," do not appear in the index. This
omission is appalling. Of course, no oceanographers were on the consulting advisory panel
There is a crucial need for an addendum to the National Science Education Standards detailing
how the ocean fits in with the cited standards.
Admiral (ret.) James Watkins, President of the Consortium for Ocean Research and
Education (CORE), recognized this omission and pointed out that, in fact, the ocean sciences
comprise "one perfect implementation mechanism to meet national standards." In his address to
the National Marine Educators Association conference in Chicago, August 1997, he said, The
so-called content standards of the National Science Education Standards include categories, each
of which I will discuss in conjunction with utilizing ocean sciences as the ideal implementing
tool." To this end , Admiral Watkins remarked on the following categories:
Unifying Concepts and Processes in Science. "The science of biochemistry, which is
one of the most interdisciplinary fields ever developed, was invented by marine scientists
in order to understand the global carbon budget and its role in controlling climate."
Science as Inquiry. "Ocean science is still a science of untold discoveries. Each research
cruise raises as many new questions as it answers old ones. Some refer to oceans as the
last frontier here on earth."
Physical Science. "Study of the sea covers every aspect of physics, from the classical
dynamics of wave theory, to the most fundamental aspects of high energy physics related
to how sea water interacts with deep undersea muons and neutrinos. It is these studies
which will feed into our understanding of such seemingly unrelated subjects as nuclear
fusion as an energy source."
Life Science. "The ocean holds the key to the origins of life, as shown in the
chemosynthetic behavior of deep-sea vent biota. How can life exist in the absence of
1 Here are the oniv citations' (1) page 159, "ocean floors are the tops of thin oceanic plates," "...to change continuously earth's
conditions such as the position of mountain ranges and oceans.
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Marine Education U.S.A.: An Overview
sunlight, and often in hostile environments prohibitive to their counterparts with which
we are familiar in shallower waters?"
Earth and Space Science. "Even a subject as seemingly remote as the study of asteroids
is now being addressed through analysis of deep-sea cores where sediments have revealed
the clues to the extinction of dinosaurs 65 million years ago."
Science and Technology. "Every aspect of technology, including communications,
advanced materials, information technology, and sensor design, is critical to ocean
sciences, and made even more difficult by the forces of the operating environment.
Arguably, in many aspects, deep ocean research is more technologically challenging than
studying rocks on Mars."
History and Nature of Science. "The history of oceanography is one of basic research
feeding immediately into societal needs -- defense and fisheries are the classic examples,
but new issues such as coastal hazard mitigation and sustainable development of mineral
resources will demand even stronger ties between the social sciences and ocean sciences."
Textbooks
None of the major publishers of public school textbooks publishes one on oceanography,
marine science, or marine biology for the K-12 portion of formal education. Many publishers
have sections of Earth Science textbooks that relate to the oceans. Most are compendia of facts or
concepts about the ocean such as tides and plate tectonics, which tend to be complicated. The
coverage of other topics in the ocean sciences is sparse. The authors and editors of these volumes
appear to have little knowledge about the oceans except what they may have read in a college
textbook. They also seem unaware that many children in the United States have been to the
ocean often; after all, 50 percent live within 100 miles of the shore. Many children thus have an
experiential base to build on. There is a major need for a national conference/workshop to
educate the authors and editors of the major textbook publishing companies about the ocean and
how this knowledge can be infused into the K-12 science and social science curriculum.
Curricula
While textbooks in marine education are scarce and inadequate for K-12 education, the
same cannot be said for available curricula. The Consortium for Ocean Research and Education
(CORE) is compiling an inventory of K-12 marine education programs. This is due to be
published in 1998 and will provide much needed information on a national basis.
Federal agencies, especially Sea Grant and the National Science Foundation (NSF), have
funded the development of marine science curricula for K-12 use. Some of these have been in
use for several years by many teachers, and have been cited for excellence by various
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organizations such as the National Science Teachers Association (NSTA) and the U.S.
Department of Education.
The Hawaii Marine Science Studies program was developed by the Curriculum Research
and Development Group at the University of Hawaii. It is designed as a one or two year
integrated science program for grades 9-14. It is a hands-on, multidisciplinary program with a
marine theme that integrates science, technology, and environmental studies. The Fluid Earth
portion has units on waves and beaches, physical oceanography, chemical oceanography, and
transportation. The Living Ocean portion deals with fish, invertebrates, plants, and ecology. This
is not a Hawaiian-only program. The program has been reviewed by at least 50 marine scientists
and tested in the classroom by over 400 teachers to date. Clearly, this is a high quality program
that fits a new niche in grades 9-12, namely, a two-year "integrated science" course for all
students. This type of course is especially applicable in California where the State Science
Framework calls for some physical, life, and earth sciences in each science course.
At the Lawrence Hall of Science, University of California, Berkeley, the Marine
Activities Resources and Education program is a comprehensive ocean exploration program
developed for K-8 (elementary and middle schools). This program devotes the attention of an
entire student body of a school to the ocean for a week. Students read books and stories about the
ocean, create ocean-related art, listen to music about the sea, and study ocean-related topics in
mathematics, science, and social science. There are special programs for teachers, parents, and
even the community. This program provides a short but intense and comprehensive approach to
marine education, not just to marine science education.
A new international environmental curriculum is underway that has the endorsement of
the Clinton/Gore Administration. Called "Global Learning and Observations to Benefit the
Environment (GLOBE),", its focus was on making measurements and observations related to
lakes, rivers, and weather. Recently, GLOBE is expanding to include coastal waters. Students
make measurements and observations based on a GLOBE protocol and share data via the
Internet. To date, more than 3,000 schools in 50 countries are participating.
Under an NSF grant, three curriculum projects spanning K-12 have been refined and
enhanced. They will become available soon on two multimedia compact discs. The discs will
contain all the text and graphics from the three projects. The three are the Marine Activities
Resources and Education program, FOR SEA (developed by the Marine Science Center at
Poulsbo, WA), and "Living in Water," an aquatic science curriculum for grades 5-7 developed at
the National Aquarium, Baltimore.
"Oceanic Education Activities for Great Lake Schools " was developed at Ohio State
University under the leadership of Dr. Rosanne Former. These are activities that are designed to
take a concept or idea from the existing school curriculum and develop it into an oceanic and
Great Lakes context using teaching approaches and materials appropriate for grades 5-9. Dr.
Former has also developed "Great Lakes Instructional Materials for the Changing Earth System."
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The topics include fisheries, shipping, pollution, biodiversity, climate, and estuaries (wetlands).
These were developed mainly with Sea Grant funding.
In 1998, CORE is sponsoring a national "Ocean Sciences Bowl" along with CORE
, member institutions and the National Marine Educators Association (NMEA). This will be the
first time a national high school competition on the ocean is held. Awards will include
scholarships, research cruise participation, visits to ocean research laboratories, computer
hardware and software, and laboratory supplies and equipment. The grand prize will be a trip to
the International Year of the Ocean celebration at EXPO '98 in Lisbon, Portugal. This bowl will
be modeled after the National Science Bowl, now in its seventh year. There will be regional
competitions (16) followed by a final competition in Washington, D.C., during Earth Week in
April, 1998. It is expected that teams from up to 500 high schools will compete. Funding is
provided by NSF, NASA, NOAA, U.S. Navy, and other agencies, and private sources. This
competition should provide national visibility for the ocean sciences and be highly motivational
for students. It is great to see such cooperation between ocean science-related agencies.
A "new kid on the block," the National Ocean Partnership Program (NOPP) has recently
appeared on the marine science education scene. Following a very short notice and limited
Internet announcement, this program has nonetheless already funded five K-12 ocean-related
projects that may prove to have major national impact potential. These are'as follows:
• "The Bridge: A Marine Education Clearinghouse" is a project to provide teachers
access to the multiplicity of marine-related educational and curriculum materials or, at
least, annotated reviews of commercial materials. This is an update and extension of a
Sea Grant-funded project begun over 15 years ago at the Virginia Institute of Marine
Sciences. "The Bridge" will be developed in consultation with the National Marine
Educators Association and will be linked to NMEA on the Internet.
• "JASON IX" will continue under the leadership of Dr. Robert Ballard. This is an
ocean exploration project which links Dr. Ballard in a submersible, usually Alvin, to
students at remote, scattered sights via telecommunication/satellite. This is a real-
time, live, exciting experience for students and teachers (and sometimes Dr. Ballard!).
• "COAST: Consortium for Oceanographic Activities for Students and Teachers"
builds on the past five years experiences of "Operation Pathfinder," the Sea Grant
initiated teacher training workshops. It also will extend Operation Pathfinder to high
school teachers and pre-service teachers in training at the college level. As with
Operation Pathfinder, a shipboard, at-sea experience for teachers is included.
• "Bringing the Ocean into the Pre-college Classroom Through Field Investigations at a
National Underwater Laboratory" will be carried out through Rutgers University and
NOAA. There is presently a shallow water laboratory located offshore of New Jersey
doing comprehensive ocean data monitoring. The experimental project will be linked
to classrooms enabling students not only to learn about the nearshore marine
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environment, but also to appreciate the technical problems inherent in real-time ocean
monitoring in the environment.
. The University of South Florida will extend its "Project Oceanography" live via
educational television to middle school science students. In Fall, 1997, seven weeks
are devoted to coral reefs and seven weeks to plankton. NOPP is joined in supporting
this project by National Geographic Society and five private sector corporations
(Honeywell, K-Mart, Northern Trust Bank, TASA Graphic Arts, and Time-Warner
Communications).
Sea Grant has funded fifteen K-12 education projects for 1996-97 at fifteen different
educational institutions from Hawaii to Maine to Puerto Rico. These projects are for teacher
training curriculum development, and student field experiences. They include Operation
Pathfinder, which will be publishing 50 activities of its "best of the best" designed for middle
school students by the teacher participants.
The Environmental Protection Agency is funding a compilation of 50 coral reef education
activities for middle school teachers. This effort will employ both English and Spanish editors.
The activities are compiled by Dr. Sharon Walker, Gulf Coast Research Laboratory, Biloxi,
Mississippi Teacher workshops will be held in Humacao, Puerto Rico, in summer, 1998, in
conjunction with the annual conference of the National Marine Educators Association.
In an innovative new program being developed currently with funding from NOAA's
Oceanic and Atmospheric Research Division, real-time oceanographic data will be accompanied
by lesson plans and instructions for using the data through OAR's home page on the WWW.
Teacher Training
The National Science Foundation has funded summer institutes and other programs to
train teachers in marine education. In fact, the author directed the first summer institute in
oceanography for teachers in 1972-?3. NSF has recently been funding the "Maury Project at the
U S Naval Academy. This teacher training project was originally a partnership between the
Naval Academy, and the American Meteorological Society. With its early success, sponsorship
has grown and now includes the U.S. Naval Meteorology and Oceanography Command, the
Office of Naval Research, and NOAA's National Environmental Satellite, Data, and Information
Service and NOAA's National Ocean Service. This project concentrates on physical
oceanography in a two-week summer workshop including laboratory and ship-board experiences.
To date 76 teachers have been trained and each summer 25 more are expected to be trained.
After attending, teachers are expected to become "peer trainers" to conduct local workshops for
teachers in physical oceanography. This has been a highly successful program that deals with a
topic rarely or poorly covered in K-12 curricula.
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Sea Grant initiated a teacher- training program called "Operation Pathfinder " now in its
fifth year under the leadership of Dr. Sharon Walker at the Scott Marine Education Center and
Aquarium in Biloxi, MS. The project name derives from the USN survey ship Pathfinder Two
week summer workshops are held regionally for elementary and middle school teachers In 1997
six were held in Connecticut, North Carolina, Mississippi, California, Minnesota, and Ponape
Island (Mariannas). The following agencies were co-sponsors with Sea Grant: NOAA's National
Environmental Satellite, Data and Information Service, Office of Naval Research, U.S. Naval
Meteorology and Oceanography Command, and the Department of the Interior. Teachers were
trained in oceanography and coastal processes. They also had a shipboard at-sea experience
About 300 teachers have been trained to date. "Operation Pathfinder" was the basis for an
expanded teacher training program called "COAST," which has been funded by the previously
mentioned NOPP.
NOAA maintains a "Teacher-At-Sea" program. Teachers are invited to participate in
fishery cruises under the research program of the National Marine Fisheries Service. As many as
40 teachers participate annually. The National Undersea Research Program in NOAA funds an
"Aquanaut Program" which allows some teachers and students to go to sea to use remotely
operated vehicles in research projects. The U.S. Navy and the National Geographic Society run
Project Marco Polo which enables middle school teachers and students to go to sea on a Navy
oceanographic ship.
Nationally, pre-service teaching and teacher credential programs rarely provide any
special instruction in oceanography. Some universities offer oceanography or ocean-related
courses as electives for those planning to teach. Teaching methods courses frequently provide
information about water, but rarely about the ocean specifically. Some colleges that train teachers
in dissection techniques do use fish as a vertebrate example; more generally however, teacher
training at universities ignores areas that pertain to the ocean. One noteworthy exception is
Oregon State University, which offers an MS degree in science education with marine emphasis
for teachers. The teachers go to Newport, Oregon, and take courses every summer for three years
at the Mark Hatfield Marine Science Center. This is the only degree program in marine education
in the United States and it graduates about five students per year while maintaining enrollment
at fifteen students.
CORE led an education workshop on ocean sciences and K-12 education in 1996
sponsored by NSF. The participants included ocean scientists, classroom and informal science
education experts, and leaders in science education. The participants agreed on the following
general conclusion:
"...the workshop participants strongly support the theme that the ocean agencies present
outstanding opportunities and untapped resources for K-12 education, and that
oceanographic processes and features are ideally suited for constructing and
demonstrating knowledge and science-based skills in the fundamental principles of
science across all disciplines, including the social sciences, and over a wide range of
levels of sophistication. The challenge is for the ocean sciences research community and
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K-12 educators to reach out and develop partnerships (both formal and informal) to, over
the long term, mutually develop new ways to infuse the ocean sciences into K-12
education at all levels and throughout the curriculum."
The CORE report recommended urgent action in these priority areas:
1. Develop a formal umbrella partnership directed at ocean sciences and K-12 education
reform with professional societies and associations which share similar goals and
concerns These include, but are not limited to: the American Association for the
Advancement of Science (including Project 2061), the National Science Teachers
Association, the National Marine Educators Association, the Association of Science-
Technology Centers, the Association of Zoos and Aquariums, The American
Geophysical Union, and The Oceanography Society. The basic purposes of these
partnerships should be to:
a. facilitate implementation of the recommendations in this report;
b. ensure the highest standards of quality are met throughout this process;
c. foster the development of standards for ocean science literacy;
d. enhance visibility of ocean sciences in educational reform;
e. explore new linkages between ocean sciences and education communities.
2 Develop, publish and disseminate "Standards for Oceans/Ocean Science Literacy." In
other words, what are the basic knowledge components (by discipline, such as physics
and by topic, such as ocean currents) that should be understood by students at
different grade levels (K-4, 5-8, 9-12) and which can be explored and tested through
grade appropriate inquiry-base study? At the adult level, what should a science
literate person know about the oceans and their influence on global environment and
impact (both now and likely in the future) on the global economy?
3. Issue a policy statement strongly endorsing the need for pre-college outreach on the
part of ocean science researchers. Federal agencies concerned with the support of
ocean sciences should advocate pre-college outreach by ocean science researchers and
include outreach as an evaluation criterion in the review of research proposals by
these agencies. Strong endorsement by funding agencies of the need and value of pre-
college outreach is particularly necessary in order to change the reward system
(tenure) for younger faculty at academic institutions.
4. Prepare a thorough inventory of existing K-12 ocean sciences programs and curricula.
Initial focus should be placed on gathering information on pre-college outreach
programs conducted by universities. The inventory should then be expanded to
include other sites and locations through the assistance of the education societies
including the AAAS, the National Marine Educators Association and the National
Science Teachers Association. This inventory should be made available in readily
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usable format to classroom teachers and informal science educators. In addition,
working with scientists and K-12 educators, standards or guidelines which could be
used by teachers and educators to judge the quality, currency, and utility of existing
K-12 ocean science education programs should be developed.
Another recommendation called for CORE to expand and enhance its current home page
on the World Wide Web (http://core.cast.msstate.edu) to include information on K-12 programs
and opportunities. This home page should also "point" to those other home pages in the ocean
sciences research community which include K-12 information. The CORE Home Page will also
be the site for the maintenance and display of an inventory of current K-12 programs, particularly
those involving and impacting teachers.
Consistent with these urgent needs for action, the universities should encourage and
provide incentives for faculty members to engage in K-12 outreach to teachers and students.
These activities could include, but are certainly not limited to: working with teachers in nearby
schools to help incorporate ocean sciences research into classrooms; designing and delivering
outreach skills-training to faculty and scientists; providing opportunities for field trips and
research internships for teachers and their students; mentoring and counseling both teachers and
students, etc.
The CORE/NSF workshop participants also made general recommendations for the
improvement of K-12 marine education:
1. Creation of a national program of summer research internships for K-12 teachers at
oceanographic institution research sites.
2. Development of a model pre-service ocean sciences course for use in pre-service K-
12 math/science teacher education.
3. Continued support for K-12 curriculum development.
4. Increased teacher and student participation through technology in ocean sciences data
, collection and analysis.
The National Marine Educators Association has provided leadership for some 20 years,
and has kept marine education "alive and kicking" through a network of educators and a
professional journal. The organization has a membership of just over 1,000 teachers and informal
educators. It is not a grant receiving institution, nor does it have political clout in Washington,
DC. CORE could provide the clout and grant attracting ability to expand and improve K-12
marine education.
Federal granting agencies such as Sea Grant, NSF, and the Department of Education need
to maintain and expand where feasible their support for K-12 marine education.
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HIGHER EDUCATION
Thirty- six universities or consortia offer a graduate degree (MS/PLD.) in a marine
related field in the United States. Some of the consortia (e.g.. Dauphin Island) consist of several
universities. About 650 Ph.D. degrees are granted annually. These figures come from the Marine
Technology Society (MTS) publication, "Education and Training Programs in Oceanography and
Related Fields" (1995). NSF annually supports about 500 graduate students in ocean sciences
research. Sea Grant supports another 250 graduate students (personal communications).
Again, based on figures from the MTS directory, about 200 BA/BS degrees are earned
annually in marine-related areas and about 1,100 MA/MS degrees are earned. The purpose of the
MTS directory was not to collect this data; however, there was a line for respondees to report
"Number of Degrees Granted." Not all universities reported, so the numbers are less than the
actual number of degrees granted. On the other hand, the reported degrees are in "Oceanography
Related Fields," which would indicate that the numbers probably exceed the marine science or
oceanography degrees earned at reporting universities. In any case, this provides a general sense
of university output in the field. Some figures are startling: Coastal Carolina University has an
undergraduate Marine Science major with 400 students! The University of Miami and the
University of Rhode Island do not report degrees granted.
According to a survey by CORE of alumni of U.S. marine science and policy graduate
institutions, there were only 157 MS degrees and 309 Ph.D. degrees granted in 1994. This
represents a much narrower survey of marine science than the MTS Directory uses and is based
on graduates of the major ocean research institutions.
The California Sea Grant College Program publishes a "Directory of Academic Marine
Programs" (1993, 3rd edition). There are ten programs at two-year colleges. There are 38 four-
year colleges with oceanography or marine-related programs. Most are, for example, biology
(with marine emphasis). The University of Southern California offers both an MS and Ph.D. in
ocean sciences. The University of San Diego and Humboldt State University offer a BS in
marine science and oceanography, respectively. The U.S. Naval Postgraduate School offers a
Ph.D. in oceanography. The University of California, Berkeley offers a Ph.D. in ocean
engineering. The University of California at Santa Barbara offers both the MS and Ph.D. in
ocean engineering. Scripps Institution of Oceanography offers both an MS and a Ph.D. in applied
ocean sciences, biological oceanography, geological, sciences, geophysics, marine biology,
geochemistry, marine chemistry, and physical oceanography.
In discussions with experts in these fields, a need exists for trained graduates in maritime
law, marine affairs, seafood technology, recreation, and naval architecture that are not being met.
Marine recreation, for example, is now a $17 billion industry in California. Based on the MTS
Directory and additional personal communications, national needs are similar to those in
California. In recognition of these needs, new graduate programs in marine affairs are emerging.
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The strength of marine higher education in California and the nation lies in the research
training area for the basic sciences. There is no question that the United States has the best
marine research and training in the sciences available in the world. The number of graduating
trained researchers certainly meets or exceeds the needs of the nation at this time. The main
support conies from NSF, Sea Grant and the U.S. Navy.
In addition to grant support of graduate students in research, there are Fellows and
Internship programs supported by NSF, Sea Grant, AAAS and the U.S. Navy. The Knauss Sea
Grant Fellows program provides Washington, D.C.-based experience in both the executive and
legislative branches of government for about 24 graduate students per year. This kind of practical
training enhances the university experience. Sea Grant is beginning an Industrial Fellows
program which will place graduate students in private industry. This program should be
expanded.
One of findings made by Dr. Andreas Rechnitzer's in California in 1969 persists. That is,
graduate students are mainly prepared to be research professors at graduate research institutions.
The reality is that the majority of MS and Ph.D. graduates in ocean sciences will find
employment in government agencies and private industry. University faculty and placement
offices need to be more aware of this reality and help students prepare better for this eventuality.
There are eight maritime academies or institutes in the United States. The U.S. Merchant
Marine Academy at King's Point, New York, is the only federal academy. Six are state-run (New
York, California, Massachusetts, Maine, Texas, and Michigan). The Maritime Institute of
Technology and Graduate Studies (MITGS) is the training arm of the International Organization
of Masters, Mates and Pilots at Linthicum, Maryland. These are all high quality institutions that
maintain a tradition of training U.S. merchant mariners. Most have from three to six hundred
students. The MITGS trains about 1,400 working professionals annually in specialized courses
for upgrading and modernization. With a relatively small fleet of non-military U.S. flag ships,
these institutions meet the current U.S. need.
The U.S. government also supports the U.S. Naval Academy and the U.S. Coast Guard
Academy, both of which maintain high quality undergraduate level programs in ocean-related
studies. These institutions meet the current U.S. needs.
ETHNIC MINORITIES
The ocean sciences community continues to have extremely low numbers of people from
ethnic minorities. This means that all universities, government agencies, and private industries
dependent on graduating students are affected.
At NOAA, each line office (National Weather Service, Oceanic and Atmospheric
Research, etc.) has a program to encourage participation and professional training of ethnic
minorities. The Sea Grant program, for example, has granted $50,000 per year for three years to
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five "historically black colleges and universities" to develop and encourage undergraduate
participation and studies in ocean sciences. NOAA's total annual investment is about $1.5
million. Unfortunately, there is no coordination of the program in NOAA.
The U.S. Navy probably has the best record for recruiting ethnic minorities into the ocean
sciences by virtue of its overall record in this area.
NSF has funded projects to encourage ocean science study by ethnic minorities as well.
An example is a summer program between Harbor Branch Oceanographic Institution and
Savannah State University. This provides research and ship-board opportunities for both faculty
and students from Savannah State.
NOAA is also supporting an Earth Systems Science curriculum at Clark Atlanta
University which includes an agreement with Oklahoma University leading to a BS in Earth
Systems Science and an MS in Meteorology. Students spend three years at Clark Atlanta and
two years at Oklahoma.
There is no clear answer to the glaring problem of low numbers of people from ethnic
minorities in the ocean sciences community. Surely more intra- and inter-agency coordination
would help matters. Universities and K-12 educators also need to direct more attention to this
matter and must shoulder some of the blame for the present condition. New ideas in this regard
are urgently needed^
CAREER OPPORTUNITIES
Too often, ocean scientists advise students only about careers in research. High school
students receive little information about ocean related careers. The best job opportunities today
are in marine recreation and tourism. In California alone, it has already been noted that this is a
$17 billion per year industry. There are a few good publications that provide information about
marine careers. Sea Grant has a recent publication, Marine Science Careers: A Sea Grant Guide
to Ocean Opportunities. This can be obtained from Woods Hole Oceanographic Institution Sea
Grant Program, 193 Oyster Pond Road, Woods Hole, MA 02543-1525. A good source for
information about ocean-related careers other than the sciences is Opportunities in Marine and
Maritime Careers by William Ray Heitzmann (VGM Career Horizons, 4255 West Tonky
Avenue, Lincolnwood, IL 60645). Additional resources include the organizations and
publications listed below:
Publications:
Careers in Oceanography and Marine-Related Fields. The Oceanography Society, 4052 Timber
Ridge Drive, Virginia Beach, VA 23455, (804)464-0131, fax: (804)464-1759, e-mail:
jrhodes@ccpo.odu.edu.
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Education and Training Programs in Oceanography and Related Fields. Available from the
Marine Technology Society, 1828 L Street, NW, Suite 906, Washington, D.C. 20036-5104,
(202)775-5966, fax: (202)429-9417. .
Strategies for Pursuing a Career in Marine Mammal Science. Allen Press, P.O. Box 1897,
Lawrence, KS 66044-8897, 800/627-0629.
Taking the Initiative: Report on a Leadership Conference for Women in Science and Technology.
Available from the Association for Women in Science, 1522 K Street, NW, Suite 820,
Washington, D.C., 20005, (202)408-0742, fax:(202)408-8321, e-mail:awis@digex.net.
Careers in Oceanography. Neritic Enterprises, PO Box 5485, Santa Barbara, CA 93108.
There is a need to communicate information about marine careers to high school
guidance counselors. California Sea Grant sends its Directory of Marine Programs to every
counselor in the state. NOAA, the U.S. Navy, and/or CORE should consider buying a booth at
the national conference of career and guidance counselors.
CONCLUSIONS
Informal marine education is extensive and growing in the United States. The media has
improved its coverage in both extent and quality over the past 25 years. There are many aquaria
and similar institutions available for public viewing and education. These institutions have
extensive and usually high quality education programs. SeaWeb has begun a worthy program of
raising the awareness of the public about ocean issues. The U.S. Congress has also shown new
interest about ocean issues and policy after a 25-year hiatus. Government agencies are
extensively involved in a wide range of informal marine education endeavors and maintain a
high level of quality.
K-12 marine education appears to lag other aspects of marine education. There are a few
curricular programs and materials that are available from aquaria and government agencies.
Science textbooks have little coverage of the ocean. Teacher training in marine education is
almost non-existent in universities. Several government agencies have in-service teacher training
programs. The new NRG National Science Education Standards ignore the ocean.
Higher education is a bright spot in marine education. Graduate programs are high quality
and produce adequate members of scientists to meet national needs with the exception of marine
affairs (social sciences). Marine affairs is of growing importance to the nation and there is a need
to develop new graduate degree programs. Maritime academies meet the national needs at this
time considering the low availability of jobs in the merchant sector. NSF and Sea Grant are the
main supporters of ocean science graduate students.
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Ethnic minorities while under-represented in science are even more under-represented in
the ocean sciences. Women are generally represented in oceanography similar to their
representation in other sciences.
There are some publications available for career opportunities in the ocean sciences.
Students at all levels are poorly informed about the range of careers available in the ocean
sciences. The best job opportunities lie in the area of marine recreation and tourism.
OPTIONS FOR CONSIDERATION
Provide leadership and visibility for marine education;
Seek new international/national advocates for marine education;
Coordinate efforts and new ideas to promote diversity of people in marine education;
Increase public awareness of ocean issues;
Educate the public regarding the role of the ocean in global climate;
Coordinate marine education support by federal agencies;
Revise/amend the National Science Education Standards (National Research
Council) to infuse ocean sciences;
Fund and organize a national conference/workshop to educate K-12 textbook authors
and editors about the oceans;
Support CORE and National Ocean Partnership Program;
Make real-time oceanography accessible and useful for teachers and students;
Encourage more university programs in marine affairs, law, coastal engineering, and
ports and harbor management and planning;
Improve career education information about ocean-related employment at all levels of
education;
Provide marine career information to career and guidance counselors.
REFERENCES
1. Advisory Committee on Protection of the Sea Report of the Conference: Oceans and
Security. U.S. House of Representatives, Washington, DC, 1997.
2. Benson, Keith. History of Marine Education. Proceedings of the IV Congress on the History
of Oceanography, La Jolla CA, 1993 (in press).
3. California Sea Grant, Directory of Academic Marine Programs in California. 3rd edition,
University of California, La Jolla, CA, 1993.
4. CORE. "Report from Education Workshop on Ocean Sciences and K-12 Education."
Washington, DC, 15 October 1996 (unpublished: cast.msstate.edu).
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5. CORE. "National Ocean Sciences Bowl." (unpublished: cast.msstate.edu).
6. Eisenhower National Clearinghouse. The Guidebook of Federal Resources for K-22
Mathematics and Science. U.S. Department of Education, Washington, DC. 1996.
7. Fabry, C.M. (Editor). Education Training Programs in Oceanography and Related Fields.
Marine Technology Society, Washington, DC, 1995.
8. Former, R.W. and Mayer, V.J. "Marine and Aquatic Education - A Challenge for Science
Education." Science Education, vol. 73, no. 2, pp. 135-154, 1989.
9. Goodwin, H.L. and Schaadt, J.G. "The Need for Marine and Aquatic Education." Delaware
Sea Grant, University of Delaware, 1978.
10. Lanier, James. "The National Marine Educators Association: Historical Notes." Current, vol.
8, no. 2, pp. 5-20.
11. Mellman Group. "Presentation of Findings From a Nationwide Survey and Focus Groups."
SeaWeb, Washington, DC, 1996.
12. Rechnitzer, A.B. Marine Sciences in California Institutions of Higher Education. A Report
Prepared for the Coordinating Council for Higher Education of the State of California,
Council Report Number 1037; 1969.
13. Smith, D.R. et al. "The Maury Project: An Educational Partnership for Oceanography.
Bulletin of the American Meteorological Society, vol. 78, no. 7, July 1997, pp. 1497- 1502.
14. Spinrad, R.W. and Nowell, A.R.M. "Ocean Science Educators Retreat." AGU Conference,
Fall, 1996 (unpublished: cast.msstate.edu).
15. Watkins, Adm (ret.) James D. "A New Agenda for Science in Education." National Marine
Educators Association Conference, Chicago, 1997 (unpublished: cast.msstate,edu).
16. Wildman, R.D. and Ross, D.A. "Sea Grant's Role in Marine Education." Oceanus, vol. 33,
no. 3, Fall, 1990, pp. 39-45.
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LIST OF ACRONYMS
COAST Consortium for Oceanographic Activities for Students and Teachers
CORE Consortium for Ocean Research and Education
GLOBE Global Learning and Observations to Benefit the Environment
MTS Marine Technology Society
NASA National Aeronautics and Space Administration
NMEA National Marine Educators Association
NOAA National Oceanic and Atmospheric Administration
NOPP National Ocean Partnership Program
NRC National Research Council
NSF National Science Foundation
UN United Nations
USCG United States Coast Guard
USN United States Navy
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1998 Year of the Ocean
THE LEGENDARY OCEAN—THE UNEXPLORED FRONTIER
Contents
1. EXECUTIVE SUMMARY '. L-2
2. SEAS OF LEGENDS, LIFE, AND DISCOVERY L-3
3. A LONG HISTORY OF OCEANIC EXPLORATION L-3
4. TECHNOLOGY FOR DISCO VERY L-5
5. THE WEALTH AND WONDER OF THE OCEANS L-7
6. NAVIGATING THE FUTURE L-9
7. THE FUTURE L-12
8. REFERENCES L-12
This Year of the Ocean document was prepared as a background discussion paper and does not
necessarily reflect the policies of the U.S. Government or the U.S. Government agencies that
participated in its preparation.
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EXECUTIVE SUMMARY
The ocean remains as one of Earth's last unexplored frontiers. It has stirred our
imaginations over the millennia and has lead to the discovery of new lands, immense deposits
and reservoirs of resources, and startling scientific findings. The presence of the human eye and
the human ability to sample and to conduct experiments from the coastal regions to the deep
ocean abyss has provided answers to questions on such critical issues as global change, waste
disposal, mineral deposits, and the creation of life itself. In spite of the development of new
technologies, comparatively little of the ocean has been studied. The leadership role of the
United States has been eroded by a gradual decrease in funding support in spite of public opinion
polls that indicate that ocean exploration is more important than space studies. As exciting and
enlightening as ocean discoveries have been, they will likely pale in comparison to future
discoveries.
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SEAS OF LEGENDS, LIFE AND DISCOVERY
The ocean stirs the imagination. Covering more than 70 percent of the surface of the
earth, the ocean's beauty and power has long been a source of awe as well as suspicion for many
cultures. Legends were developed to help explain both the ocean and our own existence. The
Greeks named Poseidon the god of the sea to help protect their seafarers and fishermen. The
Eskimos told the story of a sea goddess Sedna, whose lost fingers filled the oceans with marine
fish and mammals. In pursuit of meaning—both material and spiritual—many cultures have
turned to the sea for inspiration as well as survival. Although few explorers discovered the riches
they initially sought, they found not only new lands, but also unexpected, bizarre, and dazzling •
deep-sea creatures inhabiting an alien world.
Within the past few decades, ocean explorers have uncovered evidence of plate tectonics.
These are global geological processes fundamental to the basic understanding of the Earth upon
which we live. As exciting and promising as discoveries such as these have been, however, they
may pale in comparison to what future exploration may uncover. It must again be noted that
these discoveries, some of which shake the very foundations of centuries old beliefs about the
basic nature of the Earth, are very recent. As a result of the tools now becoming available, the
pace of discovery is escalating rapidly. In the past 25 years, mankind has learned more about the
ocean and what lies beneath its surface than had been learned throughout all of previous human
history.
A LONG HISTORY OF OCEANIC EXPLORATION
Early Explorations
The ocean was a highway for early explorers. As early as 2000 B.C., Phoenicians sailed
the waters of the Mediterranean, the Red Sea, and the Indian Ocean. There is some evidence
Phoenicians even ventured beyond the Strait of Gibraltar. Scandinavian sailors apparently
reached North America around 1000 A.D. During the period 1492-1522, known in the culture of
the Western world as the Age of Discovery, mankind began to fully realize the vastness of the
earth's water- covered surface. During this period, the world was first circumnavigated, North
and South America were discovered, and human cultures began to develop a modern view of
geography.
Following this period, exploration became a tool of empire-building for European
nations, and was often associated with the pursuit of scientific interests . Between 1772 and
1779, Captain James Cook made several extraordinary voyages that added greatly to the
scientific understanding of the ocean, geography, and anthropology. In addition to discovering
Australia, New Zealand, and Hawaii, he sampled subsurface temperatures, measured winds and
currents, conducted soundings, and collected important data on coral reefs.
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The earliest successful explorers of the deep ocean were Sir John Ross and Sir James
Clark Ross. In 1817 off Baffin Bay, Canada, Sir John collected samples of bottom dwelling
organisms including starfish and worms from a depth of 1.8 km. Sir James conducted soundings
with a 7-km line during several voyages to the Antarctic from 1839-1843. Their results spurred
scientific interest in deep-sea life. In the mid-19th century, scientific exploration of deep waters
was further encouraged by the Azoic Theory of Edward Forbes, which held that life did not and
could not exist below about 300 fathoms (1,800 ft). The desire to test this hypothesis has led to
further exploration until, eventually, no depth has been completely unstudied.
The history of oceanography and deep-sea research has been one of cyclic fluctuations,
each cycle involving more sophisticated research as it builds on previous knowledge. These
research cycles have always included significant government support, because oceanographic
research is very expensive, requires long-term commitments of personnel and assets, and does
not necessarily provide information that can be of immediate or specific commercial use.
Modern Oceanography
Modern oceanography can be considered to have started with the voyage of HMS
Porcupine in 1869. However, it is the voyage of HMS Challenger (1872-1876) that is most
famous. In both cases, these expeditions were made possible because of government support for
exploration and scientific research. During the 127,500-km voyage, the Challenger scientists
plotted the first systematic contour lines of ocean basins, currents, and temperatures. Although
they labored under conditions much more primitive than those of modern oceanographers, they
obtained some remarkable information, including a depth measurement of over 8,000 meters in
the Mariana Trench in the western Pacific Ocean.. This measurement was made using piano wire
for a sounding line. The Azoic theory was subsequently rejected; abundant life occurred at most
depths. More than 4700 new species were collected with nets and bottom dredges.
World War II provided another set of strong reasons for developing a better
understanding of the seas. While wars fought at sea were not new, what was new was a major
thrust by maritime powers to understand the medium they were using as a battleground in order
to improve their fighting and defense capabilities. Thus the U.S. Navy, as well as navies of other
developed nations, devoted sizable resources to understanding the oceans and to developing
capabilities to improve this understanding. Wartime requirements resulted in improved
oceanographic instrumentation, surface and bottom charts, long-range weather prediction,
submarine detection equipment and an enhanced understanding of underwater sound.
The past 50 years have seen milestone developments in technologies and capabilities that
have greatly contributed to oceanography. Some of these include research submersibles,
satellites, sonar technology, surface platforms and, or course, the computer.
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TECHNOLOGY FOR DISCOVERY
Exploring the Deep Sea
Humans first explored the ocean by directly observing it or by placing samplers and
instruments into the sea from their ships. These techniques were limited by the relatively shallow
depths then attainable by humans and the relative opaqueness of the sea. Light is rapidly
absorbed by sea water, making visibility with conventional techniques virtually impossible
beyond shallow depths. Sunlight doesn't penetrate below 300 meters, and relatively few places in
the ocean have visibility greater than 30 meters. Thus, observations from the surface are severely
limited as are observations by divers alone. In recent years, however, capabilities for ocean
exploration have been greatly enhanced by major technological developments that enable seeing
far beneath the waves to the seafloor itself.
Although there had been attempts even in antiquity to work underwater, humans had
never been able to penetrate very far into the depths until the 1930s. It was then that William
Beebe, an American ichthyologist, succeeded in reaching a depth of 1,000 meters in his
"bathysphere," and providing exciting reports (by live radio broadcast) of life at those depths.
Although there were many limitations to his diving platform, Beebe was overwhelmed by the
chance to observe marine life in its own environment. A quarter century later, the bathyscaphe
Trieste took two men to a depth of 35,800 ft, the deepest spot in the ocean, the Mariana Trench
near Guam, in the western Pacific. Although the Trieste lacked manipulators or samplers, it
allowed unprecedented observations from the water surface down to the benthos (organisms that
live on or in the ocean bottom) and provided a tantalizing glimpse of future discoveries.
Modern Equipment for Undersea Exploration
Even when wearing diving gear, humans are limited to relatively shallow depths and
short periods of submergence. SCUBA (Self-Contained Underwater Breathing Apparatus),
invented in 1943 by French naval engineers Jacques Cousteau and Emile Gagnan, allows
excursions to well below 100 feet for significant durations. The ability to live and work
underwater has been greatly expanded through advances in diving physiology and technology.
Through the use of saturation diving, scientists can live under the sea in "Aquarius," the only
undersea habitat devoted to scientific research. (Aquarius is currently located at the base of a
South Florida coral reef.) Through techniques such as saturation and mixed-gas diving, scientists
jzan extend their underwater depth and time limits. Yet, while SCUBA has allowed millions of
people to become undersea explorers, it still only allows humans the ability to spend relatively
short times at comparatively shallow depths.
The development of the occupied research submersible from the late 1950s to the present
allows scientists and explorers access to undersea depths of up to 6,500 m (21,326 ft), although
most submersibles have much shallower diving capabilities (300 m to 3,000 m). Modern research
submersibles generally have manipulators, lighting, cameras, and sensors allowing detailed
observations and experiments. Among the most notable submersible discoveries have been the
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finding of chemosynthetic life at hydrothermal vents, studies of undersea volcanoes and their
eruptions, and hundreds of previously unknown species of deep-sea animals. Worldwide, an
estimated 1,000 submersible dives per year have taken place since 1970.
Remotely operated vehicles (ROVs), which are tethered, unoccupied robots, have been
highly developed and provide some significant advantages over occupied submersibles. They
have almost unlimited bottom time, their damage or loss endangers no human lives, and their
telepresence capability allows a broader audience to be "present." Vehicles range from the small
and portable, capable of working at only a few tens of meters, to the large and somewhat
cumbersome (11,000 pounds), capable of working at 10,000 meters while carrying many
different sensors and tools. Since the early 1970s, more than a 1,000 ROVs have been placed into
service worldwide in support of various tasks including oil exploration and operations, offshore
development, and undersea research. In 1966, an ROV was used to find a hydrogen bomb lost at
sea after an accident off the coast of Palomares, Spain. Using the ROV Kaiko, Japanese scientists
revisited the Mariana Trench in 1995 and documented observations of shrimp, a scale worm, and
a sea cucumber at 10,911 m (35,800 ft).
Autonomous underwater vehicles (AUVs) have been recently developed to augment
occupied submersibles and ROVs as exploration vehicles. Most of the AUVs now in service are
experimental test platforms, although several have been used for scientific purposes. Because
AUVs are untethered they can have a much greater horizontal excursion capability than an ROV.
Long-range AUVs are currently limited by the lack of cost-effective power supplies.
Nevertheless, the future for computer-guided, unoccupied, untethered vehicles appears
promising.
Technological advances notwithstanding, humans are still an important part of
exploration. Divers are better at working around delicate undersea communities and
archeological excavation sites than are robots, and trained observers remain the best detectors of
many phenomena, i.e., they do not need to be programmed to identify unexpected discoveries.
Acoustic technology, including sonar (sound navigation and ranging), has become an
essential tool for marine exploration. Sound penetrates the ocean much as light penetrates the
atmosphere. Sound is carried through water much more readily than it is through air; depending
upon frequency, volume, and water characteristics, sounds can be heard thousands of kilometers
from their origin. Acoustic technologies are used to explore the distribution of animals in the
water, the nature of the sea bottom, to locate objects, discover natural resources, provide
undersea navigation, detect submarines, and to improve our understanding of the nature of the
ocean itself. With the development of side scan sonars and deep towed echo sounders in the
1960s, detailed sea bottom mapping, which is essential to understanding plate tectonics and other
geological processes, has become possible. The recent marriage of computers with acoustic
technologies has resulted in the introduction of mapping systems that can provide wide area
images of the seabed in real time.
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With the end of the Cold War, declassified technologies and resources developed for
military purposes have become available to civilians. Among these major resources are formerly
classified military oceanographic data, deep-sea submersibles, nuclear submarines, and the
Integrated Undersea Surveillance System (IUSS), a listening system developed for submarine
detection and location. The availability of these resources has had a significant impact on ocean
exploration. A cooperative agreement between the National Oceanic and Atmospheric
Administration (NOAA) and the U.S. Navy provides access for civilians to Navy deep
submersibles and ROVs, allowing exploration and research to 6,000 m below the surface.
Several scientific cruises to the Arctic Ocean using the Navy's nuclear-powered submarines have
been made since 1993. These missions have demonstrated the utility of such vessels for
oceanographic and geophysical studies of polar oceans. Another dual-use application known as
acoustic thermometry uses listening systems to measure whether the ocean is cooling or warming
by measuring the speed of sound transmission between two fixed points. Data such as this can
provide evidence concerning the status of global climate change. Other cooperative uses for U.S.
Navy vessels include mappjngjnd--seismtcexploration of the ocean floor, tracking and study of
whales, retrieval of environmental information from remote instrumented buoys and
observatories^and enforcement of fishing regulations.
Remote sensing technologies, such as satellites and radar, are relative newcomers to the
toolbox of the ocean explorer. They are capable of providing synoptic information over large
surface areas—information previously unobtainable from surface-based platforms such as ships
and buoys. Pictures from satellites orbiting the earth provide some of the most valuable—and
often, unexpected—information about the ocean. Recently, a satellite found what may be the
world's second largest lake beneath Antarctica's thick icecap. Data released within the past year
shows the Pacific Ocean may contain more than 50 percent more seamounts than previously
thought. This means that more than 25,000 undersea volcanos taller than 1 km are largely
unknown and remain uncharted because of sparse bathymetric coverage. (Seamounts are
submarine volcanos that can provide information about geological history. Because they often
support highly diverse and abundant marine life, they may also provide significant new fishing
grounds.) Finally, satellite images can. be used to follow pollution discharged from rivers into the
sea, locate coral reefs and provide information on their health, measure heat flow from the sea
surface, and study the effects of wind and tides on the transportation of sediments. A myriad of
possible applications abound.
THE WEALTH AND WONDER OF THE OCEANS
Oceans continue to arouse some of our most noble and basic instincts. In just a few short
decades, research has opened doors to ocean exploration and exploitation that our ancestors
could only have imagined. The seas have much to offer of economic importance. Some resources
like fisheries and mineral resources are well recognized today. Others offer promise for the
future.
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Marine mineral resources are extensive and (in deeper waters) poorly known. The
exploitation of these resources will require an expansion of geological knowledge in order to
locate them. If severe damage to the seas is to be avoided, it will also require a better
understanding of the ecosystems with which these mineral resources are associated and the
development of technology to extract them without causing significant damage.
Oil use has increased dramatically in recent times, and the seabed holds unexploited
reserves. The ocean also has deposits of gravel, sand, manganese crusts and nodules, tin, gold,
and diamonds. Many of these deposits are located in coastal areas where potential environmental
problems associated with their exploitation may be so serious that they cannot now be mined in a
responsible manner. Many of the mineral deposits about which little is known occur in the deep
ocean on underwater volcanos and ocean ridges, or on the flanks of the more than 50,000
seamounts in the Pacific Ocean.
Perhaps more important than the search for minerals is the search for medications. Marine
plants and animals have biotechnological potential in the treatment of a wide variety of human
illnesses. Coral reefs, sometimes denoted as the rainforests of the sea, contain novel chemicals
that can be used to fight cancer, AIDS, diabetes, and other diseases. Since the discovery of
penicillin in mold more than 60 years ago, scientists have looked for potential drugs in soil
microbes, and more recently, in marine microbes. While chemicals from land-based plants and
microbial fermentation are on the decline, scientists have barely scratched the surface of the sea's
molecular potential.
"Extremophiles", micro-organisms with the ability to thrive in extreme environments
such as hydrothermal vents, hold promise for genetically based medications and industrial
chemicals and processes. Their unique enzymes, called "extremozymes," enable them to function
in such forbidding environments. Last year, the biomedical industry was foremost among
industries worldwide which spent more than $2.5 billion searching for potentially useful
enzymes. The newest frontiers for this search are the extreme ocean environments.
Some of the most critical exploration is happening closer to home in the shallow waters
that surround us. While likely to have been unnoticed at the surface, scientists are working just
below the waves to understand the coastal ocean and how human populations interact with it. An
example is the underwater observatory, LEO-15, located in 15 meters of water just 10 km off the
coast of Atlantic City. Using it, scientists can study estuaries and coastal waters, which are
nursery grounds for some of the most important commercial fisheries, now under stress. The
disposal of agricultural, industrial, and domestic waste, pressures from overfishing, and shipping
are putting the coastal ocean at risk. Scientists are studying the effects of coastal development
and the natural processes that circulate material from land into rivers, bays, lakes, and the ocean
to determine the fate of contaminants in the environment, the critical role that chemical
constituents play in the production of organic matter, and their impact on marine life. For
example, scientists are trying to determine what changes in the environment, both natural and
man-made, might be promoting the expansion of harmful algal blooms, the demise of coral reefs,
the loss of fisheries, global warming, and other problems. Developments in the understanding of
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ocean chemistry, which are enhanced by rapid advancements in technology such as using
molecular techniques to screen seawater samples for microbial populations, mean that
researchers may eventually be able to forecast events in the coastal ocean, just the weather can be
forecast now.
Perhaps the ocean's greatest unappreciated potential for humans has little to do with new
medicines and products, oil, gold, or food. It is the chance to ponder, explore, and enjoy this
realm. Recreational activities along waterfront communities such as clamming, crabbing,
fishing, swimming, and iceboating are cultural traditions that have been handed down from one
generation to another. Surfing is not a recent phenomenon, but a 1,000 year old tradition born in
Hawaii. Water skiing, invented in the French Alps by a group of soldiers skilled at skiing the
Alps, now has enthusiasts worldwide. Since the invention of the aqualung, millions of SCUBA
divers have been given access to the earth's last frontier. Tourist submarines operating at more
than 18 sites around the world for the past decade have carried more than six million passengers.
Each participant considers himself to be an ocean explorer.
NAVIGATING THE FUTURE
Exploring and improving our understanding of the ocean and its influence on global
events are among the most important challenges today. With the approach of the next
millennium, the Earth's ocean and the underlying seabed remain one of our planet's last
frontiers. What lies ahead? Clues can be found in recent trends:
• The United States is no longer the principal nation with interests and capabilities in
exploring the oceans.
While France and the European Community have growing capabilities, over the
past decade Japan has taken the global lead in deep ocean technology. Japan's Marine
Science and Technology Center (JAMSTEC) has some of the world's most capable
research vessels, including deep submersibles. JAMSTEC operates the world's
deepest diving occupied submersible (6,500 m) and the deepest diving ROV (11,000
m). It recently placed into service the 8,600 ton Mirai, the world's largest
oceanographic vessel. JAMSTEC's most ambitious project yet planned is a ship
capable of drilling 3,500 m into the seafloor, to be launched early next century. In
Japan, the ocean sciences enjoy broad popular and political support; their budget has
grown at 15 percent per year during the past five years. JAMSTEC has expanded its
research program to include life in extreme environments and climate change, and has
used international collaboration to develop impressive research programs. The United
States is not investing adequately to maintain its expertise, and this will have
scientific and economic effects.
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• An end to the Cold War and cutbacks in defense spending have decreased
development of new ocean technologies.
Large-scale development of ocean technology for military purposes has been
reduced. As a consequence, the non-military sector is losing the sizable benefit it
enjoyed for many years resulting from military development and operation of
expensive ocean technology—i.e., the tools for ocean exploration. On the other hand,
many of the expensive devices once not available outside the military community are
now open for wider use. The bad news, however, is that civilian budgets in large part
cannot afford to operate these capable but costly systems.
* The need for manned presence under the sea is decreasing.
New technologies make it possible for humans to work beneath the waves without
actually physically being there. For example, seafloor observatories, like the Long-
term Ecosystem Observatory (LEO-15) off the coast of New Jersey, linked
electronically to satellites and land-based stations, are being developed. Currently, our
opportunities to know what's occurring in the ocean are limited. By combining
submersible vehicles and sensors communicating acoustically to a network of
moorings equipped with surface buoys and satellite links, scientists are getting a
better idea of what's occurring at the seafloor in real time. Satellites like the Geosat
and ERS-1 spacecraft, which were used to detect seamounts in the Pacific plate, will
be used in combination with conventional seafloor mapping techniques. Assessments
done via a number of technologies, including submersible vehicles, will become
increasingly important. For many applications, remotely operated systems, which can
perform more reliably and cost effectively, are superior to manned systems.
Nevertheless, there will continue to be a role for the presence of humans under the sea
as divers and in submersibles, especially when the mission is exploration.
• The high cost of working in the oceans is forging partnerships between organizations
that have not traditionally worked together.
Partnerships are being formed to support ventures that previously were the sole
domain of government. For example, Aquarius, the world's only underwater
laboratory, was removed from operation in the summer of 1996 because of lack of
sufficient funding. Through an innovative partnership with private industry, the
university community, and a private foundation, it was reconfigured and modernized
to reduce operational costs, and returned to service in the fall of 1997. Additional
partnerships to advance ocean interests are being encouraged and supported through
the Congressionally created National Oceanographic Partnership Program.
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The Government Role
Exploration of new ocean frontiers holds the promise to enhance the future of the United
States in a myriad of ways, and continued support for this endeavor is considered a vital national
need (Undersea Vehicles and National Needs, 1996, National Research Council). How might this
be accomplished? Japan has now taken the definitive lead in development of undersea
capabilities. If the United States wants to retain its status in undersea science, a longer term
commitment to support of ocean science and exploration is necessary. Some of the issues that
need to be addressed are :
• Government support has always been critical for oceanographic research. The United
States cannot maintain its expertise in ocean research unless and until adequate
support is provided. Since the early 1980s, funding for ocean sciences, as a
percentage of the total U.S. federal basic research base, has been reduced by nearly
half.
• As responsible stewards of the environment, ocean exploration must be
recognized as an important role within the missions of U.S. agencies charged with
ocean-related responsibilities.
A plan for undersea research that includes better access to assets, refinement and
integration of existing systems, development of a strategic plan for future needs, and
stable multi-year funding for ocean exploration is needed.
The oceanographic community must capture the public's attention and imagination.
While many space satellites have been launched, nothing comparable can be
proclaimed for the ocean. Plans have been proposed for the first attempt of a self-
powered autonomous undersea vehicle (AUV) to voyage between North America and
Europe this year. Properly promoted, this AUV project could raise general public
awareness about the value of marine exploration, and foster continued public interest
and support.
Teaching children about the wonder and science of the ocean may be the best
investment for the future. In this new age of science and education technology,
students can exchange the confines of the classroom and traditional textbooks for
hands-on discovery and real time learning. In 1996, internet history was made when
the only undersea laboratory devoted to science became the world's first underwater
website. More than two million students had a virtual porthole via video screens to
swim with sharks and reef fish, submerge in a nuclear submarine, and live in the
underwater habitat Aquarius. This effort, which was part of the Jason Project,
transported students via satellite to remote sites where scientists are engaged in
research, enabling them to directly observe ongoing investigations of the biological
and geological development of Earth. Other innovative examples exist for bringing
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the ocean into the classroom. Rutgers University has partnered with a number of
other organizations to begin a program in New Jersey this past year using the
underwater observatory, LEO-15. More innovative approaches such as these are
needed to assure the next generation will be well informed stewards and explorers of
the ocean.
Fantastic voyages to the planet's inner space are happening close to home in the waters
that surround us, and are reminders that the ocean is still brimming with life that scientists are
only just discovering. The ocean has been navigated for thousands of years, but exploration of
the deepest parts of the ocean is just beginning.
Public opinion polls indicate that Americans care strongly about the ocean and are
prepared to support ocean exploration over space exploration. According to a recent survey,
eighty percent say that the condition of the ocean is a matter of personal importance. A full 55
percent give priority to funding ocean exploration over space exploration. The survey
participants, nearly three quarters (72 percent), also see the health of the ocean as intimately
connected to the future well-being of humankind.
THE FUTURE
Ocean exploration gives mankind a sense of human progress and heritage. It provides the
experience and knowledge necessary to undertake stewardship of the ocean and its resources, and
thus sets a course for future generations to navigate. What lies ahead is still unknown. Whatever
it is, however, will be influenced by what is found through tomorrow's exploration—and, will
likely be different than today's predictions!
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